Federal Register, Volume 67 Issue 21 (Thursday, January 31, 2002)

[Federal Register Volume 67, Number 21 (Thursday, January 31, 2002)]
[Notices]
[Pages 4822-4833]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2299]

[[Page 4821]]

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Part III

Department of Justice

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Office for Victims of Crime

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Guidelines for the Antiterrorism and Emergency Assistance Program for
Terrorism and Mass Violence Crimes; Notice

Federal Register / Vol. 67, No. 21 / Thursday, January 31, 2002 /
Notices

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DEPARTMENT OF JUSTICE

Office for Victims of Crime

[OJP[OVC]-1309F]

Guidelines for the Antiterrorism and Emergency Assistance Program
for Terrorism and Mass Violence Crimes

AGENCY: Office for Victims of Crime, Office of Justice Programs,
Justice.

ACTION: Notice of final guidelines.

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SUMMARY: The Office for Victims of Crime (OVC) has developed these
final Guidelines to implement the victim assistance provisions
contained in the Antiterrorism and Effective Death Penalty Act of 1996
(Pub. L. 104-132), the Omnibus Consolidated Appropriations Act of 1997
(Pub. L 104-208), the Victims of Trafficking and Violence Protection
Act of 2000 (Pub. L. 106-386), and the Uniting and Strengthening
America by Providing Appropriate Tools Required to Intercept and
Obstruct Terrorism Act of 2001, Pub. L. 107-56 (hereafter referred to
as the USA PATRIOT Act of 2001). The Victims of Crime Act (VOCA), 42
U.S.C. Sec. 10603b and Sec. 10603c, outlines the specific authority of
the OVC to provide compensation and assistance to victims of acts of
terrorism or mass violence within and assistance to victims of
terrorism and mass violence outside the United States. Funding
available through the Antiterrorism Emergency Reserve (hereafter
referred to as the Emergency Reserve) is designed to provide timely
relief and to help respond to immediate and on-going challenges in
providing victim assistance services in the aftermath of cases of
terrorism or mass violence. Funding and technical support is not
provided automatically. Requested funds must supplement, not supplant,
available resources. Non-federal contributions (cash or in-kind) are
expected for each type of grant. Federal agencies are not expected to
make a contribution. Amounts paid to victims from state funding sources
to compensate victims of terrorism or mass violence may be included in
a state's annual certification of payments to victims, which is the
basis for matching annual federal crime victim compensation formula
grants.

EFFECTIVE DATE: These final Guidelines are effective January 31, 2002,
and until re-issuance by OVC.

FOR FURTHER INFORMATION CONTACT: Terrorism and International Victims
Unit, Office for Victims of Crime, 810 Seventh Street, NW., Washington,
DC 20531, telephone (202)307-5983.

SUPPLEMENTARY INFORMATION: VOCA provides federal financial assistance
for the purpose of compensating and assisting victims of crime, to
carry out a training and technical assistance program, to provide
services for victims of federal crimes, to provide compensation and
assistance services for victims of terrorism or mass violence, and to
support fellowships and clinical internships. These final Guidelines
provide specific information for the administration of funding for
response to victims of terrorism or mass violence as authorized in 42
U.S.C. Sec. 10603b and Sec. 10603c.

Preamble to the Final Guidelines

OVC published proposed program guidelines in the Federal Register
(FR, Vol. 66, No. 63) on April 2, 2001 for a 30-day public comment
period. In addition, OVC distributed copies of the proposed guidelines
to all VOCA state administrators, executive directors of national
victim organizations, identified representatives in federal agencies
with victim assistance responsibilities including the 93 United States
Attorneys Offices, and other interested parties. In response to the
notice of proposed program guidelines, OVC received 27 separate
comments based on the Federal Register notice. In addition, comments
were received from seven VOCA state victim assistance administrators at
a working group meeting at their annual national conference held in
Denver, Colorado. Of the written comments received from 27 individuals
or organizations: Three came from special agents and medical staff at
the Federal Bureau of Investigation; three from state crime victim
compensation program representatives; four from state human services
department divisions administering mental health programs; three from
state departments of health and mental health; one from a state
department of public welfare, office of mental health and substance
abuse services; three from VOCA state assistance and compensation
administrators, of which two came from a single state public safety
agency; one from the Federal Emergency Management Agency; one from the
Department of Treasury Enforcement Section; one from the Office of the
Inspector General and one from the Secretary of the U.S. Department of
Agriculture; one from the National Association of Crime Victim
Compensation Boards; one from a VOCA state victim assistance
administrator; one from Office of the Assistant Secretary of Defense,
Special Operation Low Intensity Conflict Combating Terrorism Policy
Support; one from the Drug Enforcement Administration; one from the
Center for Mental Health Services, Emergency Services and Disaster
Relief Branch, Substance Abuse and Mental Health Services
Administration; and one from the Department of State, Overseas Citizens
Services, Bureau of Consular Affairs.
OVC has attempted to address all of the comments and
recommendations received during the public comment period. In addition,
OVC has included in these final Guidelines new provisions contained in
the USA PATRIOT Act of 2001 (PL 107-56) which contains a definition of
``domestic terrorism,'' expands the list of eligible applicants for
funding in cases of ``domestic terrorism,'' establishes a new cap on
the amount of money the OVC Director can set aside to assist victims of
terrorism and mass violence, and re-titles the name of the account in
which funding is set aside for these purposes as the Emergency Reserve.
It also authorized the transfer of money into this account from the
emergency supplemental appropriation for the September 11th disaster
specifically to support services for the victims and surviving family
members of this terrorist attack. In addition, OVC provided two points
of clarification regarding the amount of funding available from the
Emergency Reserve to a jurisdiction and clarified eligible applicants
for funding based on recent inquiries following the ``September 11,
2001 attacks against America.'' The implementation of these final
Guidelines will provide opportunities to broaden our understanding of
the needs of victims and jurisdictions responding to terrorism or mass
violence. As OVC learns from these experiences we will make the
necessary adjustments to this program policy guidance.

Analysis and Summary of Comments

Overall, the comments were supportive of the direction taken by OVC
in the proposed guidelines. Many respondents expressed appreciation for
OVC's effort to provide structure and guidance to the field regarding
funding available from the Emergency Reserve to support services and
assistance to victims of terrorism or mass violence. Several
respondents praised OVC for the flexibility built into the guidelines,
including the application filing period and process, and timing for the
different types of assistance.
In response to the comments and the September 11, 2001 attacks on
America, OVC has made several additional changes in the final
Guidelines. OVC

