[Federal Register Volume 59, Number 47 (Thursday, March 10, 1994)]
[Unknown Section]
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From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5468]
[[Page Unknown]]
[Federal Register: March 10, 1994]
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DEPARTMENT OF JUSTICE
Office of Justice Programs
Office for Victims of Crime
Victims of Crime Act Victim Assistance Grant Program
AGENCY: Department of Justice, Office of Justice Programs, Office for
Victims of Crime.
ACTION: Final program guidelines.
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SUMMARY: The Office for Victims of Crime (OVC), Office of Justice
Programs (OJP), U.S. Department of Justice (DOJ), is publishing Final
Program Guidelines to implement the victim assistance grant program as
authorized by the Victims of Crime Act of 1984, as amended, 42 U.S.C.
10601, et seq. (hereafter referred to as VOCA).
EFFECTIVE DATE: These Final Program Guidelines are effective upon
publication.
FOR FURTHER INFORMATION CONTACT: Carolyn A. Hightower, Director, State
Compensation and Assistance Division, at the above address; telephone
number (202) 307-5947.
SUPPLEMENTARY INFORMATION: VOCA authorizes Federal financial assistance
to States for the purpose of compensating and assisting victims of
crime, providing funds for training and technical assistance, and
assisting victims of Federal crimes. These Program Guidelines provide
information on the administration and implementation of the VOCA victim
assistance grant program as authorized in Section 1404 of VOCA, Public
Law 98-473, as amended, codified at 42 U.S.C. 10603, and contain
information on the following: Summary of the Comments to the Proposed
Program Guidelines; Background; Allocation of VOCA Victim Assistance
Funds; VOCA Victim Assistance Application Process; Program
Requirements; Financial Requirements; Monitoring; and Suspension and
Termination of Funding. The Guidelines are based on the experience
gained during the first seven years of the grant program and are in
accordance with VOCA. These Final Program Guidelines supersede any
Guidelines issued previously by OVC.
The Office of Justice Programs, Office for Victims of Crime, has
determined that this rule is not a ``significant regulatory action''
for purposes of Executive Order 12866 and, accordingly, this rule was
not reviewed by the Office of Management and Budget.
In addition, these Guidelines will not have a significant economic
impact on a substantial number of small entities; therefore, an
analysis of the impact of these rules on such entities is not required
by the Regulatory Flexibility Act, 5 U.S.C. 601, et seq.
The collection of information requirements contained in the Program
Requirements section was submitted to the Office of Management and
Budget (OMB) for review under the Paperwork Reduction Act, 44 U.S.C.
3504(h). Approval to use the specified reports to gather information on
the use and impact of VOCA victim assistance grant funds has been given
by OMB numbers 7390/2A and 7390/4.
Summary of the Comments to the Proposed Program Guidelines
On August 26, 1993, the Office for Victims of Crime (OVC) published
proposed Victims of Crime Act (VOCA) victim assistance Program
Guidelines in the Federal Register, Vol. 58, No. 164, pages 45126
through 45135. These proposed Guidelines were published for the purpose
of soliciting comments on the revised rules of the VOCA victim
assistance grant program from all interested individuals and
organizations. OVC received 48 individual letters from interested
individuals and organizations and had conversations with almost all
State VOCA administrators. In total, over 200 different issues,
questions, recommendations, and comments were received, which often
reflected diverse views from a variety of perspectives.
OVC appreciates the time and effort each respondent invested in
reading and responding to the proposed Guidelines. Although it is not
possible to reply to each respondent on an individual basis, all
comments were carefully considered in developing these Final Program
Guidelines. As a result, OVC rewrote, deleted, and incorporated
additional information to further clarify various sections of the
Guidelines. Explanation of our resolutions and final determinations is
provided in the following paragraphs.
A. Background
Many representatives from sexual assault and domestic violence
programs expressed concern that the Proposed Guidelines would encourage
States to make mandatory the reporting of the crime as a condition of
receiving services. There is no provision in VOCA mandating that crime
victims report crimes to law enforcement agencies as a condition of
receiving VOCA-supported assistance and services. Neither the Proposed
nor these Final Program Guidelines deviates from the original purpose
of VOCA--to support all victims of crime both outside of, and within,
the criminal justice system. (See Federal Register, Vol. 52, No. 62,
April 1, 1987, page 10422.)
Further, some respondents expressed concern that the proposed
Guidelines symbolized a significant shift from a victim service focus
to one which encouraged assistance and support with the criminal
justice system. The sole purpose of the VOCA victim assistance grant
program is to assist States in providing direct services to crime
victims, through local public and nonprofit organizations. Direct
services include crisis intervention, emergency shelter, information
and referral, and group counseling, as well as those services that
assist the crime victim with, and encourage willingness to participate
in, the criminal justice system, such as temporary restraining orders,
emergency child abuse petitions, assistance with property return, court
accompaniment, assisting with victim impact statements, and case
notification. OVC believes that VOCA victim assistance funds have
supported a variety of services in the past and should continue to do
so in the future.
B. Allocation of VOCA Victim Assistance Grant Funds
1. Allocation of Funds to States. Several respondents questioned
the method for allocating grant funds. The allocation of funds to all
State grantees is determined by VOCA. OVC does not have the authority
under the Act, as some respondents suggested, to fund less populated
States at a higher rate, to authorize a separate grant program for
Native Americans, or to extend the length of the grant period to the
year of award plus two years.
2. Allocation of Funds within the States. Some respondents raised
the issue of seed money versus stabilizing victim services through
ongoing programs, an issue which has been raised on numerous occasions.
There is no provision in VOCA or the Program Guidelines to require or
prohibit State grantees from using VOCA as seed money. Each State VOCA
administrator is responsible for developing a funding strategy that
meets the unique needs of crime victims within the State. Historically,
the vast majority of subrecipients are organizations that have
previously received VOCA funds. During FFY 1992, of the approximately
2,400 VOCA subrecipients, only 118 were ``new'' subrecipients.
Fortunately, there has been growth in victim services organizations
throughout the Nation, resulting in crime victims having greater access
to a wider variety of services. This growth has placed additional
burdens upon State administrators to develop funding strategies that
address how to most effectively distribute limited VOCA funds to reach
the greatest numbers of crime victims. As a result, States are
beginning to competitively award VOCA funds versus funding the same
organizations every year.
In keeping with the intent of VOCA, these Final Program Guidelines
will continue to give sole discretion to State administrators for (1)
determining which organizations will receive funds, (2) the amount of
funds to be awarded, (3) the length of time an organization will
receive funding, and (4) the types of services to be provided to meet
the divergent needs of their crime victims.
C. VOCA Victim Assistance Application Process--Application for Training
Funds
Beginning with the FFY 1994 grant period, States may opt to retain
a portion of their VOCA grant to provide State-wide or regional State
training activities that improve the skills of direct service
providers. OVC received a number of comments regarding this new option.
Some respondents believe that the option will be burdensome to the
State VOCA administrators. First, OVC reminds States that this is an
option, not a mandate. Secondly, the reporting requirements contained
in this option are minimal--Subgrant Award Report information must be
submitted and information regarding the training must be reported on
the Performance Report. These reporting criteria apply to VOCA funds
used for this option as well as all other uses of VOCA funds.
Other respondents believe that this option affords State
administrators too much power. State administrators have always
determined how, and for what purpose, VOCA funds will be used. With
this training option, States may conduct the training themselves or
work in coordination with another victim services organization or
coalition. Previously, States who offered State-wide training included
the cost of such training in each VOCA subrecipient's budget, thus
enabling the subrecipient to attend the training. This option
eliminates this extra administrative step. Additionally, this option
permits States to meet the same training needs of many direct service
providers in a very cost-effective way.
Many respondents requested that the match be consistent with other
uses of VOCA. After careful consideration, the Final Program Guidelines
will differ from the Proposed Guidelines in that the match requirement
for this training option will be 20 percent.
D. Program Requirements
1. Priority Crime Victims. The letters from domestic violence and
sexual assault coalitions and programs urged OVC to mandate that States
be required to allocate more than 10 percent of each year's grant to
priority crime victims (victims of child abuse, sexual assault, and
domestic violence). Since the inception of VOCA in FFY 1986 through
1992, States have assessed the need for services and have allocated,
from each year's VOCA grant, an average of 21 percent for victims of
child abuse, 22 percent for victims of sexual assault, and 34 percent
for victims of domestic violence. These Final Guidelines will continue
to give flexibility to State VOCA administrators in allocating limited
funds for victim services.
2. Underserved Crime Victims. VOCA was amended in October 1988 to
require States to make VOCA victim assistance funds available to
previously underserved crime victims, other than victims of child
abuse, sexual assault, and domestic violence. As a result, since 1989,
States have been required to allocate a minimum of 10 percent to
previously underserved crime victims such as victims of assault,
homicide, elder abuse, and DUI/DWI crashes.
This requirement can be met by allocating funds for one type of
crime or by combining allocations for two or more types of crime
victims.
