[Federal Register Volume 67, Number 170 (Tuesday, September 3, 2002)]
[Notices]
[Pages 56444-56458]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-21830]



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Part III





Department of Justice





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Office of Justice Programs



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Victims of Crime Act (VOCA) Victim Assistance Grant Program; Notice

  Federal Register / Vol. 67, No. 170 / Tuesday, September 3, 2002 / 
Notices  

[[Page 56444]]


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DEPARTMENT OF JUSTICE

Office of Justice Programs

[OJP(OJP)-1350]


Victims of Crime Act (VOCA) Victim Assistance Grant Program

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

ACTION: Proposed revised program guidelines and request for comments.

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SUMMARY: The Office for Victims of Crime (OVC), Office of Justice 
Programs (OJP), United States Department of Justice (DOJ), is 
publishing Proposed Revised Program Guidelines to implement the Victim 
Assistance Grant Program as authorized by the Victims of Crime Act of 
1984, as amended, 42 U.S.C. 10601, et seq., hereafter referred to as 
VOCA. These Proposed Revised Program Guidelines propose changes to the 
Final VOCA Victim Assistance Program Guidelines, published in 1997 
(1997 Guidelines).
    Solicitation of Comments: The public is invited to provide comments 
about these Proposed Revised Program Guidelines. All comments must be 
sent to Toni L. Thomas, Acting Director, State Compensation and 
Assistance Division, Office for Victims of Crime. Comments may be sent 
via conventional mail to 810 Seventh Street, NW., Washington, DC 20531; 
by Fax to (202) 305-2440; or via e-mail to: [email protected]. 
Comments must be received no later than October 3, 2002.

FOR FURTHER INFORMATION CONTACT: Toni L. Thomas, Acting Director, State 
Compensation and Assistance Division, 810 Seventh Street, NW., 
Washington, DC 20531; telephone number (202) 307-5983. (This is not a 
toll-free number.) E-mail address: [email protected].

SUPPLEMENTARY INFORMATION: VOCA provides federal financial assistance 
to states for the purpose of compensating and assisting victims of 
crime, funding training and technical assistance, providing services to 
victims of federal crimes and providing funding and services for 
victims of terrorism or mass violence. These Proposed Revised Program 
Guidelines provide information specifically for the administration and 
implementation of the VOCA victim assistance grant program as 
authorized in section 1404 of VOCA, Public Law 98-473, as amended, 
codified at 42 U.S.C. 10603.
    Compliance with Federal Administrative Requirements: The Office of 
Justice Programs, Office for Victims of Crime, in conjunction with the 
Office of Legal Policy, DOJ, and the Office of Information and 
Regulatory Affairs, and the Office for Management and Budget (OMB), has 
determined that these Proposed Program Guidelines do not represent a 
significant regulatory action for the purposes of Executive Order 12866 
and, accordingly, these Proposed Revised Program Guidelines were not 
reviewed by OMB.
    In addition, these Proposed Revised Program 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, codified at 
5 U.S.C. 601, et seq.
    The program reporting requirements described in these Proposed 
Revised Program Guidelines have been approved by OMB as required under 
the Paperwork Reduction Act, 44 U.S.C. 3504(h). (OMB Approval Number 
1121-0014).

Discussion of Proposed Changes to the Victims of Crime Act Victim 
Assistance Final Program Guidelines (1997)

    Background. Changes contained in these Proposed Revised Program 
Guidelines are based on experience gained, legal opinions rendered, and 
developments in the criminal justice and victims services fields since 
the 1997 Guidelines were published. These changes are in accordance 
with the Victims of Crime Act (VOCA), as amended.
    Following is a summary of legislative changes, formatting changes, 
identification of information incorporated by reference, and 
substantive grant program and policy modifications.

