[Federal Register Volume 60, Number 36 (Thursday, February 23, 1995)]
[Notices]
[Pages 10111-10118]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-4417]
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DEPARTMENT OF JUSTICE
Office of Justice Programs
Office for Victims of Crime
[OJP (OVC) NO. 1003-F]
RIN 1121-AA21
Victims of Crime Act Victim Compensation 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 compensation 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: February 23, 1995.
FOR FURTHER INFORMATION CONTACT: Carolyn A. Hightower, Acting Director,
State Compensation and Assistance Division, 633 Indiana Avenue NW.,
Washington, DC 20531; telephone number (202) 307-5947. (This is not a
toll-free number).
SUPPLEMENTARY INFORMATION: VOCA provides 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 compensation grant program as
authorized in Section 1403 of VOCA, Public Law 98-473, as amended,
codified at 42 U.S.C. 10603, and contain the following information:
Summary of the Comments to the Proposed Program Guidelines; Background;
Funding Allocation and Application Process; Program Requirements;
Financial Requirements; Monitoring; and Suspension and Termination of
Funding. The Guidelines are based on the experience gained and legal
opinions rendered during the first nine years of the grant program and
are in accordance with VOCA. These Final Program Guidelines are all
inclusive. Thus, they supersede any Guidelines previously issued by
OVC.
The Office of Justice Programs, Office for Victims of Crime, in
conjunction with the Office of Policy Development, DOJ, and the Office
of Information and Regulatory Affairs, OMB, 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 (OMB).
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 described in the Program Requirements
section has been approved by the Office of Management and Budget (OMB)
as required under the Paperwork Reduction Act, 44 U.S.C. 3504(h). (OMB
Approval Number 1121-0014.)
Summary of the Comments to the Proposed Program Guidelines
On December 17, 1993, the Office for Victims of Crime (OVC)
published proposed VOCA Victim Compensation Program Guidelines in the
Federal Register, Vol. 58, No. 164, pages 66023 through 66028. These
proposed Guidelines were published for the purpose of soliciting
comments on the revised rules for the VOCA victim compensation grant
program from all interested individuals and organizations. OVC received
six letters from interested individuals and organizations and had
conversations with many State VOCA compensation administrators. In
total, over twenty-four different issues, questions, recommendations,
and comments were received, which often reflected a variety of
perspectives.
Respondents included individuals as well as representatives of
State and national organizations concerned with various aspects of the
implementation of State crime victims compensation benefits and the
VOCA victim compensation grant program. The national organizations
included the National Association of Crime Victim Compensation Boards
(NACVCB) and [[Page 10112]] the National Indian Justice Center (NIJC).
There were also comments submitted by four State VOCA compensation
administrators.
In addition, on September 18, 1994, President Clinton signed into
law the Violent Crime Control and Law Enforcement Act of 1994. This
comprehensive anti-crime legislation contained a number of victim
related provisions. The following four amendments to the Victims of
Crime Act (VOCA) directly affect the VOCA victim compensation grant
program:
(1) modification of the VOCA formula for distribution of the Crime
Victims Fund dollars; (2) establishment of State compensation programs
as the ``payors of last resort''; (3) authorization for use of up to 5
percent of VOCA victim compensation and assistance grant funds for
administrative costs; and (4) requiring states to maintain previous
level of funding support in administering the VOCA compensation grant
program. The following paragraphs incorporate comments from the field
and reflect new policy guidance from OVC.
OVC appreciates the time and effort each respondent invested in
reading and commenting upon the proposed Guidelines. 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 are presented in the following
analysis of each of the modified sections.
A. Background
A number of respondents expressed concern that the current language
of this section speaks only of reimbursement paid directly to crime
victims when in fact many programs pay providers of services such as
hospitals, physicians, dentists, and attorneys directly. Thus, we have
revised the language in this section to provide that State crime victim
compensation programs may use VOCA compensation grant funds to pay for
eligible expenses to, or on behalf of, an eligible crime victim except
for property damage and losses. We feel that this modification will
address any ambiguity regarding payments made directly to providers of
services on behalf of victims.
B. Availability of Funds
Since 1989, OVC has received questions regarding the obligation and
expenditure of grant funds, particularly with regard to the grant
period. In an attempt to address this issue, these Final Program
Guidelines clarify that funds are available for obligation beginning
October 1 of the year of the award through September 30 of the
following Federal Fiscal Year (FFY). Thus, States are permitted to pay
compensation claims retroactively from the start of the project period,
even though the VOCA grant may not be awarded until later in the grant
period.