States must identify underserved crime victims by type of crime in
order for OVC to monitor each State's ability to fulfill this
requirement. Identifying crime victims by a particular characteristic
prevents the State and OVC from determining if the underserved
requirement has been met, For example, Hispanic crime victims may be
underserved within a State; however, unless the State identifies the
type of crime, it is impossible to determine whether the funds
allocated should be used to meet a priority or the underserved
requirement.
3. Underserved Requirement--Native American Crime Victims. At the
time the underserved requirement was levied, States were permitted one
exception to designating by type of crime--States could meet the
requirement by allocating funds for services to Native Americans on
reservations. This exception was adopted to encourage State
administrators to make VOCA funds available for services to Native
American crime victims on reservations, where few services were
available.
Because of this exception, State administrators have requested OVC
to interpret the underserved requirement by geographical considerations
(such as rural crime victims) race, religion, sex, or other identifying
characteristics such as non-English speaking crime victims, which was
not the intent of the underserved requirement.
Therefore, beginning with the FFY 1994 VOCA victim assistance
grant, States are required to identify underserved crime victims by
type of crime only. Thus, States serving Native Americans, Hispanic,
geographically isolated, etc. must identify the type of crime to which
these crime victims are subjected.
Some respondents raised concerns that eliminating the Native
American option for meeting the underserved requirement would encourage
States to withdraw funding to Native American victim services
organizations on reservations, if such services cannot help meet the
underserved requirement. OVC strongly encourages State administrators
to include the needs of all crime victims within their State in their
funding strategy, including those crime victims residing in isolated
geographical areas (such as on reservations), and to award VOCA funds
appropriately.
Some State administrators expressed concern that identifying by
type of crime, instead of Native Americans, would prevent them from
meeting the 10 percent requirement. In an attempt to address this
issue, the Final Program Guidelines permit States to allocate less than
10 percent to underserved crime victims, if they can document that a
smaller percentage of funds is warranted for underserved crime victims,
as described in the Final Program Guidelines.
Since 1989, OVC has undertaken an extensive effort to foster the
growth of services to Native Americans on reservations and has
dedicated substantial financial resources for services to crime victims
through the VOCA Assistance to Victims of Federal Crime in Indian
Country Discretionary Grant Program. The purpose of this discretionary
program is to seed organizations offering services to crime victims on
reservations with the expectation that these organizations could apply
for and receive State VOCA victim assistance grant funds. OVC considers
this effort successful in that, during FFY 1992, States funded 39
Native American organizations on reservations. Through this
discretionary grant program, OVC will continue efforts to support
services to Native American crime victims on reservations.
4. Underserved Requirement--Vulnerable Adults. Since 1989, States
have been permitted to identify elder abuse as a type of crime. The
Proposed Program Guidelines broadened the crime of elder abuse to
include all vulnerable adults, regardless of age. However, comments
from respondents indicated that the Proposed Guidelines were not clear.
Therefore, these Final Program Guidelines have been revised to identify
abuse of vulnerable adults as a type of crime, which may be used by
States to meet the underserved requirement.
For the purpose of the VOCA victim assistance grant program, abuse
of vulnerable adults occurs when an adult, who does not have the mental
and/or physical capacity to manage his/her daily needs, is subjected to
either physical or emotional abuse by a guardian or caretaker. This
description parallels that of child abuse. This description differs
significantly from other types of crime to which individuals, who are
able to maintain an independent lifestyle, are subjected such as
assault, robbery, fraud, etc.
5. 10 Percent Requirements for Priority and Underserved Crime
Victims. Beginning with the FFY 1994 grant period, States will be given
the latitude to assess the needs of crime victims within their State
and allocate less than 10 percent to a specific category of priority or
underserved crime victims, so long as they can demonstrate that (1) a
specific category of crime victims is receiving sufficient amounts of
financial assistance from the State or other funding sources, (2) a
smaller amount of financial assistance, or no assistance, is needed
from the VOCA victim assistance grant program, and (3) crime rates for
that category of crime victims have diminished, warranting a lesser
amount of VOCA funds to be allocated. If states cannot satisfy these
conditions, they then must meet the 10% requirement for priority and
underserved crime victims. This flexibility is offered to States who
may be experiencing an influx of funds designated for a specific
categories of crime victim during a grant period or who may be
fortunate in that some types of crimes are very low in their State.
6. Verification of Actual Expenditures for Priority and Underserved
Crime Victims. The Proposed Program Guidelines required States to
verify for OJP representatives that a minimum of 10 percent of each
year's grant is expended for services to each priority and underserved
category of crime victims. This requirement was included in the
Proposed Guidelines based upon a General Accounting Office
recommendation that all recipients of VOCA victim assistance grant
funds verify actual expenditures. OVC received vigorous opposition to
this requirement from almost all State VOCA administrators, because of
the unreasonable burden upon all recipients of VOCA funds.
Therefore, this requirement has been removed from the Final Program
Guidelines.
7. Subrecipient Eligibility Requirement--Use of Volunteers. VOCA
requires that ``eligible crime victim assistance programs'' use
volunteers in providing direct services to crime victims, unless, and
to the extent, that the chief executive determines that a compelling
reason exists to waive the requirement. In response to requests to
delete this requirement, please note that OVC does not have the
statutory authority to change this legislative requirement (42 U.S.C.
1404(b)(1)(c)). OVC encourages State administrators to carefully
consider waivers of this requirement.
Some respondents believe that the use of volunteers prevents victim
services from being looked upon as a profession. OVC believes that
volunteers in many organizations are the foundation of the victim
services program. Perhaps the issue of professionalism relates more to
proper training and support of both paid and volunteer staff, as
opposed to whether or not the individual is paid by the agency. For
example, many subrecipient organizations have a cadre of professionally
trained volunteers.
Other respondents requested OVC to specify the number of hours and
the value of a volunteer's time in relationship to total personnel
within a subrecipient organization. State VOCA administrators have
total discretion in personnel management decisions; OVC is not
authorized to regulate this matter.
8. Subrecipient Eligibility Requirement--Coordination Activities
versus Coordination of Services on Behalf of Individual Crime Victims.
Many respondents questioned sections of the Proposed Guidelines
concerning coordination of activities. Coordinating public and private
efforts on behalf of all crime victims within a community differs
significantly from ensuring that an individual crime victim receives
coordinated services within the community. The former is an eligibility
criteria for any organization to receive VOCA funds, and as such,
cannot be supported with VOCA funds. The latter is an allowable VOCA-
supported activity.
VOCA identifies an ``eligible crime victim assistance program'' as
an organization that ``* * *promotes within the community served
coordinated public and private efforts to aid crime victims''. See
section 1404.(b)(1)(D). It is expected that organizations conduct a
number of coordination activities on behalf of crime victims as part of
their routine activities to be eligible to receive VOCA funds, such as
(1) being known to the general public and to community organizations
serving crime victims; (2) having established working relationships
with other service organizations, such as interagency agreements for
appropriate referral of crime victims for other services; (3) serving
on task forces, commissions, multidisciplinary teams, and/or other
working groups on behalf of crime victims, in general; (4) being known
as an advocate for crime victims within the community; (5) having
developed policies, procedures, and protocols on offering victim
services; (6) having developed methods to assess the needs of crime
victims within their community; (7) having developed methods of
assisting and supporting crime victims; and (8) having developed their
own strategies for serving crime victims and training individuals to
provide direct services. Organizations that do not perform these
activities would have difficulty meeting the statutory requirements of
an eligible crime victim assistance program.
VOCA funds are designated exclusively to provide direct services to
crime victims. Therefore, they cannot, and should not, be used to help
an organization meet eligibility criteria as defined by VOCA.
9. Subrecipient Eligibility Requirements--Contracted Services. Many
respondents expressed concern about the use of VOCA funds to support
contracted services. The intent of VOCA has always been to support
services to crime victims through the staff of a subrecipient
organization. It was not intended that VOCA subrecipients serve as
contractors of services.
In previous years, the Program Guidelines prohibited VOCA funds
from supporting professional services. The rationale behind this
prohibition was that VOCA could not support administrative, indirect,
and other organizational costs that were included in a loaded hourly
rate, when these costs were strictly prohibited by VOCA. However, VOCA
subrecipients have always been, and will continue to be, permitted to
augment their staff by awarding a contract (for the equivalent of an
individual's salary and fringe) to an individual or organization whose
hourly or yearly rate contains no administrative and/or other VOCA-
unallowable costs.
Although it was not the intent that VOCA subrecipients serve as
contractors of services, OVC recognizes that, at times, it may be
necessary for VOCA subrecipients to contract for specialized services.