A. Legislative Changes

    1. Child Abuse Prevention and Treatment Enforcement Act. This Act 
amended VOCA to allow for an increase in funds set aside for child 
abuse victims from $10 million up to $20 million. This occurs in any 
fiscal year in which Crime Victim Fund deposits are greater than the 
amount deposited in Fiscal Year 1998. An amount equal to 50 percent of 
the increase plus the base amount of $10 million is available for this 
purpose. This applies regardless of whether there is a cap on the 
amount of money made available from the Fund for VOCA purposes.
    2. Consolidated Appropriations Acts of Fiscal Year 1997, 2000, and 
2001. VOCA and the underlying distribution formula were amended to 
provide funds for victim assistance personnel in the Federal Criminal 
Justice System. Currently these funds are earmarked for United States 
Attorneys Offices and the Federal Bureau of Investigation. In addition, 
these funds support the maintenance of the Federal Victim Notification 
System. These earmarks come under congressionally mandated caps on the 
amount of money available for expenditure under the Crime Victim Fund. 
(See section II.A.2.)
    3. Victims of Trafficking and Violence Protection Act of 2000. This 
Act:
    a. Provided aid for victims of terrorism and expanded OVC's 
authority to respond to incidents of terrorism outside the United 
States and of terrorism and mass violence occurring within the United 
States;
    b. Authorized the OVC Director to deposit deobligated dollars from 
other funded program areas into the Antiterrorism Emergency Reserve;
    c. Expanded the list of eligible applicants for the Antiterorrism 
Emergency Reserve dollars for incidents of terrorism outside the U.S. 
to include not only states and United States Attorneys' Offices but 
also victim service organizations, and public agencies (including 
Federal, State, or local governments), and non-governmental 
organizations that provide assistance to victims of crime for provision 
of emergency relief including crisis response efforts, assistance, 
training and technical assistance and ongoing assistance including 
during any investigation and prosecution (42 U.S.C. 10603b(a));
    d. Expanded the range of support provided to victims of terrorism 
and mass violence beyond emergency relief to include crisis response 
efforts, assistance, training and technical assistance and ongoing 
assistance, including during any investigation or prosecution.
    e. Authorized use of the Antiterrorism Emergency Reserve to 
establish an International Terrorism Victim Compensation Program; and
    f. Established policy on international trafficking in persons and 
provided access to services and special immigration status for victims 
of severe forms of trafficking.
    OVC has published separate guidelines titled Antiterrorism 
Emergency Assistance Program for Terrorism and Mass Violence Crimes to 
provide information on accessing the Antiterrorism Emergency Reserve. 
OVC is also establishing separate Guidelines for the International 
Terrorism Victim Compensation Program.
    4. The Uniting and Strengthening America by Providing Appropriate 
Tools Required To Intercept and Obstruct Terrorism Act of 2001 (from 
here on known as the USA Patriot Act of 2001). This Act:

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    a. Authorizes receipt of gifts, bequests, or other donations to the 
Crime Victim Fund from private entities or individuals;
    b. Redistributes the percentage amount available for programs; 
i.e., crime victim compensation and victim assistance are reduced from 
48.5 percent to 47.5 percent for each program and OVC discretionary 
program increase from 3 percent to 5 percent;
    c. Authorizes the OVC Director to set aside up to $50 million from 
the amounts transferred to the Fund in response to airline hijackings 
and terrorist acts of September 11, 2001, as an Antiterrorism Emergency 
Reserve and allows the Director to replenish any amounts expended from 
the reserve in a subsequent year by setting aside up to 5 percent of 
amounts remaining in the fund after distributing amounts authorized for 
The Children's Justice Act, the Federal criminal justice system, and 
OVC formula and discretionary grant programs;
    d. Restricts use of the Antiterrorism Emergency Reserve to 
supplemental grants to address terrorism or mass violence within and 
outside the United States and to fund the International Terrorism 
Victim Compensation Program;
    e. Increases in Fiscal Year 2003 the percentage reimbursement to 
state compensation programs from 40 percent to 60 percent of payments 
made from state funding sources in Fiscal Year 2000;
    f. Clarifies that the United States Virgin Islands is an eligible 
recipient of VOCA compensation and assistance formula grants;
    g. Establishes that Federal Government agencies performing local 
law enforcement functions in the District of Columbia, the Commonwealth 
of Puerto Rico, and the United States Virgin Islands are eligible to 
receive VOCA victim assistance funding and to receive OVC discretionary 
funding;
    h. Authorizes the OVC Director to use discretionary funds for 
program evaluation, compliance efforts, fellowships and clinical 
internships;
    i. Expands the list of eligible applicants for funding in response 
to terrorism or mass violence within the United States to include not 
only states and the United States Attorneys Offices but also victim 
service organizations, public agencies (federal, state, local) and non-
governmental organizations that provide assistance to crime victims; 
and amends the definition of terrorism to include mass destruction.

B. Formatting Changes

    Technical revisions to these Proposed Revised Program Guidelines do 
not affect policy or implementation of VOCA victim assistance programs. 
These revisions reorganize information for ease of reference and use. 
For example, the 1997 Guidelines included definitions in relevant 
places in the body of the document. These Proposed Revised Program 
Guidelines centralize definitions at the beginning of the document to 
eliminate scanning the full set of Guidelines to find a particular 
definition.

