[Federal Register Volume 60, Number 90 (Wednesday, May 10, 1995)]
[Notices]
[Pages 24888-24896]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-11368]
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DEPARTMENT OF JUSTICE
Office for Victims of Crime
[OJP NO. 1045]
RIN 1121-AA30
Victims of Crime Act Victim Assistance Grant Program
AGENCY: Department of Justice, Office of Justice Programs, Office for
Victims of Crime.
ACTION: Interim 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 Interim
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 Interim Final Program Guidelines are effective
May 10, 1995.
FOR FURTHER INFORMATION CONTACT: Carolyn A. Hightower, Acting Director,
State Compensation and Assistance Division, 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: 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 nine years of the grant program and are in
accordance with VOCA. These Interim 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, these
Guidelines were 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
granted by OMB.
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 [[Page 24889]] levied against criminals convicted of Federal
crimes. This Fund provides the source of funding for carrying out all
of the activities authorized by VOCA.
OVC serves as the Federal government's chief advocate for all crime
victim issues, which includes ensuring that the criminal justice system
addresses the legitimate rights and interests of crime victims. OVC's
program activities support this role. These Program Guidelines address
the specific program and financial requirements of the VOCA crime
victim assistance grant program.
OVC makes annual VOCA crime victim assistance grants from the Fund
to States. The primary purposes of these grants are to support the
provision of direct services to victims of violent crime throughout the
Nation. For the purpose of these Guidelines, direct services are
defined as those efforts that (1) respond to the emotional and physical
needs of crime victims; (2) assist primary and secondary victims of
crime to stabilize their lives after a victimization; (3) assist
victims to understand and participate in the criminal justice system;
and (4) provide victims of crime with a measure of safety such as
boarding-up broken windows and replacing or repairing locks.
For the purpose of the VOCA crime victim assistance grant program,
a crime victim is a person who has suffered physical, sexual, or
emotional harm as a result of the commission of a crime.
VOCA gives latitude to State grantees to determine how VOCA victim
assistance grant funds will best be used within each State. However,
each State grantee must abide by the minimal statutory requirements
outlined in VOCA and these Program Guidelines.
Allocation of VOCA Victim Assistance Funds
A. Distribution of the Crime Victims Fund
OVC administers monies deposited into the Fund for activities, as
authorized in VOCA. The amount of funds available for distribution each
year is dependent upon the total deposits into the Fund during the
previous Federal Fiscal Year (October 1 through September 30).
The Violent Crime Control and Law Enforcement Act of 1994 (Public
Law 103-322, Title XXIII, Subtitle B) amended VOCA and made three major
changes that affect the VOCA victim assistance grant program. First,
the Director of OVC has the authority to retain up to $20,000,000 to be
held in reserve and used in a year in which the Fund falls below the
amount available in the previous year [Section 1402(d)(4)]. Second, the
legislation changed the formula for allocating Fund deposits [Section
1402(d)]. Third, State administrators of VOCA victim assistance grant
funds may retain up to 5% of each year's grant for administrative
purposes [Section 1404(b)(3).] Please refer to the section entitled
VOCA Victim Assistance Application Process, B. Administrative Cost
Provision for State Grantees for information on this provision.
B. Formula for Distributing Crime Victims Fund Deposits
Beginning with FFY 1995, deposits into the Fund will be distributed
as follows [Section 1402 (d)]:
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 $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.
C. Availability of Funds
All States, the District of Columbia, the Commonwealth of Puerto
Rico, the U.S. Virgin Islands, Guam, American Samoa, Northern Mariana
Islands, and Palau (hereinafter referred to as ``States'') are eligible
to apply for, and receive, VOCA victim assistance grants. [See Section
1404(d)(3) of VOCA, codified at 42 U.S.C. 10603(d)(3).]
Funds are available for expenditure during the FFY of award and in
the next FFY (the grant period). The FFY begins on October 1 and ends
on September 30 of the following year. State grantees may incur
expenses retroactively to the beginning of each year's grant, October
1, even though the VOCA grant may not be awarded until later in the
grant period. Under VOCA, funds that are not obligated by the end of
the grant period must be returned to the General Fund of the U.S.
Treasury. Therefore, State grantees are encouraged to monitor closely
the expenditure of VOCA funds at the subrecipient level and to
reallocate unexpended funds prior to the end of the grant period.
D. Allocation of Funds to States
From the Fund deposits available for victim assistance grants, each
State grantee receives a base amount of $200,000, except Palau. The
remaining Fund deposits are distributed to each State, based upon the
State's population in relation to all other States, as determined by
current census data.
E. Allocation of Funds Within the States
The Governor of each State designates the State agency that will
administer the VOCA victim assistance grant program. That designated
State agency establishes policies and procedures, which must meet the
minimum requirements of VOCA and the Program Guidelines. The State
grantee can choose to be more restrictive.
VOCA funds granted to the States are to be used by eligible public
and private nonprofit organizations to provide direct services to crime
victims. States have sole discretion for determining which
organizations will receive funds, and in what amounts, as long as the
recipients meet the requirements of VOCA and the Program Guidelines.
State grantees are encouraged to develop a VOCA program funding
strategy, which should consider the following: the range of victim
services throughout the State and within communities; the unmet needs
of crime victims; the demographic profile of crime victims; the
coordinated, cooperative response of community organizations in
organizing services for crime victims; the availability of services to
crime victims throughout the criminal justice process; and the extent
to which other sources of funding are available for services.