For example, if there is an infrequent need for a victim service, it
may not be cost-effective for the VOCA subrecipient to employ an
individual with the skills to perform the needed service, either on a
part- or full-time basis. At other times, there may be emergency
situations requiring victim services that are beyond the scope of the
VOCA subrecipient organization. In situations such as these, VOCA
subrecipients may contract for VOCA-allowable services, at the
discretion of the State grantee and within the parameters of the OJP
contracting rules and regulations and the OJP ``Financial and
Administrative Guide for Grants'' (M7100.1D), effective edition. VOCA
funds can only support limited use of contract services. Subrecipients
are prohibited from using a majority or their entire award for
contracted services that have administrative, overhead, and other
indirect costs included in the hourly or daily rate. However, all
contract documentation is subject to review by OVC and the Office of
the Comptroller at both the State and the subrecipient level.
States who permit VOCA funds to be used for contracted services are
encouraged to closely scrutinize each request to use VOCA funds to
purchase services and consider the following: (1) How the need for, and
frequency of, the contracted services was determined; (2) the total
amount of contracted services requested within the grant period; (3)
how reasonable is the hourly fee; (4) does the hourly fee contain any
administrative costs; (5) what other options for service provision were
available; (6) do the subrecipient's contracting procedures strictly
adhere to OJP contract guidelines; and (7) the proportion of the
contracted services in relation to other VOCA supported activities;
etc.
When contracted services are a necessity, they are expected to
comprise a very small percentage of a subrecipient's VOCA award. Thus,
subrecipients cannot use their entire VOCA award or a majority of their
award to purchase services. To do so raises questions such as: (1) How
did the VOCA subrecipient meet the VOCA eligibility criteria of
providing crime victim services, if they are contracting for a majority
or all of the services; (2) if the organization providing contracted
services is not eligible to receive funding, is the contract mechanism
an attempt to circumvent the eligibility criteria established by VOCA;
(3) if the organization providing contracted services is an eligible
crime victim service provider, why doesn't that organization receive
VOCA funds directly; (4) if services are continually purchased, what
incentive exists for the organization to hire quality staff to provide
the service within the organization; and (5) with VOCA funds being so
limited and the needs of crime victims so great, how can a loaded rate
that includes administrative and other indirect costs be justified?
10. Eligible Subrecipient Organizations--Program Income. A number
of respondents questioned OVC's prohibiting VOCA-funded projects from
generating program income. OVC has discovered during site visits that a
growing number of organizations are generating program income from
VOCA-funded projects and that few States and subrecipients understand
the financial and monitoring burden they assume when program income is
generated. OVC has four major concerns regarding Federal funds
generating income for subrecipient organizations.
First, the rates being charged to crime victims are loaded hourly
rates that include administrative and many types of indirect costs
prohibited with VOCA grant funds. Program income that is received by
the subrecipient is used to off-set unallowable VOCA costs. Further,
VOCA funds were never intended to be a revenue-generating source for
the subrecipient.
Second, few States and subrecipients have the capability to track
program income appropriately and in accordance with Federal financial
accounting requirements. All program income generated from a VOCA-
funded project is restricted to the same uses as the VOCA grant, which
presents many problems for the subrecipient and the State, particularly
when VOCA funds only support a portion of the counselor's time.
Third, any and all program income, no matter how large or small,
must be tracked and accounted for, both at the subrecipient and State
grantee level. Few subrecipients have procedures for reporting the
income to the State so the State can monitor the appropriate uses of
the VOCA-generated income.
Fourth, the purpose of the VOCA victim assistance grant program is
to provide services to all crime victims without concern for their
financial resources or availability of insurance or other third-party
payors. Crime victims suffer tremendous emotional, physical, and
financial losses; and it was not the intent of VOCA to exacerbate the
injustice by asking the crime victim to pay--again.
OVC is mindful that some subrecipients use program income, in part,
to offer additional services to crime victims, thus expanding available
services beyond the VOCA-funded position. Therefore, these Final
Program Guidelines will permit States and subrecipients to generate
income from VOCA-funded staff time under the following conditions: (1)
Only with prior approval of financial and monitoring procedures by the
Office of the Comptroller; and (2) with the stipulation that no crime
victim is ever denied services for lack of insurance or personal
resources to cover the cost of the service.
E. Services, Activities, and Costs
1. Allowable Direct Services, Activities, and Costs--Liability
Insurance. Several respondents questioned the use of VOCA funds to pay
for liability insurance for direct-service providers who are subject to
civil action. These Program Guidelines permit State administrators the
option of including this type of insurance as an allowable cost, when
it is part of an organization's benefit package for employees. OVC
believes that to force direct-service providers to pay their own
liability insurance, when many direct service providers receive low
salaries, could have serious consequences on the quality of services
provided to crime victims. NOTE: This section does not include the
indirect organizational costs of building liability insurance, etc.,
which are not VOCA allowable costs.
2. Other Related Allowable Services, Activities, and Costs--
Supervision. Several respondents requested that OVC reconsider its
ruling on supervision of direct service providers as an allowable
direct service. VOCA funds are not intended to defray the costs of
management and administrative salaries within an organization. This is
reflected in the ``no administrative costs provision'' of VOCA. The
primary purpose of VOCA is to offer a supplement to those organizations
that are able and willing to absorb the costs of supervising additional
VOCA-funded staff. However, OVC realizes that the quality and quantity
of direct services can be enhanced by funding a volunteer coordinator's
salary or the salary of an individual who supervises interns.
Therefore, these Final Program Guidelines will continue to give State
grantees the latitude of determining under which circumstances VOCA
funds should support supervisory activities.
Background
In 1984, VOCA established the Crime Victims Fund (Fund) in the U.S.
Treasury and authorized the Fund to receive deposits from fines and
penalties levied on criminals convicted of Federal crimes. This Fund
provides the source of funding for carrying out all of the activities
authorized by VOCA.
OVC serves as the Federal focal point for all crime victim issues,
which includes ensuring that the criminal justice system addresses the
legitimate rights and interests of crime victims.
OVC's program activities support this role. These Program
Guidelines address the specific program and financial requirements of
the VOCA crime victim assistance grant program.
OVC makes annual VOCA crime victim assistance grants from the Fund
to States. The primary purposes of these grants are to support the
provision of direct services to innocent victims of violent crime
throughout the Nation, to assist victims of crime as soon as possible
in order to reduce the severity of the psychological and emotional
consequences of the victimization, to demonstrate on-going support for
the victim in coping with the impact of the victimization.
VOCA gives latitude to States to determine how VOCA victim
assistance grant funds will best be used within each State. However,
each State grantee must abide by the minimal statutory requirements
outlined in VOCA and these Program Guidelines.
Allocation of VOCA Victim Assistance Funds
A. Distribution of the Crime Victims Fund
OVC administers the deposits made into the Fund for activities, as
authorized in VOCA. The amount of funds available for distribution each
year is dependent upon the total deposits into the Fund during the
previous Federal Fiscal Year.
The Federal Courts Administration Act of 1992 removed the cap on
the Fund, beginning with Federal Fiscal Year (FFY) 1993 deposits. This
Act also eliminated the need for periodic reauthorization of VOCA and
the Fund by Congress. Thus, under current legislation, the Fund will
receive deposits indefinitely.
Deposits into the Fund are distributed as follows:
1. The first $6,200,000 deposited in the Fund in each of the fiscal
years 1992 through 1995 and the first $3,000,000 in each fiscal year
thereafter shall be available to the Federal judicial branch for
administrative costs to carry out the functions of the judicial branch
under Sections 3611 of Title 18, U.S. Code. [See Section 1402 (d)(1).]
2. Of the next $100,000,000 deposited in the Fund in a particular
fiscal year [Section 1402 (d)(2)],
a. 49.5 percent shall be available for victim compensation grants;
b. 45 percent shall be available for victim assistance grants;
c. 1 percent shall be available for training and technical
assistance services to eligible crime victim assistance programs and
for the financial support of services to victims of Federal crime by
eligible crime victim assistance programs; and
d. 4.5 percent shall be available for child abuse prevention and
treatment grants.
3. The next $5,500,000 deposited in the Fund in a particular fiscal
year shall be available for child abuse prevention and treatment grants
[Section 1402 (d)(3)],
4. The next $4,500,000 deposited in the Fund in a particular fiscal
year shall be available for victim assistance grants [Section 1402
(d)(4)],
5. Any deposits in the Fund in a particular fiscal year that remain
after the funds are distributed for the above purposes shall be
available as follows [Section 1402 (d)(4)]:
a. 47.5 percent shall be available for victim compensation grants;
b. 47.5 percent shall be available for victim assistance grants;
and
c. 5 percent shall be available for training and technical
assistance services to eligible crime victim assistance programs and
for the financial support of services to victims of Federal crime by
eligible crime victim assistance programs.
B. Availability of Funds
All States, the District of Columbia, the Commonwealth of Puerto
Rico, the U.S. Virgin Islands, Guam, American Samoa, Northern Mariana
Islands, and Palau (hereinafter referred to as ``States'') are eligible
to apply for, and receive, VOCA victim assistance grants. [See Section
1404(d)(1) of VOCA, codified at 42 U.S.C. 10603(d)(1).]