C. Application Process
1. Eligible State Payment Certification. Each year States submit a
Crime Victim Compensation Eligible State Payments Certification Form
with their application for a Federal VOCA victim compensation grant
award. The amount certified on this form is used by OVC to determine
the amount of each eligible State's annual grant allocation.
Previously, OVC required that the designated State certifying official
was limited to the Governor, the Attorney General, or the Secretary of
State. Since 1989, certifications of several States have been delayed
because of this requirement, thus delaying grant awards to all States.
In response, OVC now will accept the signature of the authorized
individual within the agency designated by the Governor to administer
the state compensation program on the annual certification of state
payouts form. The NACVCB responded in support of the change and
indicated that the modification will promote the timely implementation
of the VOCA grant program.
2. Civil Rights Information. One respondent raised a concern
regarding the collection of personal information such as race, national
origin, gender, age, and handicap. Many States are prohibited from
mandating that victims provide such information. Therefore, qualifying
language has been added in the Application Process section of these
Final Program Guidelines.
D. Program Requirements
1. State Eligibility Criteria. One respondent petitioned OVC to
seek a legislative amendment to VOCA, which would allow for direct
funding of compensation programs operated by tribal governments.
Throughout the Legislative History of VOCA, Congress explicitly rejects
the notion of funding separate programs to compensate crime victims
because such action would result in duplication of effort. Rather, as a
condition of eligibility for a VOCA crime victim compensation grant, a
State must provide compensation to victims of Federal crime, including
Native Americans, on the same basis as such program provides
compensation to victims of State crimes. OVC must conform with the
mandate of Congress on this matter.
Another respondent pointed out that the definition of ``State''
which is provided in VOCA did not appear in the proposed Guidelines.
This omission was inadvertent, and the definition has been included in
the Program Requirements section of these Final Program Guidelines.
2. Victim Cooperation with Law Enforcement. OVC received numerous
inquiries concerning the VOCA provision which requires, as a condition
of eligibility, that a program promote victim cooperation with the
reasonable requests of law enforcement. The proposed Program Guidelines
provided that a State may, at its discretion, impose reasonable
requirements, but must, at a minimum, require that the victim report
the crime to the ``appropriate law enforcement agency.'' Several
programs have sought clarification as to the extent of discretion
afforded States through this provision.
OVC is aware that in many jurisdictions, adult and child abuse
reports may be filed with protective services agencies or may be filed
with family or domestic courts. Hence, these Final Program Guidelines
provide that States may utilize any of the following criteria to meet
this VOCA Requirement or any other criteria the State believes is
necessary to encourage victim cooperation with law enforcement and to
verify that a crime occurred: a) require a victim to report the crime
to the appropriate law enforcement agency; or b) require a victim to
report the crime to an appropriate governmental agency, such as child
and/or adult protective services, or family or juvenile court. In
addition, for the purposes of meeting this VOCA program requirement
States may accept the results of a medical evidentiary examination in
lieu of a law enforcement report.
In assessing victim cooperation, State crime victim compensation
programs are encouraged to carefully consider compelling health or
safety reasons which may influence the extent of victim cooperation
with law enforcement. Such considerations may include apprehension
regarding personal safety, fear of retaliation, and intimidation by the
offender or others.
3. Compensation for non-residents. With regard to the requirement
that States offer compensation to non-residents who are victimized
within their borders, and the requirement that States offer
compensation to their own residents who are victimized in States
without eligible compensation [[Page 10113]] programs, some respondents
requested that the Guidelines specify that in both situations,
claimants must meet the eligibility requirements of the applicable
State statute. These Final Program Guidelines stipulate that claimants
are eligible to apply for crime victim compensation from the State in
which the crime occurred if the State's statutory eligibility
requirements are met. However, if the State in which the crime occurred
does not have an eligible compensation program, the crime victim should
apply in the State in which he or she resides. Victim eligibility and
the extent to which an eligible victim will be compensated are
established by the respective State statute.
E. State Certification
In response to a request from one respondent, the definition of a
``compensable crime'' has been further defined to include not only
crimes of violence but other crimes in which the victim suffers
psychological or emotional trauma although there may not be any
physical injury. While most State statutes explicitly define the crimes
which will be covered under their program, questions have been raised
as to whether certain crimes which involve emotional abuse, but did not
involve physical injury, would be considered compensable under VOCA.