State grantees are encouraged to expand into new service areas as
needs change and demographics of crime changes within the State. Many
State [[Page 24890]] grantees use VOCA funds to stabilize victim
services by continuously funding selected organizations. Some State
grantees end funding to organizations after several years in order to
fund new organizations. Other State grantees limit the number of years
an organization may receive VOCA funds. These practices are within the
State grantee's discretion and are supported by OVC, when they serve
the best interests of crime victims within the State.
State grantees may award VOCA funds to organizations that are
physically located in an adjacent State, when it is an efficient and
cost-effective mechanism available for providing services to victims
who reside in the awarding State. When adjacent State awards are made,
the amount of the award must be proportional to the number of victims
to be served by the adjacent-State organization. OVC recommends that
State grantees enter into an interstate agreement with the adjacent
State to address monitoring of the VOCA subrecipient, auditing Federal
funds, managing noncompliance issues, and reporting requirements.
States must notify OVC of each VOCA award made to an organization in
another State.
VOCA Victim Assistance Application Process
A. State Grantee Application Process
Each year, OVC issues a Program Instruction and Application Kit to
each designated State agency. The Application Kit contains the
necessary forms and information required to 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, State grantees are not
required to provide specific information regarding the subrecipients
that will receive VOCA victim assistance funds.
In addition to the Application for Federal Assistance, State
grantees shall specify their arrangements for complying with the
provisions of OMB Circular A-128 (Audits of State or Local Government)
and shall submit Certifications Regarding Lobbying; Debarment,
Suspension, and Other Responsibility Matters; Drug-Free Workplace
Requirements; Civil Rights Compliance; and/or any other certifications
required by OJP and OVC.
B. Administrative Cost Provision for State Grantees
Beginning with the FFY 1995 grant, each State grantee may retain up
to, but not more than, 5% of each year's grant for administering the
VOCA victim assistance grant at the State grantee level [Section
1402(d)(3)], with the remaining portion being used exclusively for
direct services to crime victims or to train direct service providers
in accordance with these Guidelines. This option is available to the
State grantee and does not apply to VOCA subrecipients.
This administrative cost provision is to be used by the State
grantee to expand, enhance, and/or improve the State's previous level
of effort in administering the VOCA victim assistance grant program at
the State level and to support activities and costs that impact the
delivery and quality of services to crime victims throughout the State.
Thus, State grantees will be required to certify that VOCA
administrative funds will not be used to supplant State funds or to
cover indirect costs.
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 technical assistance meetings, which
address issues and concerns to State administrators;
c. Monitor subrecipients, Victim Assistance in Indian Country
subrecipients, and potential subrecipients, provide technical
assistance, and/or evaluation and assessment of program activities;
d. Purchase equipment for the State grantee such as computers,
software, fax machines, copying machines;
e. Train VOCA direct service providers; and
f. Purchase memberships in crime victims organizations and purchase
victim-related materials such as curricula, literature, and protocols.
2. The following activities impact the delivery and quality of
services to crime victims throughout the State and, thus, can be
supported by administrative funds:
a. Develop strategic plans on a State and/or regional basis,
conduct surveys and needs assessments, promote innovative approaches to
serving crime victims such as through the use of technology;
b. Improve coordination efforts on behalf of crime victims with
other OJP Offices and Bureaus and with Federal, State, and local
agencies and organizations;
c. Provide training on crime victim issues to State, public, and
nonprofit organizations that serve or assist crime victims such as law
enforcement officials, prosecutors, judges, corrections personnel,
social service workers, child and youth service providers, and mental
health and medical professionals;
d. Purchase, print, and/or develop publications such as training
manuals for service providers, victim services directories, and
brochures;
e. Coordinate and develop protocols, policies, and procedures that
promote systemic change in the ways crime victims are treated and
served; and
f. Train managers of victim service agencies.
State grantees are required to notify OVC of the decision to use
administrative funds prior to charging or incurring any costs against
this provision. State grantees may notify OVC when the decision is made
to exercise this option or at the time the Application for Federal
Assistance is submitted.
Each State grantee that chooses to use administrative funds is
required to submit a statement to OVC describing:
1. What amount of the total grant will be used,
2. How the State grantee intends to use the funds and the types of
activities that will be supported, and
3. How these activities will improve the administration of the VOCA
program and/or improve services to crime victims.
State grantees may choose to award administrative funds to a
``conduit'' organization that assists in selecting qualified
subrecipients and/or reduces the State grantee's administrative burden
in implementing the grant program. However, the use of a ``conduit''
organization does not relieve the State grantee from ultimate
programmatic and financial responsibilities.
C. Use of Funds for Training
State grantees have the option of retaining a portion of their VOCA
victim assistance grant for conducting State-wide and/or regional State
training(s) of victim services staff. The maximum amount permitted for
this purpose is $5,000 or 1% of the State's grant, which ever is
greater. State grantees that choose to sponsor State-wide or regional
training(s) are not precluded from awarding VOCA funds to subrecipients
for other types of staff development.
State grantees must submit a training proposal to OVC for each
event to be [[Page 24891]] sponsored under this option. OVC will review
each proposal to identify other sources of assistance and support that
may be available such as trainers or the resources from the OVC
Resource Center. Each training activity must occur within the grant
period, and all training costs must be obligated prior to the end of
the grant period. VOCA grant funds cannot be used to supplant the cost
of existing State administrative staff or related State training
efforts.
Specific criteria for applying for training funds will be given in
each year's Application Kit. This criteria may include addressing the
goals, the needs of the service providers, how funds will be used, and
how any program income that is generated will be used.