Funds are available for expenditure during the FFY of award and in
the next FFY (the grant period). The FFY begins on October 1 and ends
on September 30 of the following year. States may incur expenses
retroactively to the beginning of each year's grant, October 1, even
though the VOCA grant may not be awarded until later in the grant
period. Under VOCA, funds that are not obligated by the end of the
grant period must be returned to the General Fund of the U.S. Treasury.
Therefore, States are encouraged to closely monitor the expenditure of
VOCA funds at the subrecipient level and to reallocate unexpended funds
prior to the end of the grant period, when possible.
C. Allocation of Funds to States
From the Fund deposits available for victim assistance grants, each
State receives a base amount of $200,000, except Palau. The remaining
Fund deposits are distributed to each State, based upon the State's
population in relation to all other States, as determined by current
census data.
D. Allocation of Funds Within the States
The Governor of each State designates the State agency that will
administer the VOCA victim assistance grant program. That designated
State agency establishes policies and procedures regarding the
implementation and administration of the VOCA victim assistance grant
program. These policies and procedures must meet the minimum
requirements of VOCA and the Program Guidelines but can be more
restrictive.
VOCA victim assistance funds granted to the States are to be used
by eligible public and private nonprofit organizations to provide
direct services to crime victims. States have sole discretion for
determining which organizations will receive funds, and in what
amounts, as long as the recipients meet the requirements of VOCA and
the Program Guidelines.
States are encouraged to develop a VOCA program funding strategy,
which should consider the following: the range of victim services
throughout the State and within communities; the unmet needs of crime
victims; the demographic profile of crime victims; the coordinated,
cooperative response of community organizations in organizing services
for crime victims; the availability of services to crime victims
throughout the criminal justice process; and the extent to which other
sources of funding are available for services.
States are encouraged to expand into new service areas as needs
change. Many States use VOCA funds to stabilize victim services by
continuously funding selected organizations. Some States end funding to
organizations after several years in order to fund new organizations.
Other States limit the number of years an organization may receive VOCA
funds. These practices are within the State's discretion and are
supported by OVC, when they serve the best interests of crime victims
within the State.
States may award VOCA funds to organizations that are physically
located in an adjacent State. States should use this adjacent-State
approach when it is the only efficient and cost effective mechanism
available for providing services to victims who reside in the awarding
State. When adjacent-State awards are made, the amount of the award
must be proportional to the number of victims to be served by the
adjacent-State organization. OVC recommends that States enter into an
interstate agreement with the adjacent State to address monitoring of
the VOCA subrecipient, auditing Federal funds, managing noncompliance
issues, reporting requirements, etc.
Note: States are requested to notify OVC of each VOCA award made
to an organization in another State.
States may use a ``conduit'' organization to assist in selecting
qualified subrecipients or to reduce the State's administrative burden
in implementing the grant program. However, neither the ``conduit''
organization nor the State grantee may use any portion of the VOCA
victim assistance grant for the administrative, coordination, and/or
oversight activities. Further, the use of a ``conduit'' organization
does not relieve the State from ultimate programmatic and financial
responsibilities.
VOCA Victim Assistance Application Process
A. State Grant Application Process
Each year, OVC issues to each designated State agency a Program
Instruction and Application Kit. The Kit contains the necessary forms
and detailed information required to make application for VOCA grant
funds, including the Application for Federal Assistance, Standard Form
424. The amount for which each State may apply is included in the
Application Kit. At the time of application, States are not required to
provide specific information on the subrecipients that will receive
VOCA victim assistance funds.
In addition to the Application for Federal Assistance, States shall
specify their arrangements for complying with the provisions of
Circular A-128 (Audits of State or Local Government) and shall submit
Certifications Regarding Lobbying; Debarment, Suspension, and Other
Responsibility Matters; Drug-Free Workplace Requirements; Civil Rights
Compliance; and/or any other certifications required by OJP and OVC.
B. Application for Training Funds
The quality of victim services is directly related to appropriately
trained direct service providers; therefore, skills training for direct
service providers has always been an allowable cost. During previous
grant periods, States awarded VOCA funds to individual subrecipient
organizations to support various skills development and training
activities for individual service providers. Beginning with the FFY
1994 VOCA victim assistance grant program, State grantees have the
option of retaining a portion of their VOCA victim assistance grant for
conducting State-wide and/or regional State training(s) of victim
services staff.
This option is extended for the following reasons: appropriate
training opportunities are not always available within the State
boundaries; direct service providers often do not have resources to
access training in other States; access to quality training by all
victim services personnel could help expand quality services to crime
victims throughout the State; and State-wide training is often more
cost-effective than awarding VOCA funds to subrecipients to be trained
in other States.
To exercise this training option, a State must submit one or more
training proposals to OVC for approval, either at the time of
application for the annual VOCA victim assistance grant or at least
three months prior to the training events. The training activity must
occur within the grant period, and all training costs must be obligated
prior to the end of the grant period.
Note: VOCA grant funds cannot be used to supplant the cost of
existing State administrative staff or related State training
efforts, i.e., Statewide conferences, coalition conferences, etc.
The maximum amount permitted for this purpose is $5,000 or 1
percent of the State's grant, whichever is greater. The VOCA funds will
be matched at 20 percent, cash or in-kind, with the source of the match
described.
Note: States who choose to sponsor State-wide or regional
training(s) are not precluded from awarding VOCA funds to
subrecipients for other types of staff development.
Although specific criteria for applying for training funds will be
given in each year's Application Kit, the following general guidance is
provided, as follows:
1. The training proposal must identify the service provider needs
and address a plan for meeting these needs through the training
activity.
2. The training proposal must describe how the VOCA funds will be
used to improve the skills of paid and volunteer direct service staff.
3. The training offered must consist of skills development
activities for staff. Proposals submitted for seminars and conferences
that only focus on sharing ideas, providing general information, and
networking will not be approved. (An example of skills development is
training focused on how to respond to a victim in crisis. This type
differs significantly from being apprised of legislative updates of
recent research findings regarding victims of crime.)
4. The training proposal will describe the goals of the training
event, outline the curriculum, and identify costs associated with the
purchase of trainers, space, conference coordination, curriculum
development, materials, etc.
5. If registration fees will be charged to non-VOCA supported staff
and volunteers, the proposal must identify how the program income will
be used to defray the cost of the project.
Note: Program income generated from staff time is different from
billing for services.
Program Requirements
A. State Eligibility Requirements
VOCA and the Program Guidelines establish minimal eligibility
requirements. When applying for the VOCA victim assistance grant,
States are required to give assurances that the following conditions or
requirements will be met:
1. States shall certify that only eligible organizations will
receive VOCA funds and that VOCA crime victim assistance funds will be
used only for direct services to victims of crime. See Section 1404(b),
codified at 42 U.S.C. 10603(b). Eligible organizations are those
organizations that not only offer direct services to crime victims but
also serve as a voice on behalf of crime victims in their community.
2. States shall certify that VOCA crime victim assistance grant
funds will not be used to supplant State and local funds that would
otherwise be available for crime victim services. See Section
1404(a)(2)(C) of VOCA, codified at 10603(a)(2)(C). VOCA victim
assistance grant funds are intended to enhance or expand services, not
substitute for other sources of funding.
Note: This supplantation clause applies to State and local
public agencies only.
3. States shall certify that a minimum of 10 percent of each FFY's
grant (30 percent total) will be allocated to each of the following
categories of crime victims: sexual assault, domestic violence, and
child abuse.
Note: This is a State requirement and does not mean that each
VOCA subrecipient must meet this requirement.
These categories of crime victims are identified as ``priority''
victims by VOCA, because the problems experienced by these victims are
often exacerbated by societal attitudes or vulnerabilities. Although
``priority'' victims are given special consideration in allocating VOCA
funds, this designation does not imply that the needs and suffering of
``priority'' victims are greater than other crime victims.
Each State must meet this requirement, unless it can demonstrate to
OVC that (1) a ``priority'' crime victim is currently receiving
significant amounts of financial assistance from the State or other
funding sources; (2) a smaller amount of financial assistance, or no
assistance, is needed from the VOCA victim assistance grant program;
and (3) crime rates for a ``priority'' crime victim has diminished.
4. States shall certify that an additional 10 percent of each VOCA
grant will be allocated to victims of violent crime who were
``previously underserved'' with VOCA funds, other than the ``priority''
victims. Underserved victims include, but are not limited to, survivors
of homicide victims, victims of assault, survivors of DUI/DWI crashes,
etc. To meet the ``previously underserved'' requirement, States must
identify underserved crime victims by type of crime.
Note: Each State has latitude for determining the method for
identifying ``previously underserved'' crime victims, which may
include public hearings, needs assessments, task forces, meetings
with State-wide victim services agencies, etc.
Each State must meet this requirement, unless it can justify to OVC
that (1) services to victims of violent crime, other than the
``priority'' victims, are receiving significant amounts of financial
assistance from the State or other funding sources; (2) a smaller
amount of financial assistance, or no assistance, is needed from the
VOCA victim assistance grant program; and (3) crime rates for victims
of violent crime, other than ``priority'' victims, has diminished.