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also has made formatting changes; added language to address property
losses and damage and victim confidentiality and privacy; added
definitions of ``victim,'' ``national of the United States,''
``grant,'' ``cooperative agreement,'' ``reimbursable agreement,'' and
``interagency agreement;'' extended the period of time for accessing
criminal justice support grants to up to 36 months; added a new
subsection to address federal monitoring and oversight; simplified the
application requirements; provided additional guidance regarding
required program reporting; and provided specific application
requirements by type of applicant agency. The comments from the field
address six specific areas of the Guidelines: Coordination, pre-crisis
planning, mental health interventions, application process and funding,
allowable activities, and definitions. The following is a summary of
the comments and PVC's response.
Coordination: Several of the respondents asked OVC to strengthen
language recommending coordination among federal law enforcement and
prosecution, state victim assistance administrators, and the state
mental health community. In response, OVC added language to the
``coordination of effort with other public and private entities''
section of the final Guidelines recommending coordination among law
enforcement, prosecution, state victim assistance and compensation
programs, and the mental health community. In addition, we address this
issue in the Introduction and Background section by adding a new
subsection discussing pre-crisis planning.
Pre-crisis Planning: A number of respondents focused on the need to
support pre-crisis planning efforts of states and other jurisdictions,
and sought to secure funding for preliminary and on-going crisis
planning efforts. They also recommended that the final Guidelines
require states to have critical incident operations plans that identify
state resources to respond to criminal mass disasters and memoranda of
understanding that describe the relationship between the applicant and
state mental health services.
Funding available to jurisdictions under these final Guidelines is
specifically to support victim assistance services in the aftermath of
criminal mass disaster. OVC strongly supports pre-crisis planning and
has identified various resources available to assist states and
communities in its National Directory of Victim Assistance Funding
Opportunities, 2001.
Mental Health Interventions: One respondent expressed concern about
the use of the term ``counseling'' and the potential for it to
encourage interventions by non-qualified, non-credentialed individuals.
Another respondent also suggested that the final Guidelines require
states to document their inability to develop and/or identify state
response resources prior to subcontracting for mental health counseling
services. One respondent asked that OVC re-examine the time frames
established for crisis response grants and consequence management
grants to eliminate the gap in funding support for crisis counseling
services and counseling and group therapy to ensure a continuum of
psychological care for victims.
In response to the concern expressed regarding the term
``counseling'' and the credentials of persons providing mental health
intervention, OVC has modified the language in the final Guidelines to
indicate counseling and therapy that are provided by persons who meet
state standards or who are supervised in accordance with state
standards. In addition, we clarified this by adding two definitions:
The definition of ``crisis counseling'' used in the Federal Emergency
Management Agency (FEMA) regulations, and the definition of mental
health counseling and care contained in OVC's Victim Assistance Program
Guidelines. We believe these two additions to the final Guidelines
address the concerns of the respondent with minimal federal intrusion
on state decision-making.
OVC has entered into an interagency agreement with the Department
of Health and Human Services' Center for Mental Health Services (CMHS),
Emergency Services and Disaster Relief Branch to conduct research into
currently available materials and protocols to address the immediate
and longer-term mental health needs of victims of mass victimization;
to prepare materials for federal law enforcement to assist victims of
domestic and international terrorism and mass violence; to provide
training and technical assistance to federal law enforcement on mental
health care needs of victims; to assist federal law enforcement in
coordinating its crisis response role with state and local agencies and
community service organizations; and to develop partnerships between
mental health and victim assistance disciplines at the state and local
levels. This information has been added to a new subsection in the
final Guidelines titled ``Support for Pre-Crisis Planning.''
With regard to the recommendation to require states to document the
inability to secure state resources before subcontracting for mental
health services, OVC believes the selection of service providers is
best left to the standards established by the affected jurisdiction.
To address the possible gap in mental health interventions, OVC has
adjusted the time range for consequence management grants to begin at
the point in which crisis response grant funding terminates. Hence, the
consequence management grants will now be available from nine months
and up to 18 months after the terrorist or mass violence event.
Application Process and Funding: A few respondents recommended that
funding available from the Emergency Reserve be retroactive to the date
of the criminal event. Another respondent expressed support for a joint
application for funding available from OVC and the CMHS. Two
respondents asked for clarification regarding funding determinations.
Specifically, they wanted to know the extent to which federal formula
grant fund amounts would be factored into the funding decision, and if
defined criteria will be established for making funding determinations.
Another respondent asked if the range of eligible applicants could be
expanded to include state criminal justice planning agencies, state and
county mental health agencies, and state departments of education. A
state compensation program representative asked that the application
requirements be revised to establish specific supplemental information
required of state compensation programs and to eliminate additional
application certifications for states that receive formula grant
funding from OVC to support victims. In addition, the respondent
requested that OVC eliminate the requirement that ``recovered'' funds
be used to assist other victims of the ``specific act of terrorism or
mass violence for which Emergency Reserve dollars were awarded.''
Next, a respondent recommended that application requirements be
consolidated into one section of the final Guidelines and specific
application requirements be identified by the type of applicant.
Finally, a respondent asked for clarification regarding the time limit
in which an application may be filed noting that ``a state may
initially have funds available and believe they are adequate; however
future events may deplete resources.''
In response to these recommendations, OVC has made the following
changes in the final Guidelines. OVC added language under the section
describing the application

[[Page 4824]]

process that provides for pre-agreement costs retroactive to the date
of the mass casualty event. Regarding the recommendation for a joint
application for funding available from CMHS and OVC, we have added
language to the coordination section which indicates that OVC may elect
in some cases to transfer funds to other federal agencies with disaster
relief responsibilities to support victim assistance interventions,
including mental health counseling and care. To clarify the funding
decision process, we added to the definition section of the final
Guidelines the term ``undue financial hardship'' and provided
additional guidance regarding the criterion for making such
determinations. The USA PATRIOT Act of 2001 expanded the list of
eligible recipients for funding in cases of terrorism within the United
States to include not only eligible state crime victim compensation and
assistance programs, but also victim service organizations, public
agencies--federal, state, and local governments, and non-governmental
organizations that provide assistance to victims. Funding to foreign
governments is still prohibited.
In response to the three requests affecting state compensation
programs, the final Guidelines have been modified to provide specific
guidance regarding supplemental application information required from
crime victim compensation programs. OVC has elected to retain the
language requiring that funds recovered through state subrogation
provisions be used to compensate other victims of the same terrorist or
mass violence act for which they were originally awarded. Additional
language has been added requiring state compensation programs and other
recipients of funds to return any remaining funds at the end of the
grant to OVC for deobligation and deposit into the Emergency Reserve.
OVC is unable to establish a blanket certification for funding received
from different account sources. Hence, no change has been made to the
certification requirements. OVC did not establish an application
deadline precisely for the reasons cited by the respondent. The period
of time that elapses between the submission of an application and the
catastrophic event does affect the type of grant assistance an
applicant can request, i.e., OVC will not approve an application
submitted 24 months after the event for a crisis response grant.
Clarification regarding the time frame for application submission is
provided in the section of the final Guidelines titled ``Application
Processing and Turnaround Time.'' Finally, OVC has consolidated all the
application requirements under section VII of the final Guidelines and
identified the specific application requirements based on the type of
agency/organization requesting funding support.
Allowable Activities: One respondent asked that ``direct (victim)
outreach'' be identified as an allowable activity to ensure that the
largest number of victims are reached following a terrorism or mass
violence event. Another respondent acknowledged the need for prolonged
victim assistance interventions based on the length of time it often
takes to arrest the perpetrator(s) and bring him/her to trial. One
respondent asked that the pool of eligible recipients be expanded to
include emergency responders. Another respondent suggested that the
allowable activities under the consequence management assistance grants
include automated informational telephone service, and Attorney Advisor
positions to address questions from victims about criminal proceedings.
Direct victim outreach is an allowable activity. The list of
activities supportable with Emergency Reserve dollars was not meant to
be exhaustive. Thus, OVC added a statement that ``[f]unding for
services and other support may include, but is not limited to * * *''.
The list of eligible activities outlined in the final Guidelines is
intended to provide general guidance regarding the use of funds. We
have added outreach and awareness to the list and language indicating
that activities that are deemed necessary and essential to the
provision of services may be funded with Emergency Reserve dollars. We
also added automated informational telephone services to the list of
allowable activities under the consequence management, crisis response,
and criminal justice support grants, and Attorney Advisor and victim
advocate personnel as an allowable cost under criminal justice support
grants. We do not offer specific guidance regarding the approach for
reaching victims or delivering services recognizing that these types of
decisions may depend upon specific circumstances and are best left to
the responding jurisdiction.
Finally, OVC added language which specifically identifies
individuals in direct proximity to the crime who may have been
traumatized by the criminal event, including emergency response
personnel, and included a definition of ``victim'' in the definition
section of the final Guidelines.
A number of states suggested that OVC include among the allowable
costs administrative costs deemed necessary and essential to the
delivery of services. In response, OVC included in the allowable cost
section of these final Guidelines the language, ``authorizing use of a
limited amount of available funding, as agreed upon by OVC and the
applicant, for administrative purposes.'' (See Section VI.)
Definitions: A respondent requested that the definition of mass
violence be expanded to acknowledge specifically the increased
financial burden that state crime victim compensation programs may
experience as a result of a criminal mass disaster. Another respondent
asked that the term ``family members'' be defined to be responsive to
the ``variability that exists in the structure and membership of
contemporary families.'' Finally, one respondent asked OVC for specific
guidance on the amount of the non-federal contribution, referred to as
match.
The use of the term ``victim assistance'' was intended to be
inclusive of all victim assistance efforts, including compensation for
purposes of incidents of domestic terrorism or mass violence. To
clarify our intent and respond to the comment received, OVC has
modified the definition of mass violence to include specific reference
to crime victim compensation efforts. OVC has elected not to define the
term ``family member'' as we believe this term should be defined by the
responding jurisdiction.
At this time, we are not prepared to establish a specific matching
percentage or amount, because the level of resources available to a
jurisdiction following a catastrophic event will vary greatly depending
upon a range of issues, e.g., amount of public support, funding
available for non-profit organizations, funding available from other
federal agencies. No specific match percentage or dollar amount has
been established for this program. However, non-federal contributions
(cash or in-kind) are expected. OVC clarified this in the
``Definitions'' section under the term ``in-kind support/
contribution.''