The VOCA funds used for training by the State grantee must be
matched at 20%, cash or in-kind, and the source of the match must be
described.
Program Requirements
A. State Grantee Eligibility Requirements
When applying for the VOCA victim assistance grant, State grantees
are required to give assurances that the following conditions or
requirements will be met:
1. Only eligible organizations will receive VOCA funds and these
funds will be used only for direct services to victims of crime, except
those funds that the State grantee uses for training victim service
providers and/or administrative purposes. [Sections 1404(b), codified
at 42 U.S.C. 10603(b)]. See section E. Services, Activities, and Costs
at the Subrecipient Level for examples of direct services to crime
victims.
2. VOCA crime victim assistance grant funds will enhance or expand
services and will not be used to supplant State and local funds that
would otherwise be available for crime victim services. See Section
1404(a)(2)(C) of VOCA, codified at 10603(a)(2)(C). This supplantation
clause applies to State and local public agencies only.
3. Priority shall be given to victims of sexual assault, spousal
abuse, and child abuse. Thus a minimum of 10% of each FFY's grant (30%
total) will be allocated to each of these categories of crime victims.
This State grantee requirement does not apply to VOCA subrecipients.
Each State grantee must meet this requirement, unless it can
demonstrate to OVC that (1) a ``priority'' category is currently
receiving significant amounts of financial assistance from the State or
other funding sources; (2) a smaller amount of financial assistance, or
no assistance, is needed from the VOCA victim assistance grant program;
and (3) crime rates for a ``priority'' category have diminished.
4. An additional 10% of each VOCA grant will be allocated to
victims of violent crime (other than ``priority'' category victims) who
were ``previously under served.'' These under served victims of either
adult or juvenile offenders may include, but are not limited to,
survivors of homicide victims, or victims of assault, robbery,
intoxicated drivers, bank robbery, and elder abuse. For the purpose of
this program, elder abuse is defined as the abuse of vulnerable adults.
Vulnerable adults are those individuals who do not have the mental and/
or physical capacity to manage their daily needs, and who are subjected
to either physical or emotional abuse by a guardian or caretaker.
To meet this under served requirement, State grantees must identify
crime victims by type of crime. Each State grantee has latitude for
determining the method for identifying ``previously under served''
crime victims, which may include public hearings, needs assessments,
task forces, and meetings with State-wide victim services agencies.
Each State grantee must meet this requirement, unless it can
justify to OVC that (1) services to these victims of violent crime are
receiving significant amounts of financial assistance from the State or
other funding sources; (2) a smaller amount of financial assistance, or
no assistance, is needed from the VOCA victim assistance grant program;
and (3) crime rates for these victims of violent crime have diminished.
State grantees may fund services to victims with specific
demographic profiles and use those services to meet the ``previously
under served'' requirement. However, State grantees must identify the
type of violent crime to which these victims are subjected.
5. Appropriate accounting, auditing, and monitoring procedures will
be used at the State grantee and subrecipient levels and that records
are maintained to ensure fiscal control, proper management, and
efficient disbursement of the VOCA victim assistance funds, in
accordance with the Financial and Administrative Guide for Grants
(M7100.1D), effective edition.
6. Compliance with all Federal laws and regulations applicable to
Federal assistance programs and with the provisions of Title 28 Code of
Federal Requirements (CFR) applicable to grants.
7. Compliance by the State grantee and subrecipients with the
applicable provisions of VOCA and the Interim Final Program Guidelines.
8. Programmatic and financial reports shall be submitted. (See
Program Requirements and Financial Requirements for reporting
requirements and timelines.)
9. No person shall, on the grounds of race, color, religion,
national origin, handicap, or sex, be excluded from participation in,
denied the benefits of, subjected to discrimination under, or denied
employment in connection with, any undertaking funded in whole or in
part with VOCA victim assistance grant funds.
10. A copy of a finding will be forwarded to the Office of Civil
Rights (OCR) for OJP in the event a Federal or State court or
administrative agency makes a finding of discrimination on the grounds
of race, religion, national origin, sex, or disability against a
recipient of VOCA victim assistance funds.
11. Immediate notification will be given to OVC in the event of a
finding of fraud, waste, and/or abuse of VOCA funds. Additionally, OVC
will be apprised of the status of any on-going investigations.
OVC encourages State grantees to coordinate their VOCA assistance
and compensation activities. Coordination may include activities such
as meetings; training activities for direct service providers on the
general parameters of the State compensation agency's program (e.g.,
eligibility criteria, completion of claims, and time frames for
receiving compensation); providing information on VOCA victim
assistance services within the State; and developing joint guidance,
where applicable, on third-party payments to VOCA assistance
organizations.
OVC also encourages State grantees to coordinate their activities
with the Victim/Witness Coordinator staff within U.S. Attorney Offices
to ensure that the Coordinators are aware of available resources for
victims of Federal crime. Such coordination may include providing
Coordinators with a list of VOCA-funded organizations, co-sponsoring
training activities, and inviting Coordinators to serve on review
panels that select the organizations to receive VOCA funds.
B. Subrecipient Organization Eligibility Requirements
VOCA establishes eligibility criteria that must be met by all
organizations that receive VOCA funds. These funds are to be awarded to
subrecipients only for providing services to victims of crime through
their staff. Each subrecipient organization shall:
1. Be operated by a public or nonprofit organization, or a
combination [[Page 24892]] of such organizations, and provide direct
services to crime victims.
