[Federal Register Volume 59, Number 47 (Thursday, March 10, 1994)]
[Unknown Section]
[Page 0]
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