Final Guidelines

These final Guidelines incorporate recommendations received from
the field during the public comment period on the proposed guidelines,
and amendments to VOCA contained in the USA PATRIOT Act of 2001. The
final Guidelines are organized as follows:

I. Final Program Guidelines
II. Introduction and Background
III. Statutory Language and Definitions
IV. Source of Funding
V. Types of Assistance

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VI. Allowable Activities and Costs
VII. Accessing the Antiterrorism and Emergency Reserve
VIII. Reporting Requirements

I. Final Program Guidelines

A. Authority

42 U.S.C. Sec. 10604 provides authority to the Director of OVC to
establish rules, regulations, guidelines and procedures consistent with
the program oversight and implementation responsibilities of the
Director. OVC is publishing these final Guidelines for implementation
of its authority under the USA PATRIOT Act of 2001, Antiterrorism and
Effective Death Penalty of 1996, and the Victims of Trafficking and
Violence Protection Act of 2000. These final Guidelines apply only to
OVC's efforts to provide funding for victim compensation and assistance
services in cases of terrorism and mass violence occurring within, and
for victim assistance services in cases of terrorism and mass violence
occurring outside, the United States. OVC will issue a separate set of
Guidelines to implement the new International Terrorism Victim
Compensation Program authorized by the Victims of Trafficking and
Violence Protection Act of 2000 (Pub. L. 106-386).
This program is designed to supplement the available resources and
services of entities responding to acts of terrorism or mass violence.
Thus, Emergency Reserve support may be granted if needed services
cannot be adequately provided with existing resources, or if the
provision of services and assistance will result in an undue financial
hardship on the jurisdiction's ability to respond to crime victims in a
comprehensive and timely manner or impede the jurisdiction's ability to
respond to other victims of crime. OVC works with several federal
agencies such as the Federal Emergency Management Agency, the
Department of Health and Human Services' CMHS, the Department of
Education, the Department of State as well as others to make available
their respective expertise and to maximize federal funding through
interagency coordination to assist crime victims.

II. Introduction and Background

A. OVC Mission and Purpose

OVC was created by the U.S. Department of Justice in 1983 and
formally established by Congress in 1988 through an amendment to the of
1984 (42 U.S.C. 10601) (VOCA). OVC's mission is to enhance the nation's
capacity to assist victims of crime and to provide leadership in
changing attitudes, policies, and practices to promote justice and
healing for all victims of crime. OVC accomplishes its mission in a
variety of ways: administering the Crime Victims Fund and the Emergency
Reserve account; supporting direct services; providing training
programs; sponsoring demonstration and evaluation projects with
national and international impact; publishing and disseminating
materials that highlight promising practices in the effective support
of crime victims that can be replicated throughout the country and
worldwide; and sponsoring fellowships and clinical internships. Also,
OVC is in the process of establishing a compensation program for
victims of international terrorism.
OVC works with international, national, tribal, state, military,
and local victim assistance and criminal justice agencies, as well as
other professional organizations to promote fundamental rights and
comprehensive services for crime victims. The largest amount of OVC
funding is provided to state agencies designated by the governor to
administer programs to assist crime victims--crime victim compensation
and victim assistance. OVC is not only a grant funding agency, but also
advocates for the fair treatment of crime victims, develops policy and
provides technical assistance to states, localities, and other federal
agencies on effective responses to crime victims, and supports public
awareness and education on critical victim issues (42 U.S.C. 10604 and
10605).
OVC monitors federal agency compliance with federal statutes and
guidelines dictating the fair treatment of crime victims, and prepares
an annual compliance report for the Attorney General as well as
periodically updates the Attorney General Guidelines for Victim and
Witness Assistance. OVC enters into interagency agreements and
memoranda of understanding, offers technical assistance through expert
consultants, and forms and leads working groups to address issues that
have an impact on crime victims. In addition, OVC provides funding to
support services to people victimized on tribal or federal lands, such
as military bases and national parks. Finally, OVC provides emergency
funds to federal agencies with victim responsibilities to assist
victims of federal crime when no other resources are available.

B. Statement About Terrorism and Mass Violence

Violent and unexpected acts of terrorism and criminal mass violence
may leave victims with serious physical and emotional wounds. Nothing
in life prepares people for the horror of an act of terrorism or mass
violence that robs them of their sense of security and in some
instances a loved one. Victims of violent crime experience a range of
needs--physical, financial, emotional, and legal. Victims are entitled
by law in the United States to certain types of information and support
services. While victims of terrorism have much in common with other
violent crime victims and with disaster victims, they appear to
experience higher levels of distress, in part due to the magnitude and
scope of such traumatic events. Terrorism and mass violence may involve
murders that are committed by more than one person, multiple victims,
and a greater degree of violence than other criminal acts. In addition,
the methods of targeting victims can contribute to the trauma and
anxiety victims feel. Terrorist acts can be either random or specific.
In the case of the Oklahoma City bombing, Federal Government employees
were the targets. In the case of the school shooting in Littleton,
Colorado at Columbine High School, students were the targets, resulting
in 15 fatalities (including the gunmen) and numerous injuries.
Terrorism and mass violence may place people at risk for significant
physical and long-term psychological injuries. Like other victims of
violent crime, victims of terrorism and mass violence need help in
dealing with the crisis created by the event, in stabilizing their
lives, and in understanding and participating in the criminal justice
process--whether there is an arrest and trial soon after the criminal
act or an arrest and trial are delayed for years.
International terrorist attacks can involve victims and survivors
from many different countries and different states within the United
States, and in foreign countries. The local government infrastructure
and resources of non-government organizations vary considerably in
foreign countries. Thus, the ability to respond to a terrorist or mass
violence incident and to provide crisis intervention and services to
victims abroad also varies. In addition, care givers are sometimes
unable to intervene effectively due to language, legal, or cultural
barriers. The efforts, services, or benefits of several federal
agencies and programs, as well as state victim assistance programs and
non-government organizations may be involved and must be coordinated.
Further, victims abroad may need services or incur expenses that are
not traditionally provided by states or the Federal Government. OVC
works with federal, state, and local agencies as well

[[Page 4826]]

as international organizations to establish comprehensive, appropriate,
and consistent services for these victims when terrorism and mass
violence occur outside of the United States.