C. Incorporation by Reference

    The 1997 Guidelines included certain financial, civil rights, 
application, and award policies that affect all OJP grants. As these 
policies changed, the Guidelines became outdated. To assure that state 
grantees and subgrantees have current information, these Proposed 
Revised Program Guidelines incorporate by reference the following:
    1. OJP Financial Guide, effective edition. The 1997 Guidelines 
included financial requirements that come under the responsibility of 
the OJP Office of the Comptroller (OC). These Proposed Program 
Guidelines require states and subgrantees to comply with the OJP 
Financial Guide, effective edition, and do not duplicate the contents 
of that guide. (section II.) The OJP Financial Guide is available on 
the OJP home page at http://www.ojp.usdoj.gov/FinGuide/.
    2. Non Discrimination. The 1997 Guidelines included 
nondiscrimination requirements that come under the responsibility of 
the OJP Office of Civil Rights (OCR) which reviews and approves 
compliance during the grant award process. Only the VOCA statutory 
requirements are found in these Proposed Revised Program Guidelines. 
(See section IV.B.7.) These Proposed Revised Program Guidelines require 
compliance with other civil rights mandates but do not duplicate the 
materials published by the OCR.
    3. Application Requirements and Other Federal Requirements. The 
application package for VOCA victim assistance grants contain the 
requisite forms, assurances, and certifications that the states must 
agree to in applying for and accepting VOCA funds. These Proposed 
Revised Program Guidelines require completion and compliance with the 
contents of the application package, but do not duplicate discussion of 
those requirements. (See section VI.)

D. Proposed Substantive Changes and Clarifications to the 1997 
Guidelines

    1. Strategic Planning. The Proposed Revised Program Guidelines 
encourage state strategic planning for the delivery of crime victim 
services. This planning would include conducting needs assessments, 
taking into consideration the multiple funding sources for services, 
developing a comprehensive victim assistance response to crime victims, 
and establishing funding priorities. In this planning process, state 
grantees are encouraged to plan for development and expansion of 
services to victim populations not previously served, including victims 
of cybercrime and economic crime; victims with special needs such as 
elders, persons with disabilities, and victims with limited English 
proficiency; victims living in areas with high rates of crime such as 
certain urban, rural, low-income neighborhoods, and Indian Country; and 
other categories of victims identified as underserved by the state 
grantee. (See section II.D.1.and 2.)
    2. Mass Violence and Terrorism. These Proposed Revised Program 
Guidelines encourage state VOCA organizations to become involved with 
criminal crisis response planning activities by working with the 
state's designated emergency preparedness organizations, with local 
governments, with the crime victim compensation program, with victim 
assistance, and other relief agencies and organizations. This 
involvement is expected to result in appropriate, quality, and timely 
victim services responses in the aftermath of terrorism or mass 
violence crimes. (section III.)
    3. Training Funds. The 1997 Guidelines allowed state grantees to 
retain up to 1 percent of their awards with a 20% match for statewide 
or regional training. The Proposed Revised Program Guidelines would 
allow up to 5 percent for this purpose with no match requirement. 
(section VII.)
    4. New Programs. VOCA requires those programs without a 
demonstrated history of providing victim services (when applying for 
VOCA funds) to assure that they have substantial financial support from 
sources other than the Crime Victims Fund. To meet this mandate, the 
1997 Guidelines required new programs to demonstrate that 25-50 percent 
of their financial support came from non-federal sources. These 
Proposed Revised Program Guidelines require that other sources of 
funding be only non-VOCA, which is consistent with the VOCA statute. 
This will allow new programs with other federal funding, but with 
limited state,