States may fund services to Native Americans, elderly, Hispanic, or
any other crime victims with specific demographic profiles and use
those services to meet the ``previously underserved'' requirement.
However, States must identify the type of violent crime to which the
victims are subjected, such as assault, homicide, DUI/DWI, kidnapping,
robbery, elder abuse, abuse of vulnerable adults, etc.
Note: For the purpose of the VOCA victim assistance grant
program, abuse of vulnerable adults occurs when an adult, who does
not have the mental and/or physical capacity to manage their daily
needs, is subjected to either physical or emotional abuse by a
guardian or caretaker.
5. States shall certify that appropriate accounting, auditing, and
monitoring procedures will be employed at the State and subrecipient
levels and that records are maintained to assure fiscal control, proper
management, and efficient disbursement of the VOCA victim assistance
funds, as per the M7100.1D, effective edition.
6. States shall certify compliance with all Federal laws and
regulations applicable to Federal assistance programs and with the
provisions of Title 28 Code of Federal Requirements (CFR) applicable to
grants.
7. States shall certify its compliance, and its subrecipients'
compliance, with the applicable provisions of VOCA and the Final
Program Guidelines.
8. States shall submit required programmatic and financial reports
on the use of the VOCA victim assistance funds by the deadlines
prescribed by OVC. (See Program Requirements and Financial Requirements
for reporting requirements and timelines.)
9. States shall ensure that no person shall, on the grounds of
race, color, religion, national origin, handicap, or sex, be excluded
from participation in, denied the benefits of, subjected to
discrimination under, or denied employment in connection with, any
undertaking funded in whole or in part with VOCA victim assistance
grant funds.
10. In the event a Federal or State court or administrative agency
makes a finding of discrimination on the grounds of race, religion,
national origin, sex, or disability against a recipient of VOCA victim
assistance funds, the State shall certify that a copy of that finding
will be forwarded to the Office of Civil Rights (OCR) for OJP.
11. States shall immediately notify OVC in the event of a finding
of fraud, waste, and/or abuse of VOCA funds and continue to apprise OVC
of the status of on-going investigations.
12. States are encouraged to coordinate their activities with the
State victim compensation agency. Coordination could include activities
such as meetings; training activities for direct service providers on
the general parameters of the State compensation agency's program
(e.g., eligibility criteria, completion of claims, and time frames for
receiving compensation); providing information on VOCA victim
assistance services within the State; developing joint guidance, where
applicable, on third-party payments to VOCA assistance organizations;
etc.
13. States are encouraged to coordinate their activities with the
Victim/Witness Coordinator staff within U.S. Attorney Offices to ensure
that the Coordinators are aware of available resources for victims of
Federal crime. Such coordination could include providing Coordinators
with a list of VOCA-funded organizations, co-sponsoring training
activities, inviting Coordinators to serve on review panels that select
the organizations to receive VOCA funds, etc.
B. Subrecipient Organization Eligibility Requirements
VOCA establishes minimal eligibility criteria that must be met by
all organizations that receive VOCA funds. These funds are to be
awarded to subrecipients for the purpose of providing direct services
to victims through their staff. Each subrecipient organization shall:
1. Be a public or nonprofit organization that provides direct
services to crime victims.
2. Have a record of providing effective direct services to crime
victims for a minimum of one year, have the support and approval of its
services by the community, have a history of providing direct services
in a cost-effective manner, and have financial support from non-Federal
sources. An organization meeting these criteria is considered an
``existing'' organization for match purposes.
States may choose to fund organizations which have been providing
direct victim services for less than one year. However, these
organizations must have financial support from non-Federal sources and
meet the match requirement for ``new'' victim services organizations.
3. Be able to meet program match requirements. Match must be
committed for each VOCA-funded project, must be derived from the other
resources within the organization, and cannot be derived from other
Federal funds and/or sources, except as provided in Chapter 2,
paragraph 14, of the M7100.1D. All funds designated as match are
restricted to the same uses as the VOCA victim assistance funds and
must be expended within the grant period. Thus, only services and
activities that are VOCA-allowable qualify as match. Because of this
requirement, VOCA subrecipients must maintain records which clearly
show the source, the amount, and the period during which the match was
expended. Organizations are not encouraged to commit excessive amounts
of match to the VOCA-funded project.
Match requirements are as follows:
a. For an ``existing'' victim services organization, the match is
20 percent, cash or in-kind, of the total VOCA project (VOCA grant plus
match).
b. For a ``new'' victim services organization the match is 35
percent, cash or in-kind, of the total VOCA project (VOCA grant plus
match).
c. The match for VOCA subrecipients that are Native American
tribes/organizations located on reservations, whether new or existing,
is 5 percent, cash or in-kind, of the total VOCA project (VOCA grant
plus match.) A Native American tribe/organization is described as any
tribe, band, nation, or other organized group or community, which is
recognized as eligible for the special programs and services provided
by the United States to Native Americans because of their status as
Native Americans. A reservation is defined as a tract of land set aside
for use of, and occupancy by, Native Americans.
d. Subrecipients located in the U.S. Virgin Islands, and all other
territories and possessions of the United States excluding Puerto Rico,
whether considered new or existing, are not required to match the VOCA
funds. See 48 U.S. Code, 1469a(d).
4. Use volunteers unless the State determines there is a compelling
reason to waive this requirement. A ``compelling reason'' may be a
statutory or contractual provision concerning liability or
confidentiality of counselor/victim information, which bars using
volunteers for certain positions, or the inability to recruit and
maintain volunteers after a sustained and aggressive effort.
5. Promote, within the community served, a coordinated approach for
serving crime victims, thus avoiding duplication of effort.
Coordination may include, but is not limited to, serving on State,
Federal, local, or Native American task forces, commissions and/or
working groups; developing written interagency agreements; etc.--all of
which contribute to better and more comprehensive services to crime
victims.
Note: The examples of coordination efforts, as mentioned above,
qualify an organization to receive VOCA victim assistance funds, but
are not activities that can be supported with VOCA funds.
6. Assist crime victims with crime victim compensation benefits.
Such assistance may include identifying and notifying crime victims of
the availability of compensation, assisting them with application forms
and procedures, obtaining necessary documentation, and/or checking on
claim status.
7. Comply with the applicable provisions of VOCA, the Program
Guidelines, and the requirements of M7100.1D, which includes
maintaining appropriate programmatic and financial records that fully
disclose the amount and disposition of VOCA funds received. This
includes financial documentation for disbursements; daily time and
attendance records specifying time devoted to VOCA allowable victim
services; client files; the portion of the project supplied by other
sources of revenue; job descriptions; contracts for services; and other
records which facilitate an effective audit.
8. Maintain statutorily required civil rights statistics on victims
served by race or national origin, sex, age, and disability, within the
timetable established by the State grantee; and permit reasonable
access to its books, documents, papers, and records to determine
whether the recipient is complying with applicable civil rights laws.
Note: This requirement is waived when providing a service, such
as telephone counseling, where soliciting the information is
inappropriate or offensive to the crime victim.
9. Submit statistical and programmatic information on the use of
and impact of VOCA funds, as requested and within the timetable
established by the State grantee.
10. Provide services to victims of Federal crimes on the same basis
as victims of State crimes. Federal crimes are prosecuted by U.S.
Attorney Offices.
11. Provide a variety of services and assistance to crime victims,
beyond assistance with compensation and information/referral services.
12. Abide by any additional eligibility or service criteria as
established by the State grantee.
13. Provide services, at no charge, through the VOCA-funded
project. Any deviation from this provision requires prior approval by
the State and OVC.
14. Maintain confidentiality of client-counselor information. VOCA
subrecipients cannot use or reveal any client information without the
consent of the client.
C. Eligible Subrecipient Organizations
Nonprofit and public organizations that provide direct services to
crime victims are eligible to receive VOCA funds. These include, but
are not limited to, rape crisis centers, domestic violence shelters,
child abuse treatment facilities, centers for missing children,
prosecutor offices, courts, probation and parole authorities,
hospitals, public housing authorities, and religious-affiliated
organizations.
Although nonprofit and public organizations may be eligible to
receive VOCA funding, there are limitations on the use of VOCA victim
assistance grant funds by these organizations. For example, VOCA funds
cannot be used for an activity mandated by State legislation for which
State or local funds are not available. However, VOCA funds can extend
or enhance the legislatively mandated activities.
Note: In situations where a service is mandated by law but funds
have not been appropriated, State grantees are cautioned to closely
review using VOCA funds to support such activities. States may use
VOCA funds to support an unfunded legislative mandate for a limited
time, if the State believes that such support is essential to
meeting the needs of crime victims.