C. Support for Pre-Crisis Planning

OVC strongly supports pre-crisis planning as a means of assuring
that jurisdictions have identified key personnel, available resources,
and necessary protocols required for a comprehensive and effective
response to criminal mass casualty crimes. OVC has supported several
initiatives to assist interested jurisdictions with pre-crisis planning
efforts. These initiatives include: promoting the development of
community-based, multi-disciplinary, interagency assessment and
planning processes for responding to cases of terrorism and mass
violence; the design, development and implementation of long-range
plans for establishing formal collaborative efforts involving victim
service providers, law enforcement, fire and rescue, and other
emergency response agencies; the use of self-assessment and planning
tools, protocols for coordination and collaboration of victim services;
the integration of victim services into incident command structures;
and training for crisis response implementation teams to help with
problem-solving, working cooperatively in a multi-disciplinary
environment, designing and developing of interagency protocols, and
skill-based training to allow teams to work together.
OVC has also supported the examination of materials and protocols
to address the immediate and longer-term mental health needs of victims
of terrorism and mass violence; the preparation of materials for
federal law enforcement to assist victims of domestic and international
terrorism and mass violence; the development of training and technical
assistance to federal law enforcement on mental health care needs of
victims, techniques to assist federal law enforcement in coordinating
its crisis response role with state and local agencies and community
service organizations; and the development of partnerships between
mental health and victim assistance disciplines at the state and local
levels. Although funding available under these final Guidelines is
intended to assist jurisdictions in the aftermath of a terrorist event
or mass violence incident, other resources and assistance are available
from OVC to assist with pre-crisis planning.
Jurisdictions interested in crisis response planning are encouraged
to contact OVC for more information about these initiatives and other
resources available to assist with their efforts.

D. Action To Address Terrorism and Mass Violence

Following the bombing of the federal office building in Oklahoma
City on April 19, 1995, Congress took a number of legislative steps to
authorize funding and activities to assist the bombing victims. First,
they passed legislation authorizing the Director of OVC to set aside
monies in an Antiterrorism and Emergency Reserve account and to make
funds available to provide assistance and compensation to the victims
of the bombing, to facilitate their observation and attendance in trial
proceedings, and for other related expenses. Congress also amended the
VOCA of 1984 [42 U.S.C. Sec. 10603b] to provide general authority to
the OVC Director to respond to other incidents of terrorism or mass
violence within the United States and abroad. OVC has used the
Antiterrorism and Emergency Reserve to provide funding to support the
victims of the Oklahoma City bombing, the bombing of Pan Am Flight 103,
the bombing of the U.S. Embassies in Kenya and Tanzania, and two cases
of mass violence--the school shootings in Oregon and Colorado. Most
recently this account has been used to support the federal, state, and
local responses to the terrorist attacks of September 11, 2001.
In the second session of the 106th Congress, the Victims of
Trafficking and Violence Protection Act of 2000 (Pub. L. 106-386) was
enacted. This law provides aid for victims of terrorism and expanded
OVC's authority to respond to incidents of terrorism and mass violence
outside the United States. Congress authorized the OVC Director: to
deposit deobligated dollars from other funded program areas into the
Emergency Reserve; to expand the list of eligible applicants for
assistance funding in cases of terrorism outside the United States to
include victim service organizations, public agencies (including
federal, state, or local governments), and non-governmental
organizations that provide assistance to victims of crime; and to
establish a program to compensate victims of acts of international
terrorism that occur outside the United States. The USA PATRIOT Act of
2001 expanded the list of eligible recipients for funding in cases of
terrorism within the United States to not only include eligible state
crime victim compensation and assistance programs, but also victim
service organizations, public agencies--federal, state, and local
governments, and non-governmental organizations that provide assistance
to victims.

E. Role of the Federal Government

In recent years, the Federal Government has been called upon to
play a larger role in mitigating and responding to all types of human-
caused violent events and disasters. The federal responsibility ranges
from immediate disaster relief to subsequent assistance that helps
victims and communities to recover from a terrorist act or mass
violence incident, and to help victims participate effectively in the
criminal justice process. In cases of terrorism and mass violence
within the United States where requests for funding for mental health
services are made, OVC may work in tandem with the Emergency Services
and Disaster Relief Branch at the Center for Mental Health Services,
Substance Abuse and Mental Health Services Administration (SAMHSA).
Moreover, because terrorist acts are primarily federal crimes,
investigated and prosecuted by federal law enforcement officials,
components of the Department of Justice engaged in criminal
investigative, prosecution, or correction functions have
responsibilities under the Attorney General Guidelines for Victim and
Witness Assistance related to victims' rights and services.

F. Role of State Governments

State Crime Victim Compensation Programs reimburse crime victims
for out-of-pocket expenses related to their victimization such as
medical expenses, mental health counseling, funeral and burial costs,
and lost wages. State agencies fund a wide variety of direct assistance
to victims of federal and state crimes such as crisis counseling,
temporary shelter, and criminal justice advocacy. OVC works in concert
with these programs to maximize the limited funding available to assist
crime victims and facilitate coordination among the various responding
agencies including federal law enforcement and prosecution-based victim
and witness assistance staff.

G. Role of Other Public and Private Entities

Public and private sector organizations have a unique role in
meeting the needs of crime victims through their various mandates and
programs. Organizations like the United Way, the American Red Cross,
and others offer important large-scale response to communities
victimized by crime. In addition, community-based, nonprofit victim
assistance programs provide a wide range of vital services to victims
of crime that complement

[[Page 4827]]

assistance available from other public and private agencies.

III. Statutory Language and Definitions for This Program

A. Victims of Crime Act and Amendments

The Antiterrorism and Effective Death Penalty Act of 1996 gave OVC
the authority to establish and access the Emergency Reserve account in
terrorism and mass violence cases. The Act amended the VOCA adding a
new provision, 42 U.S.C. 10603b, which covers terrorism or mass
violence occurring either within or outside the United States. The
Victims of Trafficking and Violence Protection Act of 2000 expanded
OVC's authority under 42 U.S.C. 10603b(a) to authorize the OVC Director
to provide comprehensive and timely assistance to victims of terrorism
occurring outside the United States. The USA PATRIOT Act of 2001 (Pub.
L. 107-56) established a definition of ``domestic terrorism,'' expanded
the list of eligible applicants for funding in cases of ``domestic
terrorism,'' established a new cap on the amount of money the OVC
Director can set aside to assist victims of terrorism and mass
violence, and re-titled the name of the account in which funding is set
aside for these purposes as the Emergency Reserve. It also authorized
the transfer of money into this account from the emergency supplemental
appropriation for the September 11th attacks on America, specifically
to support services for the victims and surviving family members of
this terrorist attack.
OVC may provide funding for emergency relief to benefit victims,
including crisis response efforts, assistance, training, and technical
assistance, and on-going assistance including during any investigation
or prosecution. Such funding may be provided to states, victim service
organizations, public agencies (including federal, state, or local
governments), and non-governmental organizations that provide
assistance to victims of crime.
In cases of terrorism or mass violence occurring within the United
States, 42 U.S.C. 10603b(b) authorizes OVC to provide emergency relief,
including crisis response efforts, assistance, training, and technical
assistance for the benefit of victims of terrorist acts or mass
violence. Funding may be awarded to eligible state crime victim
compensation and assistance programs, victim service organizations,
public agencies--federal, state, and local governments, and non-
governmental organizations that provide assistance to victims.