Hopefully, this modification clarifies the type of crimes which may be
considered compensable.
One respondent expressed concern regarding the availability of
compensation for traditional healing and burial expenses. The
respondent noted that there is great variation among the States as to
the type and extent of expenses which are eligible for compensation.
OVC appreciates the cultural and financial issues, as well as the need
for each State to recognize and support various methods available and
preferable to victims in their recovery and/or stabilizing their lives
after a victimization. However, determinations as to the extent of
benefits available to crime victims remains solely within the
prerogative of each State. VOCA does not stipulate with any specificity
the extent or any qualifying factors for the payment of expense
categories.
In connection with the payment of forensic sexual assault
examinations, one respondent recommended that clarification be given
regarding inclusion of payments made for forensic sexual assault
examinations in a State's certified payments. Specifically, the
respondent suggested that the Guidelines advise that although the
eligibility criteria for a VOCA compensation grant require that a
victim report to local law enforcement, States may waive the reporting
requirement in the following circumstances: (1) the primary purpose of
the examination is to collect forensic evidence; (2) such payments are
allowable under the State's statute or administrative rules; and (3)
such payments are made from funds administered by the compensation
program.
Guidelines for Crime Victim Compensation Grants
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
mandated by VOCA.
OVC was established in 1984 as the Justice Department's chief
advocate for America's crime victims. OVC's program activities are
consistent with VOCA. These Final Program Guidelines address the
specific program and financial requirements of the VOCA crime victim
compensation grant program.
OVC makes annual VOCA crime victim compensation grants from the
Fund to eligible States. The primary purpose of these grants is to
supplement State efforts to provide financial assistance and
reimbursement to crime victims throughout the Nation for costs
associated with being a victim of a crime, and to encourage victim
cooperation and participation in the criminal justice system. State
crime victim compensation programs may use VOCA compensation grant
funds to pay for eligible expenses provided by the State compensation
statute except for property damage and property losses.
The 1994 amendments to VOCA made a number of changes affecting the
crime victim compensation program. These amendments can be found in
sections 1402(d) which describe the distribution of the Crime Victim
Fund and section 1403 of VOCA, which describes the requirements and
eligibility criteria for a VOCA victim compensation grant award.
For the first time since the inception of the State VOCA victim
compensation program, States may use up to five percent of their grant
award for administrative purposes. This provision will apply to State
VOCA victim compensation grants for Federal Fiscal Year 1995. Guidance
as to the conditions, limitations, and reporting requirements on the
expenditure of administrative funds is set forth the Availability of
Funds section of these Final Program Guidelines.
States have the responsibility for establishing guidelines and
procedures for applying for crime victim compensation benefits which
meet the minimal statutory requirements outlined in VOCA and the
requirements in these Program Guidelines.
Funding Allocation and Application Process
A. Distribution of Crime Victim Fund
OVC administers the deposits made into the Fund for programs and
services, as specified in VOCA. The amount of funds available for
distribution each year is dependent upon the total deposits into the
Fund in the preceding 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. Thus, under current legislation, the Fund will receive
deposits indefinitely.
The Violent Crime Control and Law Enforcement Act of 1994 provides
that the deposits into the Fund are to be distributed as follows:
1. The first $6,200,000 deposited in the Fund in each of the fiscal
years 1992 through 1995 and the first $3,000,000 in each fiscal year
thereafter is available to the Administrative Office of United States
Courts for administrative costs to carry out the functions of the
judicial branch under Sections 3611 of Title 18, U.S. Code.
2. Of the next $10,000,000 deposited in the Fund a particular
fiscal year,
a. 85 percent shall be available to the Secretary of Health and
Human Services for grants under Section 4(d) of the Child Abuse
Prevention and Treatment Act for improving the investigation and
prosecution of child abuse cases;
b. 15 percent shall be available to the Director of the Office for
Victims of Crime for grants under Section 4(d) of the Child Abuse
Prevention and Treatment Act for Assisting Native American Indian
Tribes in developing, establishing, and operating programs to improve
the investigation and prosecution of child abuse cases.