In addition to victim services organizations, whose sole mission is
to serve crime victims, many other public and nonprofit organizations
that offer services to crime victims may be eligible to receive VOCA
victim assistance grant funds. These organizations include, but are not
limited to, the following:
1. Criminal justice agencies such as law enforcement organizations,
prosecutor offices, courts, probation and parole authorities. However,
these organizations may only use VOCA funds for services that exceed
the boundaries of their mandate. For example, a police department
cannot use VOCA victim assistance funds to hire law enforcement
personnel for activities that a sworn law enforcement officer would be
expected to provide in the normal course of his/her duties, such as
crime scene intervention, questioning of victims and witnesses,
investigation of the crime, and follow-on activities.
2. State and local public agencies charged with, for example,
providing child and adult protective services or mental health
services. Because rules and laws governing each jurisdiction differ,
OVC encourages each State to closely review requests for VOCA funding
by social services and public mental health organizations to ensure
supplantation does not occur.
3. Religious-affiliated organizations. Religious organizations that
receive VOCA funds must ensure that (1) services are offered to all
crime victims without regard to religious views; (2) the receipt of
services is not contingent upon participation in a religious activity
or event; and (3) receipt of the funds does not create an ``excessive
entanglement'' of church and State.
4. Other public and nonprofit organizations whose primary mission
or purpose is not providing services to crime victims but who have a
component of the organization that provides services to crime victims.
Such organizations may include state grantees, mental health centers,
hospitals, legal services agencies, coalitions, etc. These
organizations must meet the same eligibility criteria as all other
subrecipients.
5. State crime victim compensation agencies. Compensation programs
that provide direct services such as group treatment, therapy and
counseling, court accompaniment, shelter, etc. may receive VOCA funds.
These services extend far beyond information/referral counseling
regarding compensation benefits, and assistance with filing for
compensation benefits.
Note: Because State compensation programs do not generally
provide the type of direct services envisioned by the VOCA victim
assistance grant program and the Program Guidelines, State grantees
are encouraged to discuss with OVC any proposed award of VOCA victim
assistance funds to a compensation program prior to making a final
funding decision.
6. Hospitals and emergency medical facilities. Such organizations
must offer counseling, support groups, and other types of victim
services. Additionally, States may award VOCA funds to a medical
facility for the purpose of performing forensic examinations on sexual
assault victims if (1) the examination meets the standards established
by the State, local prosecutor's office, or State-wide sexual assault
coalition; and (2) appropriate crisis counseling and/or other types of
victim services are offered to the victim in conjunction with the
examination.
D. Ineligible Recipients of VOCA Funds
Some public and nonprofit organizations that offer services to
crime victims are not eligible to receive State VOCA victim assistance
funding. These organizations include, but are not limited to, the
following:
1. Federal agencies, including U.S. Attorneys Offices, are not
eligible to receive VOCA funds. Receipt of VOCA funds would constitute
an augmentation of the Federal budget with money intended for State
agencies. However, private nonprofit organizations that operate on
Federal land may be eligible subrecipients of VOCA victim assistance
grant funds.
2. In-patient treatment facilities that are designed to provide
treatment to individuals with drug, alcohol, and/or mental health-
related conditions are not eligible to receive VOCA victim assistance
grant funds. In-patient facilities are not open and accessible to the
general public and, therefore, do not meet the criteria for a victim
services organization as intended by VOCA and these Program Guidelines.
E. Services, Activities, and Costs
Throughout the legislative history of VOCA, Congress has provided
guidance on the types of direct services intended by this Act. These
include those services which respond to the immediate needs of crime
victims, so that the severity of the psychological trauma is reduced;
assist the victim in participating in the criminal justice process; and
help restore the victim's sense of dignity, self esteem, and coping
mechanisms. Likewise, costs that are necessary and essential to
providing these direct services may be supported with VOCA victim
assistance grant funds.
1. Allowable Direct Services, Activities, and Costs. The following
is a non-exhaustive listing of services, activities, and costs that are
considered to be eligible for support with VOCA victim assistance grant
funds within a subrecipient's organization:
a. Those services which immediately respond to the emotional and
physical needs (excluding medical care) of crime victims such as crisis
intervention; accompaniment to hospitals for medical examinations;
hotline counseling; emergency food, clothing, transportation, and
shelter; emergency legal assistance such as filing restraining orders;
and other emergency services that are intended to restore the victims'
sense of dignity, self esteem, and coping mechanisms.
b. Those services and activities that assist the primary and
secondary victims of crime in understanding the dynamics of
victimization and in stabilizing their lives after a victimization such
as counseling, group treatment, and therapy.
c. Services that are directed to the needs of the victim within the
criminal justice system but not, primarily, to the needs of the
criminal justice system. These services may include criminal justice
advocacy, accompaniment to law enforcement offices, transportation to
court, child care while in court, trial notification and case
disposition information, restitution advocacy, assistance with victim
impact statements, and parole notification.
d. Services which offer an immediate measure of safety to crime
victims such as preventing the reburglarization by boarding-up windows,
replacing or repairing locks, etc.
e. Forensic examinations for sexual assault victims only to the
extent that other funding sources (such as State compensation or
private insurance or public benefits) are unavailable or insufficient.
Note: State grantees should establish controls for using VOCA
victim assistance funds to pay for forensic examinations in sexual
assault cases. The controls should require VOCA subrecipients to
investigate to what extent other resources are available to pay for
the examinations; what other direct services will be offered in
conjunction with the examination; and if the examination meets the
evidentiary standards established by the State, local prosecutor's
office, or State-wide coalition. VOCA funds cannot be used to pay
for those forensic examinations that do not conform to one of these
standards.
f. Costs that are necessary and essential to providing direct
services such as pro-rated costs of rent, telephone service,
transportation costs for victims to receive services or participate in
the criminal justice system, and local travel expenses for direct
service providers.
g. Services which assist crime victims with managing practical
problems created by the victimization such as acting on behalf of the
victim vis-a-vis other service providers, creditors, or employers;
assisting the victim to recover property that is retained as evidence;
assisting in filing for compensation benefits; helping to apply for
public assistance; managing the overall service and informational needs
on behalf of the crime victim until such time that the victim can
assume these responsibilities; etc.
h. Costs that are directly related to providing direct services
through staff. Such costs may consist of the following: Advertising
costs associated with recruiting VOCA-funded personnel; training costs
for paid and volunteer staff; salaries and fringe benefits, to include
malpractice insurance for professional direct service providers who are
subject to civil actions.
i. Meetings and panels where crime victims are able to confront
perpetrators, if they are requested by the victim and if they offer
therapeutic value to crime victims. At times, such meetings and panels
can provide victims with an opportunity to tell and retell one's story,
put feelings and experiences into words, and enable victims to move
forward with their lives.
States that plan to fund this type of service should closely review
the criteria for, and the standards governing, the service to be
provided. At a minimum, the following should be considered: (1) The
benefit or therapeutic value to the victim, (2) the type of crimes and
subsequent victims that will benefit from the service, (3) the number
of victims wishing to participate, (4) the provision of appropriate
support and accompaniment for the victim, (5) appropriate
``debriefing'' opportunities for the victim after the meeting or panel,
(6) the credentials of the facilitators, (7) the other needs of
individual crime victims, and (8) the opportunity for a crime victim to
withdraw from the process at any time without negative feelings or
penalty. States are encouraged to discuss proposals with OVC prior to
awarding VOCA funds for this type of activity.
Note: Victim-Offender mediation services in which the mediation
serves to replace criminal justice proceedings cannot be supported
with VOCA victim assistance funds.
2. Other Related Allowable Services, Activities, and Costs. The
services, activities, and costs discussed under this section are not
generally considered direct crime victim services. For example, staff
training is often a necessary and essential activity to ensure that
quality direct services are provided; however, it is not a direct
services. Other costs described in this section may, also, be tied to
direct services, although in a more remote way. Before these costs can
be supported with VOCA funds, the State and subrecipient must agree
that direct services to crime victims cannot be offered without support
for these expenses, that the subrecipient has no other source of
support for them, and that only limited amounts of VOCA funds will be
used for these purposes. The following list provides examples of such
items:
a. Skills training for staff. VOCA funds designated for training
are to be used exclusively for developing the skills of direct service
providers (paid and volunteer) so that they are better able to offer
quality services to crime victims. An example of skills development is
training focused on how to respond to a victim in crisis. This type of
training differs significantly from being apprised of legislative
updates or recent research findings regarding victims of crime.
VOCA funds can be used for training direct service providers within
the subrecipient's organization, who are not supported with VOCA funds;
however, priority should be given to the individuals supported with
VOCA funds.
VOCA funds can purchase materials such as books, training manuals,
and videos for direct service providers, within the VOCA-funded
organization, and can support the costs of a trainer for in-service
staff development. Although VOCA cannot support training individuals in
other organizations, other staff from other organizations can be
invited to attend training activities that are held for the
subrecipient's staff, if no additional costs will be incurred by the
VOCA-funded project.
VOCA funds can support costs associated with attendance at training
activities held on a State-wide basis or within a similar geographic
area, such as travel, meals, lodging, and registration fees. This
limitation encourages State grantees and subrecipients to first look
for available training within their immediate geographical area, as
travel costs will be minimal. However, when needed training
opportunities are unavailable within the immediate geographical area,
State grantees may authorize the use of VOCA funds to support needed
training outside of this geographical limitation.