B. Definitions

1. Terrorism Occurring Within the United States
For the purposes of the Antiterrorism and Emergency Assistance
Program, ``terrorism occurring within the United States'' is defined by
the term ``domestic terrorism'' found in 18 U.S.C. 2331, as amended.
(As of the publication of these Guidelines, 18 U.S.C. 2331 reads as
follows: ``domestic terrorism'' means activities that--(A) Involve acts
dangerous to human life that are a violation of the criminal laws of
the United States or of any State, (B) appear to be intended--(i) to
intimidate or coerce a civilian population; (ii) to influence the
policy of a government by intimidation or coercion; or (iii) to affect
the conduct of a government by mass destruction, assassination or
kidnaping; and (c) occur primarily within the territorial jurisdiction
of the United States.'' (18 U.S.C. 2331).
2. Terrorism Occurring Outside the United States
``Terrorism occurring outside the United States'' is defined by the
term ``international terrorism'' found in 18 U.S.C. Sec. 2331, as
amended. (As of the publication of these Guidelines, 18 U.S.C.
Sec. 2331 reads as follows: ``The term `international terrorism' means
activities that--(A) Involve violent acts or acts dangerous to human
life that are a violation of the criminal laws of the United States or
of any State, or that would be a criminal violation if committed within
the jurisdiction of the United States or of any State; (B) appear to be
intended--(i) to intimidate or coerce a civilian population; (ii) to
influence the policy of a government by intimidation or coercion; or
(iii) to affect the conduct of a government by mass destruction,
assassination or kidnaping; and (C) occur primarily outside the
territorial jurisdiction of the United States, or transcend national
boundaries in terms of the means by which they are accomplished, the
persons they appear intended to intimidate or coerce, or the locale in
which their perpetrators operate or seek asylum.'' (18 U.S.C. 2331)).
3. Mass Violence Occurring Within or Outside the United States
The term ``mass violence'' is not defined in VOCA or any statute
amending VOCA, nor is it defined in the U.S. Criminal Code. Thus, OVC
has developed a working definition of this term. The term ``mass
violence'' herein means an intentional violent criminal act, for which
a formal investigation has been opened by the Federal Bureau of
Investigation or other law enforcement agency, that results in
physical, emotional or psychological injury to a sufficiently large
number of people as to significantly increase the burden of victim
assistance and compensation for the responding jurisdiction as
determined by the OVC Director.
4. Emergency Relief
``Emergency relief'' means those activities intended to address a
need which, if left unattended, may result in significant consequences
for victims. Emergency relief may include assistance required
immediately following the crime as well as activities needed during the
investigation and prosecution of an act of terrorism or mass violence.
5. Supplantation
``Supplantation'' means to deliberately reduce state or local funds
because of the availability of federal funds. For example, when state
funds are appropriated for a stated purpose and federal funds are
awarded for that same purpose, the state replaces its state funds with
federal funds, thereby reducing the total amount available for the
stated purpose (See OJP Financial Guide available on the OJP homepage
at www.ojp.usdoj.gov/).
6. In-Kind Support/Contribution
``In-kind support/contribution'' includes, but is not limited to,
the valuation of in-kind services. ``In-kind'' is the value of
something received or provided that does not have a cost associated
with it. For example, if an in-kind match is permitted by law (other
than cash payments), then the value of donated services could be used
to comply with the match requirement. (OJP Financial Guide).

Note: No specific matching percentage or dollar amount has been
established for this program. However, non-federal contributions
(cash or in-kind) are expected from the applicant.

7. Crisis Counseling
``Crisis counseling'' means the application of individual and group
treatment procedures that are designed to ameliorate mental and
emotional crises and any resulting psychological and behavioral
conditions stemming from a major disaster or its aftermath.
8. Mental Health Counseling and Care
``Mental health counseling and care'' means the assessment,
diagnosis, and treatment of an individual's mental and

[[Page 4828]]

emotional functioning. Mental health counseling and care must be
provided by a person, or under the supervision of a person, who meets
state standards to provide these services.
9. Undue Financial Hardship
``Undue financial hardship'' is one basis upon which OVC will make
funding determinations. For the purpose of these final Guidelines,
``undue financial hardship'' means the unanticipated allocation of
substantial financial resources that adversely affect the ability to
fund general services for victims.
10. Property Damage
``Property damage'' is damage to material goods, but does not
include damage to prosthetic devices, eyeglasses, other corrective
lenses, dental devices, or other medically-related devices. ``Property
loss'' is destruction of material goods or the physical loss of money,
stocks, bonds, etc.
11. Victim (International)
In cases of international terrorism and mass violence, the term
``victim'' has the same meaning as ``victim'' in 42 U.S.C. Sec. 10603b,
as amended, (As of the publication of these Guidelines, 42 U.S.C.
10603b reads as follows: ``the term ``victim''--(A) means a person who
is a national of the United States or an officer or an employee of the
United States Government who is injured or killed as a result of a
terrorist act or mass violence occurring outside the United States; and
(B) in the case of a person * * * who is less than 18 years of age,
incompetent, incapacitated, or deceased, includes a family member or
legal guardian of that person.'' [42 U.S.C. Sec. 10603b]), except that
(a) it also includes individuals who are likely to suffer traumatic
effects of the incident, for example people in direct proximity to the
crime and emergency responders; and (b) notwithstanding any other
provision hereof, in no event shall an individual who is criminally
culpable for the terrorist act or mass violence receive any assistance
under this section, either directly or on behalf of a victim.
12. Victim (Domestic)
In cases of terrorism and mass violence within the United States,
the term ``victim'' has the same meaning as ``victim'' in 42 USCA
10603c, as amended. (As of the publication of these Guidelines, 42
U.S.C. 10603c defines ``victim'' as a person who has suffered direct
physical or emotional harm as a result of the commission of a crime.)
Because of the nature of terrorist incidents, the term victim will also
include individuals who are likely to suffer traumatic effects of the
incident, for example people in direct proximity to the crime and
emergency responders. In addition, OVC requires that consistent with
other portions of VOCA, no individual who is criminally culpable for
the terrorist act or mass violence may receive either assistance or
compensation either directly or on behalf of a victim.
13. National of the United States
The term ``national of the United States'' is defined by the term
``national of the United States'' found in section 101(a) of the
Immigration and Nationality Act, 8 U.S.C. 1101(a), as amended. (As of
the publication of these Guidelines, 8 U.S.C. 1101 reads as follows:
``national of the United States'' means (A) a citizen of the United
States, or (B) a person who, though not a citizen of the United States,
owes permanent allegiance to the United States.'' [8 U.S.C. 1101]) A
``person who owes permanent allegiance to the United States'' includes
residents of the American Samoa and Swain Island, outlying possessions
of the United States, who have not been granted the privilege of
citizenship.
14. Grant
The term ``grant'' means an award of federal funds to states, units
of local government, or private organizations at the discretion of the
awarding agency or on the basis of a formula. Grants are used to
support a public purpose. Under these final Guidelines, VOCA victim
assistance and compensation programs and other state and local
governmental agencies will be awarded funds in the form of a grant.
15. Reimbursable Agreement
The term ``reimbursable agreement'' means a written instrument of
agreement for services or goods made between the Office of Justice
Programs (OJP) or one of its bureaus or offices and another federal
agency or a state or local government agency. Each Reimbursable
Agreement entered into by an OJP bureau/office to reimburse another
agency will result in the establishment of an obligation. Such funding
arrangements are negotiated by the entities involved. Under these final
Guidelines, the transfer of funds to federal agencies will be in the
form of a reimbursable agreement.
16. Cooperative Agreement
The term ``cooperative agreement'' means an award to states, units
of local government or private organizations at the discretion of the
awarding agency. Cooperative agreements are utilized when substantial
involvement is anticipated between the awarding agency and the
recipient during the performance of the contemplated activity. Under
these final Guidelines, funding awarded to nonprofit organizations will
be made in the form of a cooperative agreement.
17. Foreign Power
(a) ``Foreign power'' means--
(1) A foreign government or any component thereof, whether or not
recognized by the United States;
(2) Faction of a foreign nation or nations, not substantially
composed of United States persons;
(3) An entity that is openly acknowledged by a foreign government
or governments to be directed and controlled by such foreign government
or governments;
(4) A group engaged in international terrorism or activities in
preparation thereof;
(5) A foreign-based political organization, not substantially
composed of United States persons; or
(6) An entity that is directed and controlled by a foreign
government or governments. (See 50 U.S.C. Sec. 1801(a).)