3. The remaining Fund deposits are distributed as follows:
a. 48.5 percent is available for victim compensation grants;
b. 48.5 percent is available for victim assistance grant;
c. 3 percent is available for support of services to Federal crime
victims and for demonstration, training, and technical assistance
grants to eligible crime victim programs. [[Page 10114]]
B. Availability of Funds
The Director of OVC will make an annual grant to eligible State
crime victim compensation programs equal to 40 percent of the amounts
awarded by the State program to victims of crime from State sources of
revenue during the fiscal year preceding the year of deposits in the
Fund (two years prior to the grant year). Note: Amounts paid to
compensate victims for property damage or property loss can not be
included in a state's certification for a VOCA victim compensation
grant award. If the amount in the Fund is insufficient to award each
State 40 percent of its prior year's compensation payout, Section
1403(a)(2) of VOCA provides that all States will be awarded the same
reduced percentage of their prior year payout from the available funds.
Funds are available for expenditure throughout the FFY of award as
well as in the next FFY. The FFY begins on October 1 and ends on
September 30. State crime victim compensation programs may pay
compensation claims retroactively from October 1, even though the VOCA
grant may not be awarded until later in the grant period. 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 monitor closely the expenditure of VOCA funds prior to the end of
the grant period.
Administrative Costs
The Victims of Crime Act (VOCA) now allows up to five percent of
VOCA crime victim compensation grant funds to be used for administering
the state crime victim compensation grant program(s). It is in the
State's discretion to use the allowable five percent for
administration. However, any part of the allowable five percent which
is not used for administrative purposes must be used for awards of
compensation to crime victims.
The intent of this new provision of VOCA is to support and advance
program administration in all operational areas including claims
processing, staff development and training, public outreach, and
program funding by supporting those activities that will improve
program effectiveness and service to crime victims. If a state elects
to use up to five percent of their VOCA compensation grant for
administrative purposes, only those costs directly associated with
administering the program, enhancing overall program operations, and
ensuring compliance with Federal requirements, can be paid with limited
administrative grant funds. Further, States must certify that VOCA
funds used for administrative purposes will not be used to supplant
State or local funds but will be used to increase the amount of State
funds that would be available for administering the compensation
program. For the purpose of establishing a baseline level of effort,
States should maintain documentation as to the overall administrative
commitment of the State prior to their use of VOCA administrative grant
funds.
Allowable administrative costs include but are not limited to the
following: program personnel, salary and benefits; travel costs for
attendance at state, regional, and national compensation training
conferences; computer equipment and support services; costs involved in
the production and distribution of program brochures and posters, and
other program outreach activities; professional fees for computer
services and peer review of compensation claims; agency membership dues
for victim compensation organizations; program enhancements such as
toll-free numbers; special equipment and materials to facilitate
service to persons with disabilities, and other reasonable costs
directly related to administering a compensation program. Indirect
costs expressed as a percentage of state-wide joint costs will not be
considered as allowable.
Staff supported by 5% of the VOCA compensation administrative funds
under the VOCA Crime Victim compensation grant must work directly for
the compensation program in the same proportion as their level of
support from VOCA grant funds. If the staff have other functions, the
proportion of time working on the compensation program must be
documented using some reasonable method at regular intervals such as
time and attendance records on all funded staff which demonstrate the
portion of staff time spent on compensation related activities. The
documentation must provide a clear audit trail for the expenditure of
grant funds.
Only staff activities directly related to compensation functions
can be funded with VOCA administrative funds. Similarly, any equipment
purchases or other expenditures charged to the VOCA compensation grant
should only be charged proportionate to the percentage of time utilized
by the compensation program.
Temporary or periodic personnel support, such as qualified peer
reviewers for medical and mental health claims, and data processing
support services are also allowable. These services may be obtained
through contract using VOCA administrative funds.
Those States that elect to utilize administrative funds under the
VOCA compensation grant, shall include with their annual application a
general description of how the administrative funds will be used. This
description should include an itemization of the state's projected
expenditures for allowable administrative cost. A state may modify
projections set forth in their application by providing OVC a revised
description of their planned use of administrative funds in writing,
subsequent to submitting their annual application. However, the revised
description must be reviewed prior to the obligation of any Federal
funds.
Those States that elect to utilize administrative funds under the
VOCA crime victim compensation grant, shall include a narrative
description of the impact of VOCA administrative funds with their
annual performance report.
C. Application Process
Each year, OVC issues to each eligible State a Program Instruction
and Application Kit, which contains the necessary forms and detailed
information required to make application for VOCA crime victim
compensation grant funds. The amount for which each State may apply is
included in the Application Kit. States shall use the Standard Form
424, Application for Federal Assistance, and its attachments to apply
for VOCA victim compensation grant funds. Applications for VOCA crime
victim compensation grants may only be submitted by the State agency
designated by the Governor to administer the VOCA grant.