2. Demonstrate a record of providing effective direct services to
crime victims. This includes having the support and approval of its
services by the community, a history of providing direct services in a
cost-effective manner, and financial support from non-Federal sources.
3. Meet program match requirements. Match is to be committed for
each VOCA-funded project and derived from resources other than Federal
funds and/or resources, except as provided in Chapter 2, paragraph 14,
of the Financial and Administrative Guide for Grants (M7100.1D.)
All funds designated as match are restricted to the same uses as
the VOCA victim assistance funds and must be expended within the grant
period. Because of this requirement, VOCA subrecipients must maintain
records which clearly show the source, the amount, and the period
during which the match was expended. Therefore, organizations are
encouraged not to commit excessive amounts of match.
Match requirements are a minimum of 20%, cash or in-kind, of the
total VOCA project (VOCA grant plus match) except as follows:
a. The match for VOCA subrecipients that are Native American
tribes/organizations located on reservations, whether new or existing,
is 5%, cash or in-kind, of the total VOCA project (VOCA grant plus
match.) A Native American tribe/organization is described as any tribe,
band, nation, or other organized group or community, which is
recognized as eligible for the special programs and services provided
by the United States to Native Americans because of their status as
Native Americans. A reservation is defined as a tract of land set aside
for use of, and occupancy by, Native Americans.
b. Subrecipients located in the U.S. Virgin Islands, and all other
territories and possessions of the United States except Puerto Rico are
not required to match the VOCA funds. See 48 U.S. Code, 1469a(d).
4. Use volunteers unless the State grantee determines there is a
compelling reason to waive this requirement. A ``compelling reason''
may be a statutory or contractual provision concerning liability or
confidentiality of counselor/victim information, which bars using
volunteers for certain positions, or the inability to recruit and
maintain volunteers after a sustained and aggressive effort.
5. Promote, within the community coordinated public and private
efforts to aid crime victims. Coordination may include, but is not
limited to, serving on State, Federal, local, or Native American task
forces, commissions and/or working groups; and developing written
agreements, which contribute to better and more comprehensive services
to crime victims. Coordination efforts qualify an organization to
receive VOCA victim assistance funds, but are not activities that can
be supported with VOCA funds.
6. Assist crime victims in seeking crime victim compensation
benefits. Such assistance may include identifying and notifying crime
victims of the availability of compensation, assisting them with
application forms and procedures, obtaining necessary documentation,
and/or checking on claim status.
7. Comply with the applicable provisions of VOCA, the Program
Guidelines, and the requirements of the M7100.1D, which includes
maintaining appropriate programmatic and financial records that fully
disclose the amount and disposition of VOCA funds received. This
includes financial documentation for disbursements; daily time and
attendance records specifying time devoted to VOCA allowable victim
services; client files; the portion of the project supplied by other
sources of revenue; job descriptions; contracts for services; and other
records which facilitate an effective audit.
8. Maintain statutorily required civil rights statistics on victims
served by race or national origin, sex, age, and disability, within the
timetable established by the State grantee; and permit reasonable
access to its books, documents, papers, and records to determine
whether the recipient is complying with applicable civil rights laws.
This requirement is waived when providing a service, such as telephone
counseling, where soliciting the information may be inappropriate or
offensive to the crime victim.
9. Abide by any additional eligibility or service criteria as
established by the State grantee including submitting statistical and
programmatic information on the use and impact of VOCA funds, as
requested by the State grantee.
10. Provide services to victims of Federal crimes on the same basis
as victims of State crimes.
11. Provide services to crime victims, at no charge, through the
VOCA-funded project. Any deviation from this provision requires prior
approval by the State grantee and OVC.
12. Maintain confidentiality of client-counselor information, as
required by State and Federal law.
C. Eligible Subrecipient Organizations
Nonprofit and public organizations that provide direct services to
crime victims are eligible to receive VOCA funds. These include, but
are not limited to, sexual assault and treatment centers, domestic
violence programs, child abuse treatment facilities, centers for
missing children, prosecutor offices, courts, correctional departments,
probation and paroling authorities, hospitals, public housing
authorities, and other community-based organizations including those
who serve survivors of homicide victims.
Although nonprofit and public organizations may be eligible to
receive VOCA funding, there are limitations on the use of VOCA victim
assistance grant funds by these organizations. For example, VOCA funds
should not be used for an activity mandated by State legislation.
However, VOCA funds can extend or enhance the legislatively mandated
activities. In situations where a service is mandated by law but funds
have not been appropriated, State grantees are cautioned to closely
review and justify to OVC the use of VOCA funds to support such
activities. With approval from OVC, State grantees may use VOCA funds
to support an unfunded legislative mandate for a limited time, if the
State grantee believes that such support is essential to meeting the
needs of crime victims.
In addition to victim services organizations, whose sole mission is
to serve crime victims, many other public and nonprofit organizations
that offer services to crime victims may be eligible to receive VOCA
victim assistance funds. These organizations include, but are not
limited to, the following:
1. Criminal justice agencies such as law enforcement organizations,
prosecutor offices, courts, corrections departments, probation and
paroling authorities. For example, a police department cannot use VOCA
victim assistance funds to hire law enforcement personnel for
activities that a sworn law enforcement officer would be expected to
provide in the normal course of his/her duties, such as crime scene
intervention, questioning of victims and witnesses, investigation of
the crime, and follow-up activities. However, these organizations may
use VOCA funds for victims services that exceed the boundaries of their
mandate.
2. State and local public agencies charged with, for example,
providing child and adult protective services or mental health
services.