IV. Source of Funding

A. Crime Victims Fund

A major responsibility of OVC is to administer the Crime Victims
Fund, which is derived, not from tax dollars, but from fines and
penalties paid by federal criminal offenders, and gifts, donations, and
bequests from private entities or individuals. A large percentage of
the money collected each year is distributed to states to assist in
funding their victim assistance and compensation programs. These
programs are the lifeline services that help many victims to cope with
the devastation of crime. The Fund also supports OVC's training,
technical assistance and demonstration efforts, direct services to
victims of federal crime, program evaluation and compliance efforts,
and fellowships and clinical internships.

B. Antiterrorism Emergency Reserve

The OVC Director is authorized to hold certain amounts from of the
Crime Victims Fund in reserve for three purposes--(i) To support
compensation and assistance services for victims of domestic terrorism
or mass violence, (ii) to support assistance services to victims of
international terrorism, and (iii) to fund directly an International
Terrorism

[[Page 4829]]

Victim Compensation Program. Thus far this money has been used to
assist the victims of the September 11, 2001 terrorist attacks on
America, Oklahoma City bombing, the East Africa embassy bombings, Pan
Am Flight 103 bombing, and school shootings in Oregon and Colorado. In
the September 11th attacks on America, and the Oklahoma City and Pan Am
Flight 103 bombing cases, Congress enacted special legislation that
expanded OVC's authority to fund activities beyond the parameters of
its previous governing statute.

V. Types of Assistance

There are five types of support available from OVC to respond to
terrorism and mass violence: (a) Crisis response grants; (b)
consequence management grants; (c) criminal justice support grants; (d)
compensation grants; and e) technical assistance/training services.
Jurisdictions are not limited to receiving only one type of assistance.
Funding and other assistance may be provided for an extended period of
time if a justification is provided by the applicant. The established
time frames for funding are flexible and not intended to prohibit the
submission of applications at a different time, if warranted.
Justification for an extension must meet the ``emergency relief''
requirement, as determined by the OVC Director and the Office of
General Counsel. Funding may be provided for each type of assistance
available; however, coordination among the applicants is expected and a
separate application must be submitted for each. OVC does not provide
funding directly to individual crime victims, except compensation
benefits to qualified applicants in the case of international
terrorism.
A. Crisis Response Grants (emergency/short-term, up to 9 months)
are designed to provide resources to help victims rebuild adaptive
capacities, decrease stressors, and to reduce symptoms of trauma
immediately following the terrorism or mass violence event. Requests
for crisis response funding must be made as soon as practicable
following the terrorism or mass violence event.
B. Consequence Management Grants (on-going/longer-term, up to 18
months) are designed to provide supplemental resources to help victims
adapt to the trauma event and to restore victims' sense of equilibrium.
C. Criminal Justice Support Grants (on-going/longer-term, up to 36
months) are designed to facilitate victim participation in an
investigation or prosecution directly related to the terrorist and mass
violence event. The nature of the support being requested is a factor
in determining the amount as well as the extent to which the response
involves activities that will result in permanent improvements in how
victims access and participate in criminal justice proceedings such as
the development of protocols and systems to enhance victim
notification.

Note: It is within the OVC Director's authority to approve or
deny requests for support for subsequent or parallel state criminal
investigations and prosecutions.

D. Crime Victim Compensation Grants are designed to provide
supplemental funding to a state crime victim compensation program that
reimburses victims for out-of-pocket expenses related to their
victimization in cases of terrorism or mass violence occurring within
the United States. Grant funds may be used to pay claims to victims for
costs that include, but are not limited to, medical and mental health
counseling costs, funeral and burial costs, and lost wages. (See
Section VI for other allowable activities and costs.) Emergency Reserve
funds may not be used to cover property damage or property loss. (See
``Definitions'' section of these Guidelines.) OVC may provide funding
to other organizations to cover expenses not traditionally covered by
state crime victim compensation programs. OVC will coordinate such
awards with state crime victim compensation programs.
In the event that a state recovers expenses on behalf of a victim
from a collateral source, the amount recovered must be used either (1)
to assist other victims of the same crime for which funds were awarded,
or (2) returned to OVC and deobligated in accordance with the
applicable provisions of the OJP Financial Guide and Section 1402(e)of
VOCA.
E. Request for Training and Technical Assistance. A request for
training or technical assistance may be made any time during the
aftermath of a terrorism or mass violence event and during the criminal
justice investigation or prosecution. Technical assistance is
principally available to help federal, state, and local authorities
identify victim needs and needed resources, to coordinate services to
victims, to develop short- and longer-term strategies for responding,
and for other purposes deemed appropriate by the OVC Director. While no
direct funding is available, OVC may the use the Emergency Reserve to
support the expenses of experts to meet the training and technical
assistance needs of applicants.

VI. Allowable Activities and Costs

The range of services that OVC will support for victims of
terrorism and mass violence is outlined in this section. Allowable
expenses are based, in part, on activities authorized in guidelines
established for OVC's Federal Emergency Assistance Fund and VOCA Victim
Assistance and Compensation Program Guidelines. In addition, OVC has
relied upon the requirements of the Attorney General Guidelines for
Victim and Witness Assistance to afford rights and provide services to
federal crime victims to guide the development of these final
Guidelines.
Services identified in these final Guidelines are intended to
complement services that are available from other agencies and
organizations. Funding is expected to support a ``base'' level of
assistance to the victims of the terrorism or mass violence event.
Funding may be used to support activities that are deemed necessary and
essential to the provision of services, including a limited amount, as
agreed upon by OVC and the applicant, for administrative purposes.
These services include but are not limited to the following:

A. Crisis Response Assistance

Assistance securing compensation
Automated informational telephone services
Child and dependent care
Coordination
Crisis counseling
Emergency food, housing, and clothing
Emergency travel and transportation
Employer and creditor intervention
Outreach, awareness, and education
Toll-free telephone lines
Victim/Community needs assessment (limited)

B. Consequence Management Assistance

Counseling and group therapy
Case management
Employer and creditor intervention
Victim informational websites
Rehabilitation expenses
Vocational rehabilitation
Temporary housing, per diem, and relocation
Emergency travel or transportation
Victim/Community needs assessment (expanded)
Outreach, awareness, and education
Automated informational telephone services
Coordination

C. Criminal Justice Support Assistance

Assistance with victim impact statements
Attorney advisor and victim advocate personnel cost
Automated informational telephone services

[[Page 4830]]

Case briefings by investigators, prosecutors
Coordination
Criminal justice notification
Information and Referral
Outreach, awareness, and education
Support victim participation in criminal justice proceedings, e.g.,
travel/transportation to court or closed-circuit viewing facility,
counseling, advocacy, etc.
Victim/Community needs assessment
Victim Identification
Victim Information (printed and electronic)

D. Crime Victim Compensation (in cases of domestic terrorism)

Autopsy, refrigeration, and transport of body
Coordination
Co-payments required by insurance programs
Emergency travel and/or transportation costs
Long-distance telephone costs to contact family members
Medical expenses including non-medical attendant services,
rehabilitation and physical therapy diagnostic examinations, prosthetic
devices, eyeglasses
Outpatient mental health treatment/therapy
Outreach, awareness, and education

Note: Allowable activities in one category may be necessary and
authorized in another funding category.