Completed applications must be submitted on or before the stated
deadline, as determined by OVC. If an eligible State fails to apply for
its crime victim compensation allocation by the prescribed deadline,
OVC will redistribute Federal VOCA crime victim compensation dollars to
the VOCA victim assistance grant program as provided by Section
1404(a)(1) of VOCA (42 U.S.C. 10603 (a)(1)), assuming all states have
received the statutorily prescribed 40% (percent) of their prior years
payouts.
In addition to submission of the Application for Federal
Assistance, States shall:
1. Specify their arrangements for complying with the provisions of
Circular A-128 (Audits of State or Local Government.)
2. Submit Certifications Regarding Lobbying, Debarment, Suspension,
and [[Page 10115]] Other Responsibility Matters; Drug-Free Workplace
Requirements; Civil Rights Compliance, and any other certifications
required by OJP and OVC. Additionally, States must complete a
disclosure form specifying any lobbying activities that are conducted.
3. Submit a Crime Victim Compensation Eligible State Payments
Certification Form which is furnished by OVC.
The amount certified on this Form is used by OVC to determine the
annual Federal grant award to each eligible State in the following
year. This form must be completed and signed by the authorized
individual within the agency designated by the Governor to administer
the VOCA crime victims compensation grant. For Further information
concerning the State certification, see the Program Requirements
section.
4. Submit the following assurances and information:
a. An assurance that the program will comply with all applicable
nondiscrimination requirements;
b. An assurance that in the event a Federal or State court or
Federal or State administrative agency makes a finding of
discrimination after a due process hearing, on the grounds of race,
color, religion, national origin, sex, or disability against the
program, the program will forward a copy of the finding to the Office
of Justice Programs, Office for Civil Rights (OCR);
c. The name of the civil rights contact person who has lead
responsibility in ensuring that all applicable civil rights
requirements are met and who shall act as liaison in civil rights
matters with OCR;
d. An assurance that programs will maintain information on crime
victims receiving services by race, national origin, sex, age, and
disabilities, where such information is voluntarily furnished by
claimants. A State may, at its discretion, use the following language
when soliciting claimant responses: ``The submission of information
regarding race/ethnic background or disabilities is strictly voluntary.
A decision to not supply this information will not affect your
eligibility for compensation benefits without this information.
However, this information is important. We use it to study the extent
to which members of minorities and persons with disabilities are
recipients of compensation benefits and to determine the extent to
which outreach efforts should be enhanced to ensure access and services
to these populations.''
Program Requirements
A. State Eligibility Criteria
The fundamental criteria for eligibility is the grantee must be an
operational State-administered crime victim compensation program. The
term ``State'' includes the District of Columbia, the Virgin Islands,
and any other possession or territory of the United States. Although an
authorized program that has not actually paid out compensation benefits
would be technically eligible under Section 1403(b)(1) of VOCA, the
program would not be entitled to a VOCA grant because it had not
awarded any benefits that could be matched under Section 1403(a)(1).
VOCA compensation grant funds may not be used as ``start-up'' funds for
a new State program.
Section 1403 of VOCA prescribes the conditions and eligibility
criteria related to crime victim compensation grants. In order for a
State to meet or maintain eligibility for a crime victims compensation
grant, it must satisfy the following eligibility requirements:
1. The program must be operated by a State and offer compensation
to victims and survivors of victims of ``compensable crimes,''
including drunk driving and domestic violence. The term ``compensable
crime'' means a crime, the victims of which are eligible for
compensation under the State's eligible crime victim compensation
program statute or rule. The range of expenses for which States may
award crime victims compensation varies nationwide, although all States
must award compensation for medical expenses, including mental health
counseling and care; loss of wages; and funeral expenses.
2. The program must promote victim cooperation with the reasonable
requests of law enforcement authorities. The States may impose such
reasonable requirements as they see fit to promote this cooperation and
to verify that a crime has occurred. Encouraging victims to cooperate
with law enforcement and to report the crime is important to the
effective functioning of the criminal justice system and to preventing
further victimizations.
In assessing a victim's cooperation with law enforcement, State
crime victim compensation programs are encouraged to consider carefully
any compelling health or safety reasons that may influence the extent
of victim cooperation with law enforcement. Such considerations might
include concerns regarding personal safety and retaliation, as well as
threats or intimidation of the victim by the offender or others.