3. Religiously-affiliated organizations. Religious organizations
that receive VOCA funds must ensure that (1) [[Page 24893]] services
are offered to all crime victims without regard to religious
affiliation; (2) the receipt of services is not contingent upon
participation in a religious activity or event; and (3) receipt of the
funds does not create an ``excessive entanglement'' of church and
State.
4. Other public and nonprofit organizations whose primary mission
or purpose is not providing direct services to crime victims if there
is a component of the organization that provides services to crime
victims. Such organizations include State grantees, mental health
centers, hospitals, legal services agencies, and coalitions.
5. State crime victim compensation agencies. Compensation programs
may receive VOCA assistance funds if direct services such as
individual, family, and group counseling; court accompaniment; and
shelter are provided. These services extend far beyond information/
referral and providing information regarding compensation and other
sources of public and private assistance. Because State compensation
programs do not generally provide the type of direct services
envisioned by VOCA and the Program Guidelines, State grantees are
encouraged to discuss with OVC, prior to making a final funding
decision, any proposed award of VOCA victim assistance funds to a
compensation program.
6. Hospitals and emergency medical facilities. Such organizations
must offer counseling, support groups, and/or other types of victim
services. In addition, State grantees may only award VOCA funds to a
medical facility for the purpose of performing forensic examinations on
sexual assault victims if (1) the examination meets the standards
established by the State, local prosecutor's office, or State-wide
sexual assault coalition; and (2) appropriate crisis counseling and/or
other types of victim services are offered to the victim in conjunction
with the examination.
D. Ineligible Recipients of VOCA Funds
Some public and nonprofit organizations that offer services to
crime victims are not eligible to receive VOCA victim assistance
funding. These organizations include, but are not limited to, the
following:
1. Federal agencies, including U.S. Attorneys Offices. Receipt of
VOCA funds would constitute an augmentation of the Federal budget with
money intended for State agencies. However, private nonprofit
organizations that operate on Federal land may be eligible
subrecipients of VOCA victim assistance grant funds.
2. In-patient treatment facilities such as those designed to
provide treatment to individuals with drug, alcohol, and/or mental
health-related conditions.
E. Services, Activities, and Costs at the Subrecipient Level
The following is a listing of services, activities, and costs that
are eligible for support with VOCA victim assistance grant funds within
a subrecipient's organization:
1. Those services which immediately respond to the emotional and
physical needs (excluding medical care) of crime victims such as crisis
intervention; accompaniment to hospitals for medical examinations;
hotline counseling; emergency food, clothing, transportation, and
shelter; emergency legal assistance such as filing restraining orders;
and other emergency services that are intended to restore the victim's
sense of dignity, and self esteem.
2. Those services and activities that assist the primary and
secondary victims of crime in understanding the dynamics of
victimization and in stabilizing their lives after a victimization such
as counseling, group treatment, and therapy. ``Therapy'' refers to
intensive professional psychological/psychiatric treatment for
individuals, couples, and family members related to counseling to
provide emotional support in crises arising from the occurrence of
crime. This includes the evaluation of mental health needs, as well as
the actual delivery of psychotherapy.
3. Services that are directed to the needs of the victims who
participate in the criminal justice system. These services may include
advocacy on behalf of crime victims; accompaniment to criminal justice
offices and court; transportation to court; child care to enable a
victims to attend court; notification of victims regarding trial dates,
case disposition information, and parole consideration procedures; and
restitution advocacy and assistance with victim impact statements.
4. Services which offer an immediate measure of safety to crime
victims such as boarding-up broken windows and replacing or repairing
locks.
5. Forensic examinations for sexual assault victims only to the
extent that other funding sources (such as State compensation or
private insurance or public benefits) are unavailable or insufficient.
State grantees should establish procedures to monitor the use of VOCA
victim assistance funds to pay for forensic examinations in sexual
assault cases.
6. Costs that are necessary and essential to providing direct
services such as pro-rated costs of rent, telephone service,
transportation costs for victims to receive services, emergency
transportation costs that enable a victim to participate in the
criminal justice system, and local travel expenses for direct service
providers.
7. Services which assist crime victims with managing practical
problems created by the victimization such as acting on behalf of the
victim with other service providers, creditors, or employers; assisting
the victim to recover property that is retained as evidence; assisting
in filing for compensation benefits; and helping to apply for public
assistance.
8. Costs that are directly related to providing direct services
through staff. Such costs may consist of the following: advertising
costs associated with recruiting VOCA-funded personnel; training costs
for paid and volunteer staff; salaries and fringe benefits, including
malpractice insurance.
9. Opportunities where crime victims have the option to meet with
perpetrators, if such meetings are requested by the victim and have
therapeutic value to crime victims.
State grantees that plan to fund this type of service should
closely review the criteria for conducting these meetings. At a
minimum, the following should be considered: (1) The benefit or
therapeutic value to the victim, (2) the procedures for ensuring that
participation of the victim and offender are voluntary and that
everyone understands the nature of the meeting, (3) the provision of
appropriate support and accompaniment for the victim, (4) appropriate
``debriefing'' opportunities for the victim after the meeting or panel,
(5) the credentials of the facilitators, (6) the opportunity for a
crime victim to withdraw from the process at any time. State grantees
are encouraged to discuss proposals with OVC prior to awarding VOCA
funds for this type of activity. VOCA assistance funds cannot be used
for victim-offender meetings which serve to replace criminal justice
proceedings.