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local, or private funding, to apply for VOCA victim assistance grant 
funds. This does not allow these programs to use VOCA victim assistance 
funds to supplant other federal funding and does not allow for use of 
federal funding as match except as described in the OJP Financial 
Guide, effective edition. (See section VIII.A.3.) In addition, the 
Proposed Revised Program Guidelines specify that the non-VOCA share 
must be at least 35% in order to assure substantial financial support 
from other sources and encourage the start up of new programs to serve 
crime victims. (See section VIII.A.3.)
    5. Fees for Service and Program Income. These Proposed Revised 
Program Guidelines discourage but do not prohibit subgrantee programs 
from charging fees and thus generating program income. In instances 
where the VOCA grantee determines that more victims would be served or 
services enhanced when VOCA and other victim services funding are 
limited, these Proposed Revised Program Guidelines describe state 
grantee responsibility when considering whether to approve a 
subgrantee's request to charge fees for services. This section 
prohibits the charging of fees for basic victim services, and requires 
that VOCA grantees, when making a decision, give priority to 
considerations of victim access to services over a subgrantee's desire 
to expand services. (See section VIII.A.12.)
    6. Victim Rights Compliance. States have passed constitutional 
amendments and statutes guaranteeing the rights of crime victims to 
participate in the criminal justice process. Victims are allowed to 
make statements at sentencing and parole hearings; to receive 
notification of court proceedings and actions concerning case 
dispositions; to apply for crime victims compensation; and to receive 
restitution. However, in practice, many victims are not afforded these 
rights. Several states have developed programs that provide recourse to 
crime victims who believe that their rights have been violated. These 
Proposed Revised Program Guidelines allow VOCA funds to support victim 
rights compliance activities and services. (section VIII.B.1.)
    7. Vulnerable Adults. These Proposed Revised Program Guidelines 
identify ``vulnerable adults'' as eligible to receive services under 
VOCA victim assistance. In addition, the definition of ``vulnerable 
adults'' is included in the definition section. (See sections I.Q. and 
IX.A.1&7)
    8. Emergency Expenses. The 1997 Guidelines, under ``Immediate 
Health and Safety,'' included as allowable costs emergency food, 
clothing, shelter, and other services that can restore a victim's sense 
of security. This included boarding up broken windows and replacing or 
repairing locks. These Proposed Revised Program Guidelines add as 
allowable costs the replacement of prescription medicines and 
eyeglasses within 48 hours of the crime when other resources are 
unavailable for these purposes. (See section IX.A.1.)
    Also added as allowable costs are short-term in-home services 
needed to assist children and vulnerable adults to remain in their own 
homes when the offender who is the care giver is removed. These 
services may include meal preparation, child care, respite care, and 
24-hour supervision. The 1997 Guidelines allowed for emergency nursing 
home care; these Proposed Revised Program Guidelines add adult foster 
care and group home care as less restrictive alternatives to nursing 
home care.
    Finally, the 1997 Guidelines provided for emergency legal 
assistance for victims of family violence. These Proposed Revised 
Program Guidelines extend emergency legal assistance to victims of any 
crime, as long as the service is directly related to the crime. This 
will allow coverage for obtaining protective or restraining orders by 
victims of stalking, sexual assault, and other crimes. In addition, 
legal assistance that helps victims assert their rights in a criminal 
case, including pro bono legal clinics for crime victims are allowable. 
(See section IX.A.1.)
    9. Personal Advocacy and Case Management. In addition to personal 
advocacy, these Proposed Revised Program Guidelines add case management 
as an allowable activity. While personal advocacy has in the past 
included case management, the incorporation of specific language 
defining case management acknowledges that in most instances no single 
agency or organization can meet all the needs of crime victims and that 
it may be necessary to assist victims in navigating not only the 
criminal justice system, but also social services, health and mental 
health care, and other systems. (See section IX.A.2.)
    10. Mental Health Counseling, Care and Peer Support. The 1997 
Guidelines under ``Mental Health Assistance'' appeared to combine 
professional treatment services with peer support groups. These 
Proposed Revised Program Guidelines clarify distinctions between 
professional mental health treatment and peer support to allow for 
different qualifications and approaches of providers. (See section 
IX.A.3&4.)
    11. Criminal Justice System Participation. These Proposed Revised 
Program Guidelines expand allowable expenses for a victim who is not a 
witness to attend court proceedings by including meals and lodging, 
interpreters for victims who are deaf or hard of hearing and for 
victims with limited English language proficiency, and respite and 
child care to enable a victim who is a care giver to participate in the 
criminal justice process. This does not allow VOCA funds to cover these 
costs when a victim is a witness in a case, since the criminal justice 
system is responsible for costs associated with witnesses. (See section 
IX.A.5.)
    12. Forensic Interviews. In general, the 1997 Guidelines did not 
allow for VOCA victim assistance coverage of forensic interviews of 
crime victims, since the purpose of these interviews was viewed as an 
investigative function of law enforcement and prosecution. Since the 
release of the 1997 Guidelines, the victim services field has gained 
experience in working with trained interviewers who can elicit 
information for use not only for criminal justice evidence collection 
but also for victim services purposes. As a result, OVC proposes in 
these Proposed Revised Program Guidelines to allow for funding for 
trained forensic interviewers under certain circumstances. (See section 
IX.A.7.)
    OVC is particularly interested in hearing from the field about the 
pros and cons of including forensic interviews as an allowable cost as 
well as parameters under which VOCA funds should and should not be 
used.
    13. Victim-Offender Meetings. These Proposed Revised Program 
Guidelines clarify that VOCA victim assistance may only fund 
interaction between a victim and the perpetrator of the crime in which 
the victim was harmed and the meeting must be instigated by the victim. 
Further, VOCA funds can only be used to cover costs for that victim. 
This means that costs incurred for the offender must be borne by the 
criminal justice or other systems. VOCA victim assistance funds cannot 
be used for offender based restorative justice programs. (See section 
IX.A.8.)
    14. Multisystem, Interagency, Multidisciplinary Approach to Serving 
Crime Victims. In the 1997 Guidelines, subgrantees were required to 
coordinate and collaborate with other public and community-based 
organizations in serving crime victims, but VOCA victim assistance 
funds could not be used for these purposes. Because there is 
recognition in the field that effective provision of victim services in 
most