3. The State must certify that grants received under this section
will not be used to supplant State funds otherwise available to provide
crime victim compensation or to administer the state crime victim
compensation program.
The nonsupplantation provision is intended to assure that States
use VOCA funds to augment, not replace, otherwise available State
funding for crime victim compensation. More specifically, the States
may not decrease their financial commitment to crime victim
compensation solely because they are receiving VOCA funds for the same
purpose.
4. The State, as to compensable crimes occurring within the State,
must make compensation awards to victims who are non-residents of the
State on the basis of the same criteria used to make awards to victims
who are residents of such State.
This provision is intended to ensure that non-residents of a State,
who are victimized in a State that has an eligible compensation
program, are provided the opportunity to apply for and receive the same
compensation benefits that are available to residents of the State. The
provision of reciprocal agreements with certain other States or foreign
countries will not suffice to meet this criteria. Eligibility for VOCA
funds requires the State program to extend its coverage to all non-
residents victimized in the State. Note: For the purposes of this
provision, the term ``non-resident'' must, at a minimum, include anyone
who is a resident in one State but victimized in another. A State may,
at its discretion, broaden its definition of non-resident to include
anyone victimized in the State regardless of whether the victim is a
United States citizen.
5. The State must provide compensation to victims of Federal crimes
occurring within the State on the same basis that such program provides
compensation to victims of State crimes.
For example, a victim of a rape, occurring on a Federal
installation or Indian reservation inside the State, must be afforded
the same benefits that would be available to the victim if the rape
were classified as a crime against the State. This provision is
intended to cover those individuals victimized on military
installations, national parks and highways, Native American
reservations, and under other circumstances where Federal jurisdiction
exists since there is no Federal compensation program which provides
benefits to victims covered under Federal jurisdiction.
6. The State must provide compensation to residents of the State
who are victims of crimes occurring [[Page 10116]] outside the State,
if the crimes would be compensable crimes had they occurred inside that
State and the crimes occurred in a State not having eligible crime
victim compensation programs.
This provision is intended to cover those residents of a State who
are victimized in a State which does not have a crime victim
compensation program.
This requirement protects residents of a State who are victims of
criminal violence in another State which does not have an eligible
crime victims program for which the victim qualifies. In such
instances, the victim would be eligible to apply for crime victim
compensation from the State in which he or she resides. If a person
from one State is victimized in another, which has an eligible
compensation program, the State in which the crime was committed must
offer compensation to the victim according to its own eligibility
requirements and allowable expenses, without regard to the non-
residence status of the victim.
7. Except pursuant to rules issued by the compensation program to
prevent unjust enrichment of the offender, the State cannot deny
compensation to any victim because of that victim's familial
relationship to the offender, or because of the sharing of a residence
by the victim and the offender.
Unjust enrichment, as the basis for denying crime victims
compensation, must be based upon written rules issued by the State
crime victims compensation program. ``Rules'' mean either written
policies or directives developed and distributed by State crime victim
compensation programs or rules adopted by legislative or administrative
bodies. Such rules cannot have the effect of denying compensation to a
substantial percentage of domestic violence victims. The rules relating
to unjust enrichment should be applicable to all claims for
compensation although it is recognized that domestic violence cases
have the greatest potential for unjust enrichment.
In general, programs must balance the goals of making compensation
benefits available to domestic violence victims and preventing unjust
enrichment of offenders. State programs are strongly encouraged to work
with domestic violence coalitions and representatives to this end.
In developing rules, the States are encouraged to consider the
following:
a. Legal responsibilities of the offender to the victim under the
laws of the State and collateral resources available to the victim from
the offender. For example, legal responsibilities may include court-
ordered restitution or requirements for spouse and/or family support
under the domestic or marital property laws of the State. Collateral
resources may include insurance or pension benefits available to the
offender to cover the costs incurred by the victim as a result of the
crime. As with other crime, victims of domestic violence should not be
penalized when collateral sources of payment are not viable, e.g., when
the offender refuses to, or cannot, pay restitution or other civil
judgements within a reasonable period of time or when the offender
otherwise impedes direct or third party (i.e., insurance)
reimbursements.
b. Payments to victims of domestic violence which benefit offenders
in only a minimal or inconsequential manner would not be considered
unjust enrichment. To deny payments, in some instances, could serve to
further victimize the claimant. For example, denial of medical or
dental expenses solely because the offender has legal responsibility
for the charges, but is unwilling, or unable to pay them, could result
in the victim's inability to receive treatment.
c. Consultation with social services and other concerned
governmental entities, as well as with private organizations that
support and advocate on behalf of domestic violence victims.
d. The special needs of child victims of criminal violence
especially when the perpetrator was the parent who may or may not have
lived in the same residence.