The services, activities, and costs listed below are not generally
considered direct crime victim services. For example, staff training is
often a necessary and essential activity to ensure that quality direct
services are provided; however, it is not a direct service. Before
these costs can be supported with VOCA funds, the State grantee and
subrecipient must agree that direct services to crime victims cannot be
offered without support for these expenses; that the subrecipient has
no other source of support for them; and that only limited amounts of
VOCA [[Page 24894]] funds will be used for these purposes. The
following list provides examples of such items:
1. Skills training for staff. VOCA funds designated for training
are to be used exclusively for developing the skills of direct service
providers including paid staff and volunteers, so that they are better
able to offer quality services to crime victims. An example of skills
development is training focused on how to respond to a victim in
crisis.
VOCA funds can be used for training direct service providers who
are not supported with VOCA funds within the subrecipient's
organization.
VOCA funds can be used to purchase materials such as books,
training manuals, and videos for direct service providers, within the
VOCA-funded organization, and can support the costs of a trainer for
in-service staff development. Although a subrecipient cannot use VOCA
funds for training individuals in other organizations, staff from other
organizations can attend in-service training activities that are held
for the subrecipient's staff.
VOCA funds can support costs such as travel, meals, lodging, and
registration fees to attend training within the State or a similar
geographic area. This limitation encourages State grantees and
subrecipients to first look for available training within their
immediate geographical area, as travel costs will be minimal. However,
when needed training is unavailable within the immediate geographical
area, State grantees may authorize using VOCA funds to support training
outside of the geographical area.
VOCA funds cannot be used for management and administrative
training for executive directors, board members, and other individuals
that do not provide direct services.
2. Equipment and furniture. VOCA funds may be used for furniture
and equipment that provides or enhances direct services to crime
victims, as demonstrated by the VOCA subrecipient.
VOCA funds cannot support the entire cost of an item that is not
used exclusively for victim-related activities. However, VOCA funds can
support a prorated share of such an item. In addition, subrecipients
cannot use VOCA funds to purchase equipment for another organization or
individual to perform a victim-related service.
State grantees that authorize equipment to be purchased with VOCA
funds must establish policies and procedures on the acquisition and
disbursement of the equipment, in the event the subrecipient no longer
receives a VOCA grant. At a minimum, property records must be
maintained with the following: a description of the property and a
serial number or other identifying number; who holds title; the
acquisition date; the cost and the percentage of VOCA funds supporting
the purchase; the location, use, and condition of the property; and any
disposition data, including the date of disposal and sale price. (See
Financial and Administrative Guide for Grants, M7100.1D).
3. Contracts for professional services. VOCA funds should not
generally be used to support contract services. However, at times, it
may be necessary for VOCA subrecipients to use a portion of the VOCA
grant to contract for specialized services. Examples of these services
include assistance in filing emergency temporary retraining orders;
forensic examinations on a sexual assault victim to the extent that
other funding sources are unavailable or insufficient; and emergency
psychological or psychiatric services.
Subrecipients are prohibited from using a majority of VOCA funds
for contracted services, which contain administrative, overhead, and
other indirect costs included in the hourly or daily rate.
VOCA funds cannot be used to pay for legal representation such as
for divorces and child custody or visitation rights litigation.
4. Operating costs. Examples of allowable operating costs include
supplies; equipment use fees, when supported by usage logs; printing,
photocopying, and postage; brochures which describe available services;
and books and other victim-related materials. VOCA funds may support
administrative time to complete VOCA-required time and attendance
sheets and programmatic documentation, reports, and statistics;
administrative time to maintain crime victims' records; and the pro-
rated share of audit costs.
5. Supervision of direct service providers. State grantees may
provide VOCA funds for supervision of direct service providers when
they determine that such supervision is necessary and essential to
providing direct services to crime victims. For example, a State
grantee may determine that using VOCA funds to support a coordinator of
volunteers or interns is a cost-effective way of serving more crime
victims.
6. Repair and/or replacement of essential items. VOCA funds may be
used for repair or replacement of items that contribute to maintaining
a healthy and/or safe environment for crime victims such as a furnace
in a shelter. State grantees are cautioned to scrutinize each request
for expending VOCA funds for such purposes to ensure the following: (1)
That the building is owned by the subrecipient organization and not
rented or leased, (2) all other sources of funding have been exhausted,
(3) there is no available option for providing the service in another
location, (4) that the cost of the repair or replacement is reasonable
considering the value of the building, and (5) the cost of the repair
or replacement is pro-rated among all sources of income.
7. Presentations about crime victim services. Activities and costs
related to describing the services available to crime victims within
the community, such as presentations, can be supported by VOCA funds.
The following services, activities, and costs, although not
exhaustive, cannot be supported with VOCA victim assistance grant
funds:
1. Lobbying and administrative advocacy. VOCA funds cannot support
victim legislation or administrative reform, whether conducted directly
or indirectly.
2. Perpetrator rehabilitation and counseling. Subrecipients cannot
knowingly use VOCA funds to offer rehabilitative services to offenders.
Likewise, VOCA funds cannot support services to incarcerated
individuals, even when the service pertains to the victimization of
that individual.
3. Needs assessments, surveys, evaluations, studies, and research
efforts conducted by individuals, organizations, task forces, or
special commissions, which study and/or research a particular crime
victim issue.
4. Activities directed at prosecuting an offender and/or improving
the criminal justice system's effectiveness and efficiency such as
witness notification and management activities and expert testimony at
a trial. Additionally, victim protection costs and victim/witness
expenses such as travel to testify in court and subsequent lodging and
meal expenses are considered part of the criminal justice agency's
responsibility and cannot be supported with VOCA funds.