VOCA funds cannot be used to support attendance at local, regional,
or national-level conferences that do not focus on skills development
for direct service providers but focus, instead, upon national issues,
networking, legislative updates, presentation of research papers, etc.
nor can VOCA funds support management and administrative training for
executive directors, board members, and other individuals that do not
provide direct services.
b. Equipment and furniture that the State determines is necessary
and essential to providing or enhancing direct services to crime
victims, as demonstrated by the VOCA subrecipient.
Note: VOCA funds cannot support the entire cost of equipment
that is not used exclusively for victim-related activities but can
support a prorated share. Additionally, subrecipients cannot use
VOCA funds to purchase equipment for another organization or
individual to perform a victim-related service.
Examples of allowable costs may include beepers; typewriters and
word processors; video-tape cameras and players for interviewing
children; two-way mirrors; and equipment and furniture for shelters,
work spaces, victim waiting rooms, and children's play areas.
At times, computers may increase a subrecipient's ability to reach
and serve crime victims. In such cases, VOCA subrecipients must
describe to the State how the computer equipment will enhance services
to crime victims; how it will be integrated into and/or enhance the
subrecipient's current system; the cost of installation; the cost of
training staff to use the computer equipment; the on-going operational
costs, such as maintenance agreements, supplies; how these additional
costs will be supported; etc.
States who authorize equipment to be purchased with VOCA funds must
establish policies and procedures on the acquisition as well as the
disbursement of the equipment, when the subrecipient no longer receives
a VOCA grant. (See M7100.1D). Additionally, at a minimum, property
records must be maintained, which contain the following: A description
of the property and a serial number or other identifying number; who
holds title; the acquisition date, the cost and the percentage of VOCA
funds supporting purchase; the location, use, and condition of the
property; and any ultimate disposition data, including the date of
disposal and sale price.
c. Contracts for professional services. VOCA funds can only support
limited use of contract services. Subrecipients are prohibited from
using a majority or their entire award for contracted services that
have administrative, overhead, and other indirect costs included in the
hourly or daily rate.
VOCA grant funds are to be used within the subrecipient's
organization. It was not intended that the VOCA subrecipients serve as
contractors of services. However, at times, it may be necessary for
VOCA subrecipients to contract for specialized services such as when
there is an infrequent need for a specialized victim service. In such
situations, subrecipient organizations may find that it is not cost-
effective to employ an individual with the skills to perform the needed
service, either on a part- or full-time basis. Additionally, there may
be emergency situations requiring victim services that are beyond the
scope of the VOCA subrecipient organization. Examples include the
following: An attorney's fee for securing an emergency temporary
retraining order; a physician's fee for conducting an forensic
examination on a sexual assault victim only to the extent that other
funding sources are unavailable or insufficient; emergency
psychological or psychiatric services; etc.
Note: VOCA funds cannot be used to pay for legal costs or legal
representation for divorces, child custody or visitation rights
litigation, etc., for victims of spousal or child abuse.
d. Operating costs directly related to serving crime victims are
allowable, such office supplies; equipment use fees, when supported by
usage logs; printing, photocopying, and postage; brochures which
describe available services; books and other victim-related materials;
etc. VOCA funds may support administrative time to complete VOCA-
required time and attendance sheets and programmatic documentation,
reports, and statistics; administrative time to maintain crime victims'
records; pro-rated share of audit costs; etc.
e. Supervision of direct service providers only to the extent that
the State grantee believes that such supervision is necessary and
essential to providing direct services to crime victims. For example, a
State grantee may believe that using VOCA funds to support a volunteer
coordinator position that is responsible for recruiting, screening,
training, supervising, and maintaining volunteers is necessary and
essential as well as being a cost-effective way of serving more crime
victims.
f. Repair and/or replacement of an essential item of a victim
service that contributes to maintaining a healthy and/or safe
environment, such as a furnace in a shelter. State grantees are
cautioned to scrutinize each request for expending VOCA funds for such
purposes to ensure the following: (1) that the building is owned by the
subrecipient organization and not rented/leased, (2) all other sources
of funding have been exhausted, (3) there is no available option for
providing the service in another location, (4) that the cost of the
repair or replacement is reasonable considering the value of the
building, and (5) the cost of the repair or replacement is pro-rated
among all sources of income. States are encouraged to discuss
individual requests for substantial repairs of essential service
components with OVC.
g. Activities and costs related to describing the services
available to crime victims within the community such as presentations,
brochures, newspaper articles, etc.
3. Unallowable Services, Activities, and Costs. The following
services, activities, and costs, although not exhaustive, cannot be
supported with VOCA victim assistance grant funds:
a. Crime prevention activities and other activities intended to
educate the community on the prevention of crime and to raise the
public's consciousness regarding crime.
b. Lobbying and administrative advocacy for victim legislation or
administrative reform, whether conducted directly or indirectly.
c. Perpetrator rehabilitation and counseling. Subrecipients cannot
knowingly use VOCA funds to offer rehabilitative services to offenders.
Likewise, VOCA funds cannot support services to incarcerated
individuals, even when the service pertains to the victimization of
that individual.
d. Needs assessments, surveys, evaluations, studies, and research
efforts conducted by individuals, organizations, task forces, special
commissions, etc. which study and/or research a particular crime victim
issue.
e. Activities that are directed at prosecuting an offender and/or
improving the criminal justice system's effectiveness and efficiency
such as witness notification and management activities; expert
testimony at a trial; victim/witness expenses such as travel to testify
in court and subsequent lodging and meal expenses; victim protection
costs; etc., which are considered part of the criminal justice agency's
responsibility.
f. Fundraising activities.
g. Indirect organizational costs such as liability insurance on
buildings and vehicles; capital improvements; security guards and body
guards; property losses and expenses; real estate purchases; mortgage
payments; construction costs; etc.
h. Use of assistance funds for reimbursing crime victims for
expenses incurred as a result of a crime or to supplement crime victim
compensation awards to victims of crime for such costs as funeral
expenses, lost wages, medical bills, etc.
i. Vehicles, purchased or leased. State grantees who believe that
crime victims will not be able to receive services without VOCA support
for a vehicle are urged to discuss the situation with OVC. Unless OVC
gives prior approval to use VOCA to support a vehicle, such an expense
is unallowable.
j. Nursing home care, home health-care costs, in-patient treatment
costs, hospital care, and other types of emergency and non-emergency
medical and/or dental treatment. VOCA victim assistance grant funds
cannot support medical costs regardless of whether they are a result of
a victimization or not. EXCEPTION: See Program Requirements, E.
Allowable Direct Services, Activities, and Costs, 1.e., regarding
forensic examinations for sexual assault victims.
k. Relocation expenses such as moving expenses, security deposits
on housing, ongoing rent, mortgage payments; However, VOCA funds may be
used to support staff time in locating resources to assist victims with
these expenses.
l. Professional dues and memberships in the name of a specific
individual. However, VOCA funds may purchase organizational
memberships, or a membership, for example, in the name of the
``Executive Director,'' if such membership will offer needed, timely,
and relevant information on victim services and issues that assist
direct service providers to provide quality services.
m. Salaries, fees, and reimbursable expenses associated with
administrators, board members, executive directors, consultants,
coordinators, and other individuals unless, and to the extent that,
these expenses are incurred while providing direct services to crime
victims.
n. Development of protocols, interagency agreements, and other
working agreements that benefit crime victims, in general, throughout
the community. These activities are considered examples of the types of
activities that organizations undertake as part of their role as a
victim services organization, which in turn qualifies them as an
eligible VOCA subrecipient. As such, VOCA funds cannot be used to
support these activities.
o. The costs of sending individual crime victims to conferences.
The purpose of the VOCA victim assistance grant program is to maximize
the impact of the limited VOCA funds by expanding the number of direct
service providers available to offer services. VOCA funds are
insufficient to support individual crime victims' needs and cannot be
used for this purpose.
p. Attendance at national-level conferences and symposia that have
as a primary focus discussions and presentations on national issues,
networking, sharing ideas, presenting research findings, etc., even
when held in a subrecipient's community. Conferences that focus on
skills development components that enable service providers to offer
quality services to crime victims may be allowable. (See previous
guidance located at Program Requirements, E. Services, Activities, and
Costs, 2.a.)
q. Development of training manuals and/or extensive training
materials. Viable crime victim organizations that receive VOCA funds
should, prior to receiving a VOCA grant, offer training and materials
for their staff.
F. Program Reporting Requirements
States will be required to adhere to all reporting requirements and
times for submitting the required reports, as indicated below. Failure
to do so may result in a hold being placed on the drawdown of the
current year's funds, a hold being placed on processing the next year's
grant award, or can result in the suspension or termination of a grant.