8. The State must provide such other information and assurances as
the Director of OVC may reasonably require.
9. If the compensation paid by an eligible crime victim
compensation program would cover the costs that a Federal program, or a
Federally financed State or local program, would otherwise pay such
crime victim compensation program shall not pay that compensation; and
the other program shall make its payments without regard to the
existence of the crime victim compensation program.
B. State Certifications
Guidelines on amounts to be included as well as amounts to be
excluded in a State's certification of payments of crime victims
compensation from State funding sources are furnished below:
1. Program Revenue. States must report on the certification form
all sources of State revenue available to the crime victims
compensation program during the Federal Fiscal Year. In some instances,
funds are made available to the crime victims compensation program from
other departments or agencies, from supplemental appropriations,
donations, or carried over from prior years appropriations. All State
funds which are available during the Federal Fiscal Year should be
reported. The amount of certified revenue, excluding VOCA funds, must
meet or exceed the amount of certified payments to crime victims.
2. Amounts to be Included. The total amount to be certified by the
State program must include only those amounts paid from State funding
sources to or on behalf of crime victims during the Federal Fiscal Year
(October 1 to September 30).
3. Compensable Expenses. The range of expenses for which States may
award crime victims compensation varies nationwide, although all States
must award compensation for medical expenses, including mental health
counseling and care; loss of wages; and funeral expenses. Note: The
term ``medical expenses'' includes, to the extent provided under the
State crime victim compensation program statute, expenses for
eyeglasses and other corrective lenses; dental services, devices, and
prosthetic devices; and for services rendered in accordance with a
method of healing recognized by the law of the State. ``Mental health
counseling and care'' means the assessment, diagnosis, and treatment of
an individual's mental and emotional functioning that is required to
alleviate psychological trauma resulting from a compensable crime. Such
intervention must be provided by a person who meets such standards as
may be set by the State for victim mental health counseling and care.
Compensable expenses to be included in the annual certification
must be authorized by State statute or rule, providing there is rule
making authority in State law. States may include expenses, not
specifically identified in VOCA, such as pain and suffering; crime
scene clean up; replacement costs for clothing and bedding held as
evidence; annuities for child victims for loss of support; medically-
necessary building modification; medically-necessary devices; and
attorney fees related to a victim's claim for compensation.
States may also include payments related to forensic sexual assault
examinations, even if the victim did not report the crime to law
enforcement if such payments are made from funds administered by the
compensation program and are allowable under the state's statute or
administrative rules.
4. Amounts to be excluded. States must exclude, in the
certification, VOCA grant funds, compensation for
[[Page 10117]] property losses or property damage, audit costs,
personnel costs, and any other program administrative costs.
5. Applicable Credits. Any ``applicable credits'' must be deducted
from the State certification. The term ``applicable credits'' refers to
those receipts or reduction of expenditures, which offset or reduce
expense items that are allocable to a particular crime victim
compensation claim. Typical examples of applicable credits in State
crime victims compensation programs include funds received through a
State's subrogation interest in a claimant's civil law suit recovery,
restitution, refunds, or other reimbursements. Refunds include amounts
from overpayment, erroneous payments made to claimants, uncashed
checks, etc. Additional guidance regarding applicable credits can be
found in OMB Circular A-87, ``Cost principles for State and Local
Governments.''
States must determine how to account for both the receipt and
expenditure of restitution and refunds. Note: A State is not required
to reduce its certified payment figure by the amount of restitution
recoveries received by the State which are not directly related to the
payment of crime victim compensation benefits, nor when such
reimbursements were from payments to victims prior to receiving a VOCA
award.
6. Recovery Costs. Expenses incurred by State compensation
programs, which are directly attributable to the recovery of
restitution, refunds, and other reimbursements, may be offset against
the amount of income received from such reimbursements. Expenses
directly attributable to recovery income shall be limited to the
percentage of those salaries incurred by the State for employees whose
primary responsibilities (not less than 75 percent of their time) are
directly and specifically related to recovering restitution and other
reimbursements. Recovery costs can not be claimed for employees whose
salary is derived from Federal administrative grant funds.