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instances requires a multisystem, interagency, and multidisciplinary 
approach, these Proposed Revised Program Guidelines consider as 
allowable costs participation on child and vulnerable adult 
multidisciplinary investigation and treatment teams, case planning and 
management meetings, and other such interactions when multiple agencies 
serve a crime victim. In addition, activities that further the 
development and maintenance of a seamless system of services for crime 
victims may be supported. This would include participation on work 
groups, task forces, committees, and other such bodies to establish 
protocols, working agreements, and other mechanisms for coordination 
and collaboration and oversee system delivery. This provision does not 
include as allowable activities lobbying or administrative advocacy. 
(See section IX.B.2.)
    Because this provision is a major departure from previous 
Guidelines, OVC is particularly interested in receiving comments on 
this proposal.
    In addition, OVC is interested in learning if there are subgrantee 
executive director or other administrative expenses that could be made 
allowable; e.g., expenses that assure oversight of the VOCA project, 
quality of services, coordination with other organizations, budgeting 
for the project. This acknowledges, among other factors, that the 
victim services field is moving toward professionalization, projects 
are more complex, presence in the community is critical, and budgets 
are larger, resulting in the need for experienced and qualified 
managers for subgrantee agencies.
    15. Training for Subgrantees, Others Who Serve Crime Victims, and 
Administrators and Managers. In the 1997 Guidelines, funds awarded to 
subgrantees could be used for training subgrantee staff, whether VOCA 
or non-VOCA funded. Because intervention with crime victims in most 
instances requires a multisystem, interagency, and multidisciplinary 
approach, these Proposed Revised Program Guidelines authorize the use 
of VOCA funds for joint training of VOCA-funded staff with others such 
as criminal justice officials and mental health providers so long as 
the training promotes a cross-system response to crime victims. 
Training-related travel is also allowed under these conditions.
    In addition, at the state grantee's discretion, subgrantee training 
on administration and management is also allowable. This acknowledges 
that the complexities of overseeing victim services agencies have 
increased and program administrators and managers must continually hone 
knowledge, skills, and abilities to ensure that comprehensive, quality 
services are provided to crime victims. (See sections IX.B.2.and 4.)
    Because allowing VOCA direct services funds to be used to pay for 
training on administration and management is a significant departure 
from previous policy, OVC is particularly interested in receiving 
comments on this proposed change.
    16. Compliance With the Americans with Disabilities Act and the 
National Historic Preservation Act. The 1997 Guidelines allow for minor 
building adaptations to facilitate the access to services for crime 
victims. These Proposed Revised Program Guidelines add information 
pertaining to any medically necessary building adaptations or 
modifications by including information on compliance with the National 
Historic Preservation Act, 16 U.S.C. 470 et seq. This Act applies when 
a grantee wishes to use VOCA funds for making minor building 
adaptations or modifications to historic properties. (See section 
IX.C.1.)
    17. Purchasing Vehicles. These Proposed Revised Program Guidelines 
continue to allow for leasing of vehicles by subgrantees but no longer 
allows for purchase. This is intended to prevent misuse and abuse of 
VOCA funds. (See section IX.C.5.)
    Because this provision is a notable departure from previous 
Guidelines, OVC is particularly interested in receiving comments on 
this proposed change.
    18. Automated Systems and Technology. In the 1997 Guidelines, 
subgrantees requesting VOCA funds for any advanced technology were 
required to meet specific justification requirements. These Proposed 
Revised Program Guidelines consider personal computers as common office 
equipment which is allowable under equipment and furniture. (See 
section IX.C.2.) The 1997 Guidelines requirements for funding advanced 
technologies are now required only for larger systems automation such 
as statewide information and referral systems and victim services 
agency case tracking systems.
    Also, requirements are added for automation of victim notification 
systems to assure that a subgrantee has the capability to connect a 
victim receiving notification to needed crisis intervention and 
referral services. Because automated victim notification systems are 
dependent on criminal justice information systems, the requirement is 
added that development and implementation of these systems must include 
work with the OJP single point of contact for OJP technology grants and 
comply with OJP requirements. (See section IX.C.6.)
    19. State Onsite Monitoring of Subgrantees. State desk monitoring 
of subgrantees has always been an expectation of OVC. Because of the 
increase in federal VOCA funds now available to state grantees to fund 
victim assistance programs, the increase in the number of years in 
which these funds can be spent, the availability of administrative 
costs, and a major increase in the number of VOCA funded projects, in 
these Proposed Revised Program Guidelines OVC mandates that state 
grantees conduct onsite monitoring of subgrantees at a minimum of once 
every four years. State grantees would be required to develop a 
monitoring plan and maintain on file site visit reports and other 
documents related to subgrantee compliance with VOCA and the OJP 
Financial Guide, effective edition. This is an allowable expense which 
can be charged to the VOCA administrative allocation. (See section XI.)