1. Subgrant Award Reports. States are required to submit to OVC,
within 30 days of making the subaward, Subgrant Award Report
information for each subrecipient of VOCA victim assistance grant
funds. Subgrant Award Report information is to be submitted to OVC via
the automated subgrant dial-in system, whenever possible. When not
possible, State grantees must complete and submit the Subgrant Award
Report form, OJP 7390/2A, for each VOCA subrecipient.
If the Subgrant Award Report information changes by the end of the
grant period, States must inform OVC of the changes, either by revising
the information via the automated subgrant subdial system, by
completing and submitting to OVC a revised Subgrant Award Report form,
or by making notations on the State-wide database report and submitting
it to OVC. The total of all Subgrant Award Reports submitted by the
State must agree with the Final Financial Status Report (269A) that is
submitted at the end of the grant period.
A Subgrant Award Report is required for each organization that
receives VOCA funds and uses the funds for employee salaries, fringe,
supplies, rent, etc. This requirement applies regardless of whether the
mechanism by which the State awards VOCA funds to a subrecipient is
called a grant, contract, or subgrant and regardless of the type of
organization (public or nonprofit) that receives the funds.
Subgrant Award Reports are not to be completed for organizations
that serve only as conduits for distributing VOCA funds or for
organizations that provide limited, emergency services, on an hourly
rate, through VOCA subrecipient organizations. All services and
activities purchased on an hourly rate with VOCA funds are to be
included in the subrecipient's Subgrant Award Report.
2. Performance Report. Each State is required to submit specific
end-of-grant data on the OVC-provided Performance Report, form No. OJP
7390/4, no later than 90 days after each VOCA victim assistance grant
ends.
G. Additional Program Requirements
1. Civil Rights--Prohibition of Discrimination for Recipients of
Federal Funds. No person in any State shall, on the grounds of race,
color, religion, national origin, sex, or disability be excluded from
participation in, be denied the benefits of, be subjected to
discrimination under, or denied employment in connection with any
program or activity receiving Federal financial assistance, pursuant to
the following statutes and regulations: Section 809(c), Omnibus Crime
Control and Safe Streets Act of 1968, as amended, 42 U.S.C. 3789d, and
Department of Justice Nondiscrimination Regulations, 28 CFR part 42,
Subparts C, D, E, and G; Title VI of the Civil Rights Act of 1964, as
amended, 42 U.S.C. 2000d, et seq.; Section 504 of the Rehabilitation
Act of 1973, as amended, 29 U.S.C. 794; Subtitle A, Title II of the
Americans with Disabilities Act of 1990, 42 U.S.C. 12101, et seq. and
Department of Justice regulations on disability discrimination, 28 CFR
Part 35 and Part 39; Title IX of the Education Amendments of 1972, as
amended, 20 U.S.C. 1681-1683; and the Age Discrimination Act of 1975,
as amended, 42 U.S.C. 6101, et seq.
2. Confidentiality of Research Information. Except as otherwise
provided by Federal law, no recipient of monies under VOCA shall use or
reveal any research or statistical information furnished under this
program by any person, and identifiable to any specific private person,
for any purpose other than the purpose for which such information was
obtained, in accordance with VOCA. Such information, and any copy of
such information, shall be immune from legal process and shall not,
without the consent of the person furnishing such information, be
admitted as evidence or used for any purpose in any action, suit, or
other judicial, legislative, or administrative proceeding. [See Section
1407(d) of VOCA, codified at 42 U.S.C. 10604.]
This provision is intended, among other things, to assure the
confidentiality of information provided by crime victims to counselors
working for victim services programs receiving VOCA funds. Whatever the
scope of application given this provision, it is clear that there is
nothing in VOCA or its legislative history to indicate that Congress
intended to override or repeal, in effect, a State's existing law
governing the disclosure of information, which is supportive of VOCA's
fundamental goal of helping crime victims. For example, this provision
would not act to override or repeal, in effect, a State's existing law
pertaining to the mandatory reporting of suspected child abuse. See
Pennhurst State School and Hospital v. Halderman, et al., 451 U.S. 1
(1981). Furthermore, this confidentiality provision should not be
interpreted to thwart the legitimate informational needs of public
agencies. For example, this provision does not prohibit a domestic
violence shelter from acknowledging, in response to an inquiry by a law
enforcement agency conducting a missing person investigation, that the
person is safe in the shelter. Similarly, this provision does not
prohibit access to a victim service project by a Federal or State
agency seeking to determine whether Federal and State funds are being
utilized in accordance with funding agreements.
Financial Requirements
State grantees and subrecipients of VOCA victim assistance funds
shall adhere to the financial and administrative provisions set forth
in the OJP ``Financial and Administrative Guide for Grants'', M7100.1D
(effective edition). The following describes the audit requirements for
State grantees and subrecipients, the completion and submission of
Financial Status Reports, and actions that result in termination of
advanced funding.
A. Audit Responsibilities for State Grantees
Pursuant to OMB Circular A-128 (Audits of State or Local
Governments), grantees that receive $100,000 or more in Federal
financial assistance in any fiscal year must have a single audit for
that year. State governments receiving at least $25,000, but less than
$100,000, in a fiscal year have the option of performing a single audit
or an audit of the Federal program, as required by the applicable
Federal laws and regulations. State and local governments receiving
less than $25,000 in any fiscal year are exempt from audit
requirements.
B. Audit Responsibilities for Subrecipients
Pursuant to OMB Circular A-128 (Audits of State or Local
Governments), local governments that receive $100,000 or more in
Federal financial assistance in any fiscal year shall have a single
audit for that year. Local governments receiving at least $25,000, but
less than $100,000, in a fiscal year have the option of performing a
single audit or an audit of the Federal program, as required by the
applicable Federal laws and regulations. Local governments receiving
less than $25,000 in any fiscal year are exempt from audit
requirements.
Institutions of higher education and other nonprofit organizations
that receive $100,000 or more a year in Federal financial assistance
shall have an audit made in accordance with OMB Circular A-133.
Organizations and institutions that receive at least $25,000, but less
than $100,000, in a fiscal year shall have an audit made in accordance
with OMB Circular A-133 or an audit of the Federal program.
Institutions and organizations receiving less than $25,000 in any
fiscal year are exempt from audit requirements.
C. Financial Status Report for State Grantees
A Financial Status Reports (269A) are required from all State
grantees. A Financial Status Report shall be submitted to the Office of
the Comptroller for each calendar quarter in which the grant is active.
This Report is due even though no obligations or expenditures were
incurred. Financial Status Reports shall be submitted to the Office of
the Comptroller, by the State, within 45 days after the end of each
subsequent calendar quarter. Calendar quarters end March 31, June 30,
September 30, and December 31. A Final Financial Status Report is due
90 days after the end of the VOCA grant period, no later than December
31.
D. Termination of Advance Funding to State Grantees
If the State grantee receiving cash advances by Letter of Credit or
by direct Treasury check demonstrates an unwillingness or inability to
establish procedures that will minimize the time elapsing between cash
advances and disbursement, OJP may terminate advance funding and
require the State to finance its operations with its own working
capital. Payments to the State will then be made by the direct Treasury
check method, which reimburses the State for actual cash disbursements.
Monitoring
A. Office of the Comptroller
The Office of the Comptroller conducts periodic reviews of the
financial policies, procedures, and records of VOCA grantees and
subrecipients. Therefore, upon request, States and subrecipients must
give authorized representatives the right to access and examine all
records, books, papers, case files, or documents related to the grant
and all subawards.
B. Office for Victims of Crime
Beginning with the FFY 1991 grant period, OVC implemented an on-
site monitoring plan in which each State grantee is visited a minimum
of once every three years. While on site, OVC personnel will expect to
review various documents and files such as (1) financial and program
manuals and procedures governing the VOCA grant program; (2) financial
records, reports, and audit reports for the State grantee and all VOCA
subrecipients; (3) the State's VOCA application kit, procedures, and
guidelines for subawarding VOCA funds; and (4) all other State and
subrecipient records and files.
Additionally, OVC will visit selected subrecipients and will review
similar documents such as (1) financial records, reports, and audit
reports; (2) policies and procedures governing the organization and the
VOCA funds; (3) programmatic records of victims' services; and (4)
timekeeping records and other supporting documentation for costs
supported by VOCA funds.
Suspension and Termination of Funding
If, after notice and opportunity for a hearing, OVC finds that a
State has failed to comply substantially with VOCA, the M7100.1D, the
Final Program Guidelines, or another implementing regulation or
requirements, OVC may suspend or terminate funding to the State and/or
take other appropriate action. At such time, State grantees may request
a hearing on the justification for the suspension and/or termination of
VOCA funds. VOCA subrecipients, within the State, may not request a
hearing at the Federal level. However, VOCA subrecipients who believe
that the State has violated a program and/or financial requirement are
not precluded from bringing the alleged violation(s) to the attention
of OVC.
Carolyn A. Hightower,
Acting Director, Office for Victims of Crime, Office of Justice
Programs.
[FR Doc. 94-5468 Filed 3-9-94; 8:45 am]
BILLING CODE 4410-18-P