5. Fundraising activities.
6. Indirect organizational costs such as liability insurance on
buildings and vehicles; capital improvements; security guards and body
guards; property losses and expenses; real estate purchases; mortgage
payments; and construction costs.
7. Reimbursing crime victims for expenses incurred as a result of a
crime such as insurance deductibles, replacement of stolen property,
funeral expenses, lost wages, and medical bills. [[Page 24895]]
8. Vehicles, purchased or leased. State grantees may not use VOCA
funds to purchase or lease vehicles unless they can demonstrate to OVC
that such an expenditure is essential to delivering services to crime
victims. OVC must give prior approval for all such purchases.
9. Nursing home care, home health-care costs, in-patient treatment
costs, hospital care, and other types of emergency and non-emergency
medical and/or dental treatment. VOCA victim assistance grant funds
cannot support medical costs resulting from a victimization, except for
forensic medical examinations for sexual assault victims.
10. Relocation expenses for crime victims such as moving expenses,
security deposits on housing, ongoing rent, and mortgage payments.
However, VOCA funds may be used to support staff time in locating
resources to assist victims with these expenses.
11. Salaries, fees, and reimbursable expenses associated with
administrators, board members, executive directors, consultants,
coordinators, and other individuals unless these expenses are incurred
while providing direct services to crime victims.
12. Development of protocols, interagency agreements, and other
working agreements that benefit crime victims. These activities are
considered examples of the types of activities that subrecipients
undertake as part of their role as a victim services organization,
which in turn qualifies them as an eligible VOCA subrecipient.
13. Costs of sending individual crime victims to conferences.
14. Development of training manuals and/or extensive training
materials.
15. Crime prevention activities.
Program Reporting Requirements
State grantees must adhere to all reporting requirements and
timelines for submitting the required reports, as indicated below.
Failure to do so may result in a hold being placed on the drawdown of
the current year's funds, a hold being placed on processing the next
year's grant award, or can result in the suspension or termination of a
grant.
1. Subgrant Award Reports. State grantees are required to submit to
OVC, within 90 days of making the subaward, Subgrant Award Report
information for each subrecipient of VOCA victim assistance grant
funds. Subgrant Award Report information is to be submitted to OVC via
the automated subgrant dial-in system, whenever possible. When not
possible, State grantees must complete and submit the Subgrant Award
Report form, OJP 7390/2A, for each VOCA subrecipient.
If the Subgrant Award Report information changes by the end of the
grant period, State grantees must inform OVC of the changes, either by
revising the information via the automated subgrant subdial system, by
completing and submitting to OVC a revised Subgrant Award Report form,
or by making notations on the State-wide database report and submitting
it to OVC. The total of all Subgrant Award Reports submitted by the
State grantee must agree with the Final Financial Status Report
(Standard Form 269A) that is submitted at the end of the grant period.
A Subgrant Award Report is required for each organization that
receives VOCA funds and uses the funds for such allowable expenses
including employee salaries, fringe benefits, supplies, and rent. This
requirement applies to all State grantee awards including grants,
contracts, or subgrants and to all subrecipient organizations.
Subgrant Award Reports are not to be completed for organizations
that serve only as conduits for distributing VOCA funds or for
organizations that provide limited, emergency services, on an hourly
rate, to the VOCA subrecipient organizations. Services and activities
that are purchased by a VOCA subrecipient are to be included on the
subrecipient's Subgrant Award Report.
2. Performance Report. Each State grantee is required to submit
specific end-of-grant data on the OVC-provided Performance Report, form
No. OJP 7390/4, no later than 90 days after each VOCA victim assistance
grant ends.
For those State grantees who opt to use a portion of the VOCA
victim assistance grant for administrative costs, the Performance
Report will be used to describe how the funds were actually used and
the impact of the 5% administrative funds on the State grantee's
ability to expand, enhance, and improve services to crime victims.
A. Additional Program Requirements
1. Civil Rights--Prohibition of Discrimination for Recipients of
Federal Funds. No person in any State shall, on the grounds of race,
color, religion, national origin, sex, or disability be excluded from
participation in, be denied the benefits of, be subjected to
discrimination under, or denied employment in connection with any
program or activity receiving Federal financial assistance, pursuant to
the following statutes and regulations: Section 809(c), Omnibus Crime
Control and Safe Streets Act of 1968, as amended, 42 U.S.C. 3789d, and
Department of Justice Nondiscrimination Regulations, 28 CFR Part 42,
Subparts C, D, E, and G; Title VI of the Civil Rights Act of 1964, as
amended, 42 U.S.C. 2000d, et seq.; Section 504 of the Rehabilitation
Act of 1973, as amended, 29 U.S.C. 794; Subtitle A, Title II of the
Americans with Disabilities Act of 1990, 42 U.S.C. 12101, et seq. and
Department of Justice regulations on disability discrimination, 28 CFR
Part 35 and Part 39; Title IX of the Education Amendments of 1972, as
amended, 20 U.S.C. 1681-1683; and the Age Discrimination Act of 1975,
as amended, 42 U.S.C. 6101, et seq.
2. Confidentiality of Research Information. Except as otherwise
provided by Federal law, no recipient of monies under VOCA shall use or
reveal any research or statistical information furnished under this
program by any person and identifiable to any specific private person
for any purpose other than the purpose for which such information was
obtained in accordance with VOCA. Such information, and any copy of
such information, shall be immune from legal process and shall not,
without the consent of the person furnishing such information, be
admitted as evidence or used for any purpose in any action, suit, or
other judicial, legislative, or administrative proceeding. [See Section
1407(d) of VOCA, codified at 42 U.S.C. 10604.]