Proposed Revised Guidelines for the Victims of Crime Act Victim 
Assistance Grant Program

    These Proposed Revised Program Guidelines update the previously 
issued Final Program Guidelines, Victims of Crime Act Victim Assistance 
Grant Program (1997 Guidelines), 62 FR 19607, Apr. 22, 1997, and are in 
accordance with VOCA. These Proposed Revised Program Guidelines are all 
inclusive and upon issuance of Final Guidelines will supersede any 
prior VOCA Victim Assistance Guidelines issued by OVC. These Proposed 
Revised Program Guidelines seek to broaden the use of VOCA funding to 
cover additional subgrantee expenses, to support new services, and to 
reach victims of new categories of crime.
    These Proposed Revised Program Guidelines are outlined as follows:

I. Definitions
II. Funding Allocations
III. Mass Violence and Terrorism
IV. State Grantee Eligibility Requirements
V. VOCA Victim Assistance State Grantee Application Process
VI. Administrative Cost Provision for State Grantees
VII. State Grantee Training Funds
VIII. Subgrantee Program Requirements
IX. Subgrantee Allowable Costs
X. Program Reporting Requirements
XI. Monitoring
XII. Suspension and Termination of Funding

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I. Definitions

    The following definitions are provided for purposes of these 
Proposed Revised Program Guidelines.
    A. Case management. Case management includes working with a victim 
to examine the impact of the crime, identify needs, develop a plan of 
services and resources required to respond to the victim's needs, and 
assist the victim in implementing the plan. The case manager, located 
in a victim services organization, may be the coordinator for the work 
of all other agencies, assuring that services and benefits are provided 
and rights are accorded.
    B. Child Sexual Exploitation. The sexual victimization of a minor 
under the age of 18 involving any of the following: child pornography, 
child prostitution, or online enticement of sexual acts. Child 
exploitation does not necessarily require commercial or monetary gain 
for the perpetrator.
    C. Cybercrime. For purposes of these Guidelines, cybercrime is a 
crime in which computers and other technology are used to facilitate 
traditional criminal activity (e.g., stalking, child sexual 
exploitation, or fraud). Cybercrime does not include crimes where 
computers or other technologies are the targets of attack (e.g., 
computer hacking).
    D. Domestic Violence. This term includes spouse abuse and intimate 
partner violence.
    E. Economic Crime. Economic crime includes fraud, forgery, larceny, 
embezzlement, and identity theft which is perpetrated against 
individuals. It does not include crimes against a business, 
organization, or government.
    F. Federal Crime. A federal crime is any crime that is a violation 
of the United States Criminal Code or violation of the Uniform Code of 
Military Justice. In general, federal crimes are investigated by 
federal law enforcement agencies, including the Federal Bureau of 
Investigation (FBI), Drug Enforcement Administration (DEA), Bureau of 
Alcohol, Tobacco and Firearms (BATF), U.S. Postal Service (USPS), 
Department of Interior (DOI), U.S. Secret Service (USSS), U.S. Customs 
Service (USCS), and Immigration and Naturalization Service (INS). 
Federal crimes are prosecuted in Federal District Courts by U.S. 
Attorneys and the U.S. Department of Justice Criminal Division. 
Examples of Federal crimes include, but are not limited to:
    1. Crimes against federal officials.
    2. Crimes that take place on federal property, including national 
parks and military bases, certain maritime and territorial 
jurisdictions, and buildings owned or leased by the Federal Government.
    3. Bank robberies where the bank is insured or otherwise secured by 
the Federal Government.
    4. Crimes affecting interstate activities, such as kidnaping, 
interstate domestic violence, and fraud via the U.S. mail, telephone, 
or wire.
    5. Crimes occurring in Indian Country or on reservations where the 
Federal Government has criminal jurisdiction.
    6. Trafficking in persons.
    G. Indian Tribes and Tribal Organizations. Any Indian tribe, band, 
nation, or other organized group or community, including any Alaska 
Native village or regional or village corporation as defined in or 
established pursuant to the Alaska Native Claims Settlement Act (43 
U.S.C.A. Sec. 1601, et. seq.), which is recognized as eligible for the 
special programs and services provided by the United States to Indians 
because of their status as Indians.
    H. In-kind Match. In-kind match may include donations of expendable 
equipment, office supplies, training materials, work space, or the 
monetary value of time contributed by professionals and technical 
personnel and other skilled and unskilled labor, if the services they 
provide are an integral and necessary part of a funded project.
    I. Mass Violence Occurring Within or Outside the United States. The 
term mass violence is not defined in VOCA or in 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 
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 for the 
responding jurisdiction, as determined by the OVC Director. If there is 
a discrepancy between the definition provided in these Proposed Program 
Guidelines and the Guidelines for the Antiterrorism and Emergency 
Assistance Program for Terrorism and Mass Violence Crimes, the 
definition in the latter Guidelines take precedence.
    J. Mental Health. Mental health counseling and care means the 
assessment, diagnosis, and treatment of an individual's mental and 
emotional functioning as affected by a crime.
    K. Nonviolent Crime. Nonviolent crime includes but is not limited 
to property and economic crime. It may include arson, burglary and 
other such crimes when a victim or victims have not experienced injury 
or death.
    L. Peer Support. Activities that provide opportunities for victims 
to meet others with similar crime victim experiences that provide self-
help, information, and peer and social support in order to assist 
victims in receiving understanding and comfort and in adapting their 
lives after a crime.
    M. State. The term state includes the 50 states, the District of 
Columbia, American Samoa, the United States Virgin Islands, Guam, the 
Commonwealth of Puerto Rico, the Northern Mariana Islands, and any 
other possession or territory of the United States of America.
    N. Terrorism Occurring Outside the United States (also known as 
international terrorism). The term ``international terrorism'' is being 
used to define terrorism outside the United States. ``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 to (i) intimidate or coerce a 
civilian population; (ii) influence the policy of a government by 
intimidation or coercion; or (iii) 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).
    O. Terrorism Occurring Within the United States. For purposes of 
these guidelines, ``terrorism occurring within the United States'' is 
defined by the term ``domestic terrorism'' found in 18 U.S.C. 2331. An 
act of 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 (18 U.S.C. Section 2331).
    P. Victim Services. Victim services are those efforts that (1) 
respond to the emotional and physical needs of crime victims, (2) 
assist victims of crime to stabilize their lives after a victimization, 
(3) assist victims in understanding and participating in the criminal 
justice