7. There is no financial requirement that State compensation
programs identify the source of individual payments to crime victims as
either Federal or State dollars.
C. Incorrect Certifications
If it is determined that a State has made an incorrect
certification of payments of crime victims compensation from State
funding sources and a VOCA crime victim compensation grant is awarded
in error, one of the following two courses of action will be taken:
1. In the event that an over certification comes to the attention
of OVC or the Office of the Comptroller, OJP, the necessary steps will
be taken to recover funds which were awarded in error. OVC does not
have the authority to permit States to keep amounts they were not
entitled to as a result of overcertification.
2. If a State under-certifies amounts paid to crime victims, OVC
will not supplement payments to the State in a subsequent year to
correct the State's error. Once OVC awards funds in a given FFY, there
are no excess funds available to remedy errors of this nature.
D. Program Reporting Requirements
States receiving VOCA crime victims compensation grant funds are
required to prepare an Annual Performance Report that is provided by
OVC. The Report requests specific information about claims for
compensation, such as types of crimes committed, including drunk
driving and domestic violence, disposition of claims, and payments for
compensable expenses. The Performance Report covers the Federal Fiscal
Year ending September 30 and is due to OVC by December 30 of the same
year.
E. Additional 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 law, no recipient of monies under VOCA shall use or reveal
any research or statistical information gathered 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
14007(d) of VOCA, codified at 42 U.S.C. 10604(d)].
This provision is intended, among other things, to assure the
confidentiality of information provided by crime victims to employees
of VOCA-funded victim compensation programs. However, 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 a suspected child abuse. See Pennhurst
State School and Hospital v. Halderman, et al., 451 U.S. 1 (1981).
Financial Requirements
As a condition of receiving a grant, States agree to insure
adherence to the general and specific requirements as set forth in the
``Financial and Administrative Guide for Grants,'' OJP M71OO.1D
(effective edition) and applicable OMB Circulars and Common Rules. This
includes the maintenance of books and records in accordance with
generally accepted government accounting principles. States further
agree to identify state fiscal year and Federal cognizant audit agency.
This section describes the payment of grant funds, termination of
advanced funding; financial status reports, and audit requirements.
A. Audit Responsibilities for States
Pursuant to OMB Circular A-128 (Audits of State or Local
Governments), States that receive $100,000 or more in Federal financial
assistance in any fiscal year must have a single audit for that year.
States 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
[[Page 10118]] in any fiscal year are exempt from audit requirements.
B. Audit Costs
Although under OMB Circular A-128 audit costs are generally
allowable charges under Federal grants, audit costs incurred at the
grantee (State) level are determined to be an administrative expense.
C. Financial Status Report for States
Financial Status Reports (269A) are required from all State
agencies. A Financial Status Report shall be submitted to the Office of
the Comptroller for each calendar quarter in which the grant is active.
This Report is due even though no obligations or expenditures were
incurred. Financial Status Reports shall be submitted to the Office of
the Comptroller, by the State, within 45 days after the end of each
calendar quarter. Calendar quarters end March 31, June 30, September
30, and December 31. A Final Financial Status Report is due 90 days
after the end of the VOCA grant, no later than December 31.
D. Termination of Advance Funding
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/General Accounting Office/Office of the
Inspector General
The Office of the Comptroller, the General Accounting Office, and
the Office of the Inspector General conducts periodic reviews of the
financial policies and procedures and records of VOCA States.
Therefore, upon request, States must give authorized representatives
the right to access and examine all records, books, papers, case files,
or other documents related to the grant.
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 review
various documents and files such as (1) financial and program manuals
and procedures governing the crime victim compensation grant program;
(2) financial records, reports, and audit reports for the State
grantee; (3) the State's compensation application, procedures, and
guidelines for awarding compensation benefits; (4) a random sampling of
victim compensation claim files; and (5) all other applicable State
records and files.
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
(effective edition), the Final Program Guidelines, or any implementing
regulation or requirement, OVC may suspend or terminate funding to the
State and/or take other appropriate action. At such time, States may
request a hearing on the justification for the suspension and/or
termination of VOCA funds.
Approved by:
Aileen Adams
Director, Office for Victims of Crime, Office of Justice Programs.
[FR Doc. 95-4417 Filed 2-22-95; 8:45 am]
BILLING CODE 4410-18-P