E. Training and Technical Assistance

Conducting needs assessment and planning
Defining the mental health needs of victims
Identifying strategies for integrating victim assistance in the
incident command structure
Improving coordination and collaboration between responding agencies/
organizations
Linking mental health services and victim assistance services
Working cooperatively in a multi-disciplinary environment

VII. Accessing Antiterrorism Emergency Reserve

A. Eligible Applicants

Applicants eligible for funding include state victim assistance and
victim compensation programs, public agencies including federal, state,
and local governments, and victim service and non-governmental
organizations. In cases within the United States, applications will be
accepted only from the jurisdiction in which the crime occurred unless
a statute establishes a special authorization and appropriation
supporting allocations to other jurisdictions, or a compelling
justification can be provided to the OVC Director supporting requests
from other jurisdictions.
It is the responsibility of the jurisdiction where the crime
occurred to conduct the necessary outreach and make services and/or
funding available to all victims of crimes which occur within their
boundaries. However, if a substantial number of victims/surviving
family members reside in another jurisdiction, in cases when the
applicant is a state agency, the grantee may sub-award Antiterrorism
Emergency Reserve dollars received from OVC to another jurisdiction/
eligible state agency when doing so is an efficient and cost-effective
way to provide services to victims/survivors who reside in another
state.
OVC will not provide funding to a foreign power or domestic
organization operated for the purpose of engaging in any significant
political or lobbying activities or to individual crime victims.
The funded applicant may subcontract Antiterrorism Emergency
Reserve dollars to another organization with the concurrence of OVC.
Subcontracting entities must meet the eligibility criteria and abide by
the statutory provisions contained in VOCA, the Antiterrorism and
Effective Death Penalty Act, the Victims of Trafficking and Violence
Protection Act, the USA PATRIOT Act of 2001, and the requirements set
forth in these final Guidelines.

B. Eligible Recipients of Benefits and Services

In cases abroad, eligible recipients include victims who are
nationals of the United States or an officer or employee of the United
States Government as defined in section III(B), (11) of these final
Guidelines. Unless otherwise indicated, these individuals are generally
eligible for assistance from federally-funded victim assistance
programs. In cases of terrorism and mass violence within the United
States, eligible recipients of compensation and assistance include
victims as defined in section III (B)(12) of these final Guidelines,
including victims of other crimes where a causal relationship to the
terrorist incident can be established.

C. Coordination of Effort With Other Public and Private Entities

No single agency can effectively respond to and meet all of the
short- and longer-term needs of victims of a terrorist or mass violence
incident. In most instances within the United States the resources of
multiple agencies (local, state, and federal) are involved. In
developing these final Guidelines, OVC has drawn heavily upon the
experiences of agencies such as the Federal Emergency Management Agency
and the Center for Mental Health Services, both of which have
responsibility for providing assistance to communities following
disasters within the United States. OVC will work closely with
applicants to ensure the most appropriate utilization of resources.
Applicants should identify other public and private entities that have
been consulted in the process of preparing the application and describe
how the proposed services fit within the overall scheme for addressing
victim needs.
OVC will consider the level of coordination and the availability of
resources from other federal, state, local, and private entities in
making funding determinations. Extensive coordination with agencies
such as state emergency preparedness, state mental health, local
chapters of the American Red Cross and the United Way, and between
federal and state law enforcement and prosecutor personnel is a
necessary component of an effective response to terrorism and mass
violence and a criterion upon which OVC will base its funding decision.
In cases of terrorism and mass violence abroad, the short-term and
subsequent responses may involve resources of numerous federal and
state agencies and non-governmental organizations, depending upon the
nature of the incident and location. Coordination of efforts in these
cases is critical and OVC will work closely with applicants to ensure
the most appropriate utilization of resources.

D. Areas of Special Concern

In the development of a request for assistance, the applicant must
be cognizant of special concerns, such as applicable state or federal
victims' rights laws and requirements, and the needs of populations
that are especially vulnerable, such as children, the elderly, and
people with disabilities, and people of different ethnic backgrounds.

E. Application Process

An application for funding should be submitted to the OVC Director
as soon as appropriate following a terrorist or mass violence event by
the appropriate state or federal official, or private victim service or
non-governmental organization. OVC has developed an application kit for
Antiterrorism and Emergency Reserve dollars. The kit is

[[Page 4831]]

available on the OVC Web-site at www.ojp.usdoj.gov/ovc at the ``grants
and funding'' page and will be mailed or faxed to potential applicants
upon request.
There are two factors that determine the application submission
requirements: (1) The applicant status, i.e., government agency
(federal, state, or local), non-governmental organization, or victim
service organization; and (2) the type of support requested, i.e.,
crisis response, consequence management, criminal justice, victim
compensation, and/or technical assistance (no direct funding).
Application requirements are listed below.
Application Requirements for State Crime Victim Compensation Programs
Funding will be made available to state crime victim compensation
programs in the form of a grant. Requests for funding from state crime
victim compensation programs may be made at any time and should
include: (1) A description of the qualifying crime; (2) the projected
number of claims to be paid and the projected number of claimants to
receive payments; (3) the state's maximum award amount by category,
e.g., medical, mental health, loss wages, funeral, etc.; and (4) SF
424, Application for Federal Assistance and applicable assurances and
forms. The request should also describe the range of expenses covered
by the program and the amount of state funding available to cover
victim claims.
Application Requirements for all Other Recipients of Funds
All other applicants seeking Emergency Reserve support are required
to submit a letter of request containing the following information:
(1) Type of crime and description of the criminal event;
(2) Identification of the lead law enforcement agency conducting
the investigation;
(3) Estimated number of victims affected by the crime;
(4) Description of the applicant's role in responding to the victim
population since the date of the incident;
(5) Description of services that funding will support and how these
efforts will complement services in place or respond to an unmet need;
(6) The amount of funding requested and the time frame for support;
and
(7) Description of outreach and coordination with other public and
private entities in the process of preparing the request for
assistance.
In addition, applicants, except federal agencies, must submit (1)
SF 424, Application for Federal Funding and applicable assurances and
forms; and (2) Budget and budget narrative including a description of
all other federal and non-federal contributions (cash or in-kind).
To Request Training and Technical Assistance Support
Training and technical assistance may be requested by submitting a
letter describing the nature of the problem; the type of expertise or
assistance needed; the duration of assistance; and the projected
outcomes of the technical assistance or training.
Application Processing and Turnaround Time
It is OVC's intention to provide rapid support to assist victims of
terrorism and mass violence. Upon receipt of a letter of request and
application, an OVC staff person will review the request, may contact
the requesting agency to clarify any ambiguities, and make a
recommendation to the OVC Director regarding the funding request in
accordance with OVC's internal protocol for responding to incidents of
terrorism and mass violence. The applicant can expect to receive
notification regarding the determination from OVC within 5 business
days. The applicant will be notified via telephone, Internet, or
facsimile.
A determination by the OVC Director to make funding available will
be followed by a complete review of the application including an
analysis and approval of the budget by the Office of the Comptroller.
Funds will be available upon completion of the review and written
notification and acceptance of the award.
There is no specific due date for applications. However, the type
of assistance available is subject to the time frame when the
application is received, i.e., an applicant who submits a request 18
months after the catastrophic event will not be eligible to receive a
``crisis response'' grant.