[[Page 56449]]

system, (4) provide victims of crime with a measure of safety, and (5) 
provide training intended to improve the quality of services rendered 
to crime victims. (See Sections II. and III.)
    Q. Vulnerable Adults. Vulnerable adults are adults who, because of 
a disability, are unable to report a crime or take action on their own 
behalf when experiencing an act of violence, criminal neglect, or 
economic exploitation. These persons may be frail elders, adults 
experiencing severe episodes of mental illness, adults with profound 
mental retardation, and adults with incapacitating physical 
disabilities. These adults may require the intervention of adult 
protective services including the services of a multidisciplinary 
investigation and treatment team to assist in planning for and 
delivering victim services. These adults may have conservators or 
guardians. To clarify, not all elders and persons with disabilities are 
vulnerable adults.

II. Funding Allocations

    In 1984, VOCA established the Crime Victims Fund (Fund) in the U.S. 
Treasury to receive deposits from fines, penalty assessments and bond 
forfeitures from criminals convicted of federal crime. In addition, the 
Fund may accept gifts, bequests, or donations from private entities and 
individuals. This Fund is administered by the Office for Victims of 
Crime (OVC) to carry out the mandates of VOCA.
    A. Fund Distribution. Distributions are allocated as follows:
    1. Child Abuse Prevention and Treatment Grants. VOCA allows up to 
$20 million of the first amounts deposited in the Fund to be allocated 
for Child Abuse Prevention and Treatment Grants. This occurs in any 
fiscal year in which Crime Victim Fund deposits are greater than the 
amount deposited in Fiscal Year 1998. An amount equal to 50 percent of 
the increase plus the base amount of $10 million is available for this 
purpose. This applies regardless of whether there is a cap on the 
amount of money that can be distributed from the Fund. Eighty-five 
percent of these funds are forwarded to the Department of Health and 
Human Services. The remaining 15 percent is retained by OVC to assist 
Indian tribes in developing, establishing, and operating child abuse 
programs.
    2. Federal Criminal Justice System. Unspecified amounts are 
earmarked by Congress annually to be made available for improving 
services for the benefit of crime victims in the Federal criminal 
justice system. These amounts pay for personnel and the Federal Victim 
Notification System.
    3. Remaining Fund Deposits. The remaining Fund deposits are 
distributed as follows:
    a. Victim Compensation Grants. Forty-seven and one half percent 
(47.5%) is available to eligible state programs for crime victim 
compensation.
    b. Victim Assistance Grants. Forty-seven and one half percent 
(47.5%) is available to states for victim assistance grants. Amounts 
not needed to meet the funding requirements under the victims 
compensation grant programs are added to this amount.
    c. Discretionary Grants. Five (5) percent is retained by OVC for 
demonstration projects, program evaluation, compliance efforts, 
training and technical assistance, fellowships, internships, and for 
the financial support of services to victims of federal crime.
    4. Antiterrorism Emergency Reserve. In addition to monies 
distributed above, the OVC Director may set aside up to $50 million 
from amounts transferred to the Fund in response to the airplane 
hijackings and terrorist acts that occurred on September 11, 2001. The 
Director may replenish any amounts expended from the Reserve in 
subsequent fiscal years by setting aside up to 5 percent of the amounts 
remaining in the Fund in any fiscal year after distributing amounts for 
the Children's Justice Act, the VOCA crime victim compensation and 
assistance formula grants, and for OVC discretionary funds. These funds 
are to be used to support compensation and assistance services for 
victims of terrorism or mass violence crimes and fund an international 
victim compensation program.
    B. Grant Period. VOCA grant funds are available for expenditure 
throughout the fiscal year (FY) of the award plus the next three fiscal 
years. The federal fiscal year (FFY) begins on October 1 and ends on 
September 30.
    C. VOCA Victim Assistance Grant Formula. The Director of OVC is 
required to make an annual victim assistance grant to states from the 