This provision is intended, among other things, to ensure the
confidentiality of information provided by crime victims to counselors
working for victim services programs receiving VOCA funds. Whatever the
scope of application given this provision, it is clear that there is
nothing in VOCA or its legislative history to indicate that Congress
intended to override or repeal, in effect, a State's existing law
governing the disclosure of information, which is supportive of VOCA's
fundamental goal of helping crime victims. For example, this provision
would not act to override or repeal, in effect, a State's existing law
pertaining to the mandatory reporting of suspected child abuse. See
Pennhurst State School and Hospital v. Halderman, et al., 451 U.S. 1
(1981). Furthermore, this confidentiality provision should not be
interpreted to thwart the legitimate informational needs of public
agencies. For example, this provision does not prohibit a domestic
violence shelter from acknowledging, in response to an inquiry by a law
enforcement agency conducting a missing person investigation, that the
person is safe in the shelter. Similarly, this provision does not
prohibit access to a victim service project by a Federal or State
[[Page 24896]] agency seeking to determine whether Federal and State
funds are being utilized in accordance with funding agreements.
Financial Requirements
State grantees and subrecipients of VOCA victim assistance funds
shall adhere to the financial and administrative provisions set forth
in the OJP ``Financial and Administrative Guide for Grants'', M7100.1D
(effective edition). The following describes the audit requirements for
State grantees and subrecipients, the completion and submission of
Financial Status Reports, and actions that result in termination of
advanced funding.
A. Audit Responsibilities for State Grantees
Pursuant to OMB Circular A-128 (Audits of State or Local
Governments), State grantees that receive $100,000 or more in Federal
financial assistance in any fiscal year must have a single audit for
that year. State grantees receiving at least $25,000, but less than
$100,000, in a fiscal year have the option of performing a single audit
or an audit of the Federal program, as required by the applicable
Federal laws and regulations. State and local governments receiving
less than $25,000 in any fiscal year are exempt from audit
requirements.
B. Audit Responsibilities for Subrecipients
Pursuant to OMB Circular A-128 (Audits of State or Local
Governments), local governments that receive $100,000 or more in
Federal financial assistance in any fiscal year shall have a single
audit for that year. Local 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
Financial Status Reports are required from all State grantees. A
Financial Status Report shall be submitted to the Office of the
Comptroller for each calendar quarter in which the grant is active.
This Report is due even though no obligations or expenditures were
incurred. Financial Status Reports shall be submitted to the Office of
the Comptroller, by the State grantee, within 45 days after the end of
each subsequent calendar quarter. Calendar quarters end March 31, June
30, September 30, and December 31. A Final Financial Status Report is
due 90 days after the end of the VOCA grant period, no later than
December 31.
D. Termination of Advance Funding to State Grantees
If the State grantee receiving cash advances by Letter of Credit or
by direct Treasury check demonstrates an unwillingness or inability to
establish procedures that will minimize the time elapsing between cash
advances and disbursement, OJP may terminate advance funding and
require the State grantee to finance its operations with its own
working capital. Payments to the State grantee will then be made by the
direct Treasury check method, which reimburses the State grantee for
actual cash disbursements.
E. Administrative Cost Provision Documentation
State grantees who choose to use a portion of their VOCA victim
assistance grant for administrative costs must maintain a clear audit
trail of all costs supported by administrative funds and be able to
document the value of the State grantee's previous commitment to
administering VOCA.
Monitoring
A. Office of the Comptroller
The Office of the Comptroller conducts periodic reviews of the
financial policies, procedures, and records of VOCA grantees and
subrecipients. Therefore, upon request, State grantees and
subrecipients must give authorized representatives the right to access
and examine all records, books, papers, case files, or documents
related to the grant, the use of administrative funds, and all
subawards.
B. Office for Victims of Crime
Beginning with the FY 1991 grant period, OVC implemented an on-site
monitoring plan in which each State grantee is visited a minimum of
once every three years. While on site, OVC personnel will expect to
review various documents and files such as (1) financial and program
manuals and procedures governing the VOCA grant program; (2) financial
records, reports, and audit reports for the State grantee and all VOCA
subrecipients; (3) the State grantee's VOCA application kit,
procedures, and guidelines for subawarding VOCA funds; and (4) all
other State grantee and subrecipient records and files.
In addition, OVC will visit selected subrecipients and will review
similar documents such as (1) financial records, reports, and audit
reports; (2) policies and procedures governing the organization and the
VOCA funds; (3) programmatic records of victims' services; and (4)
timekeeping records and other supporting documentation for costs
supported by VOCA funds.
Suspension and Termination of Funding
If, after notice and opportunity for a hearing, OVC finds that a
State grantee has failed to comply substantially with VOCA, the
M7100.1D, the Final Program Guidelines, or another implementing
regulation or requirements, OVC may suspend or terminate funding to the
State grantee and/or take other appropriate action. At such time, State
grantees may request a hearing on the justification for the suspension
and/or termination of VOCA funds. VOCA subrecipients, within the State,
may not request a hearing at the Federal level. However, VOCA
subrecipients who believe that the State grantee has violated a program
and/or financial requirement are not precluded from bringing the
alleged violation(s) to the attention of OVC.
Aileen Adams,
Director, Office for Victims of Crime, Office of Justice Programs.
[FR Doc. 95-11368 Filed 5-9-95; 8:45 am]
BILLING CODE 4410-18-P