H. Pre-Agreement Costs

Generally, since a community may incur substantial costs
immediately following a terrorist act or mass violence event, OVC may,
upon request, approve costs which were incurred prior to the start date
of the award. The applicant should not assume that pre-agreement costs
are covered without formal notification from OVC.

I. Amount of Funding Available per Incident

The amount of funding available is decided on a case-by-case basis
based on factors such as the availability of other resources, the
severity of the impact, and the number of people suffering from
physical, emotional, or psychological injury. OVC will not provide
total (100%) reimbursement to any jurisdiction or program for
activities undertaken to assist victims of terrorism or mass violence.
The amount of funding made available will be influenced by the
availability of funding from other federal, state, local and private
sources as well as support for services financed by private non-profit
organizations such as the United Way, American Red Cross, and other
charitable organizations in the wake of an act of terrorism or mass
violence. In addition, funding amounts may be affected by the duration
of the response. If amounts awarded are not expended by the end of the
grant period, they must be returned to OVC for deobligation in
accordance with the applicable provisions of the OJP Financial Guide
and Section 1402(e)of VOCA.

J. Grant Period

The grant period for funding is negotiable within the parameters
outlined in VOCA. Because of the nature of this funding program, OVC
will not provide long-term funding to support a single terrorist or
mass violence event, except for criminal justice support grants when an
investigation and prosecution are prolonged. Specific time frames have
been identified for each type of assistance. However, if special
circumstances exist, funding and other assistance may be provided for
an extended period of time, as determined by the OVC Director based
upon justification provided by the applicant.

K. Requests for Reconsideration

The OVC Director may deny a request for funding, if the applicant
fails to document the need for federal funds, if the purposes for which
funding is being sought fall outside the statutory authority for the
use of these funds, or if funding is unavailable, or for other reasons
deemed appropriate by the OVC Director. Applicants may request
reconsideration of the request based on additional information, changes
in the circumstances, or the withdrawal or termination of funding from
other sources. Requests for reconsideration should be sent to the OVC
Director and should include the basis for

[[Page 4832]]

reconsideration of the initial request. The OVC Director will review
the request and render a decision within 5 business days of the
submission. The OVC Director may request additional information from
the applicant or recommend alternative support from OVC such as
technical assistance in lieu of direct funding.

L. Federal Monitoring and Oversight

Recipients of funds are subject to periodic reviews of financial
and service delivery records and procedures by the Office of the
Comptroller, the General Accounting Office, the DOJ Office of the
Inspector General, OJP's Office of Civil Rights Compliance, or OVC.
Recipients must provide authorized representatives with access to
examine all records, books, papers, case files, or other documents
related to the expenditure of funds received under this grant program.

M. Suspension and Termination of Funding

If, after notice, OVC finds that the recipient has failed to comply
substantially with VOCA, including its prohibitions of discrimination
on the basis of race, color, religion, national origin, handicap, or
sex, the OJP Financial Guide (effective edition), the terms outlined in
the application or award document, the final Guidelines, or any
implementing regulation or requirement, the OVC Director may suspend or
terminate funding to the recipient agency and/or take other appropriate
action. Under the procedures of 28 CFR Part 18, recipients may request
a hearing on the justification for the suspension and/or termination of
Emergency Reserve assistance.

N. Confidentiality and Privacy Requirements

Except as otherwise provided by federal law, pursuant to 42 U.S.C.
10604(d), no officer or employee of the Federal Government or
recipients 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. 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. In addition to such research or statistical information, no
other records identifiable to a specific private person that are
gathered by a recipient of VOCA funds for the purpose of providing
victim assistance services as described in this Guideline may be
released without the specific written consent of that private person,
except as otherwise provided by federal law, including but not limited
to Department of Justice authority to access information for auditing,
monitoring, or oversight of the program. This is particularly important
for victim service agencies that plan to develop victim databases
containing specific victim information. These provisions are intended,
among other things, to assure the confidentiality of information
provided by crime victims to employees of VOCA-funded programs. There
is nothing in VOCA or its legislative history to indicate that Congress
intended to override or repeal, in effect, a state's existing laws
governing the disclosure of information, which is supportive of VOCA's
fundamental goal of helping crime victims.

VIII. Reporting Requirements

A. Financial Reporting Requirements

As a condition of receiving funding, recipients must agree to
comply with the general and specific requirements of the OJP Financial
Guide, applicable Office of Management and Budget (OMB) Circulars, and
Common Rules. This includes maintenance of books and records in
accordance with generally-accepted government accounting principles.
Copies of the OJP Financial Guide may be obtained by writing the Office
of Justice Programs, Office of the Comptroller, 810 7th Street, NW.,
Washington, DC 20531 or can be accessed at the OJP Web-site at http://www.ojp.usdoj.gov/FinGuide/. Note: Financial Status Reports must be
submitted to the Office of the Comptroller for each calendar quarter in
which the grant is active. This report is due even if no obligations or
expenditures were incurred during the reporting period.

B. Program Reporting Requirements

Recipients of Emergency Reserve dollars are required to submit
semiannual and final progress reports containing the following
information documenting how funds were expended to respond to terrorism
and mass violence:
1. Description of Services Provided
Provide a general description of the range of services provided for
each type of assistance received. This should be a narrative summation
of the activities and efforts supported by Emergency Reserve dollars to
include a description of coordination efforts, intra- and inter-agency
protocols, new services and programs established, and other large-scale
activities.

Note: This information will be used to assess service needs of
victims and communities following a large-scale criminal disaster.

2. Service Statistics
Provide detailed information on victims served, types of services
rendered, number of victims assisted, amount of funding expended,
purpose of each expenditure, e.g., hire staff, secure space,
subcontract(s) for services (include the number of subcontracts,
description of the activity subcontracted, the name of the contract
recipient), conduct training, equipment, travel and transportation,
etc.

Note: This information will be used for future revisions to
these Guidelines, to inform the development of training and
technical assistance by OVC, to document expenditure of funds, and
to document the impact and effectiveness of the federal
intervention.

3. Description of Plans for Addressing Longer Term and Unmet Needs
Describe any on-going needs of the victims and community, any unmet
needs, and resources available or needed to support services once these
federal funds have been exhausted.

Note: This information will be used to assess the time frames
for established types of assistance, the level of funding available
from OVC, to identify additional sources of funding, and to make
modifications to these Guidelines, as appropriate, to meet unmet
needs.

4. Evaluation/Assessment of the Effectiveness of the Response
Briefly describe findings of any assessment of the victim service
strategy, victim satisfaction with services rendered, and lessons
learned.

Note: This information will be used by OVC in planning future
training and technical assistance activities, and to report to
Congress on the effectiveness of interventions with victims in cases
of terrorism or mass violence.

State agencies that administer the VOCA formula grants and receive
Emergency Reserve dollars to respond to a case of terrorism or mass
violence should report services and assistance rendered to victims on
the state performance report, and provide a supplemental summary of the
overall effort in accordance with section VIII(B)(1)(3)(4) above.

[[Page 4833]]

Dated: January 25, 2002.
John W. Gillis,
Director, Office for Victims of Crime.
[FR Doc. 02-2299 Filed 1-30-02; 8:45 am]
BILLING CODE 4410-10-P