Fund. Each state grantee receives a base amount of $500,000, except for 
the territories of Northern Mariana Islands, Guam, and American Samoa, 
which receive a base amount of $200,000. The remaining allocations from 
the Fund and any amounts rolled over from the crime victim compensation 
allocation are distributed to each state, based upon the state's 
population in relation to all other states, as determined by current 
U.S. census data.
    D. Allocation of Funds Within States. The governor of each state 
must designate the state agency that will administer the VOCA victim 
assistance grant program. The designated agency must establish and 
abide by policies and procedures which meet the minimum requirements of 
VOCA, the Final Program Guidelines, and the OJP Financial Guide, 
effective edition. The state grantee has the sole discretion for 
determining which public and private nonprofit organizations will 
receive funds, in what amounts, and during what time period within the 
parameters of VOCA.
    1. Strategic Planning. State grantees are encouraged to develop a 
strategic plan for the delivery of victim services. This plan could 
encompass analysis of crime statistics, crime victimization surveys 
that include victims who do not report crime to law enforcement as well 
as those who do, analysis of demographic characteristics of crime 
victims who do and do not access services, and identification of 
services and other resources available to crime victims. OVC encourages 
administrators to use formal assessment tools such as geographic 
information systems (GIS) to support data driven planning. The 
resulting plan would provide information on the sufficiency of coverage 
of services by community-based and criminal justice-based victim 
services programs and provide direction on the maintenance of current 
services and development of needed services. OVC recommends that a 
financial plan be an integral component of the strategic plan. This 
would include identification of multiple state and federal funding 
resources available for crime victim services and applicable 
requirements, establishment of program and service priorities, tying 
appropriate funding sources to program and service priorities, 
development of a multiyear funding plan, tracking expenditure of funds 
to allow for timely redistribution of funds not being used by 
subgrantees in order to prevent deobligations and maximize use of 
available funding, and identification of additional funding needed for 
a comprehensive victim assistance response.
    2. Underserved Crime Victims. State grantees are encouraged to plan 
for and expand services to victims of crime (a) who are not 
traditionally served through VOCA victim assistance programs such as 
cybercrime and economic crime, (b) with special needs such as elders, 
persons with disabilities, and victims with limited English 
proficiency, (c) living in areas with high rates of crime such as 
certain urban, rural, low-income neighborhoods, and Indian Country, and

[[Page 56450]]

(d) whose needs are not being met, as identified by the state grantee.
    3. Conduit Organizations. States may choose to use an organization 
as a conduit to aid in the selection of qualified subrecipients or to 
reduce the State's administrative burden in implementing the grant 
program. The use of a conduit organization does not relieve the State 
from ultimate programmatic and financial responsibilities.

III. Mass Violence and Terrorism

    A. Criminal Crisis Response. State grantees are encouraged to 
participate in state activities that prepare for and respond to mass 
violence and terrorist acts. This includes working with the designated 
emergency preparedness organizations in state government and 
encouraging subgrantees to work with local emergency preparedness 
organizations in counties and municipalities. State grantees may use 
administrative and training funds for these purposes.
    B. Antiterrorism Emergency Reserve. Upon request, the Director of 
OVC may supplement crime victim assistance programs for costs 
associated with responding to mass violence or terrorism to provide 
emergency relief, including crisis response efforts. See OVC Guidelines 
for the Antiterrorism and Emergency Assistance Program for Terrorism 
and Mass Violence Crimes for more information.

IV. State Grantee Eligibility Requirements

    A. Grantee. The VOCA grantee must be a state organization 
designated by the governor to administer this program.
    B. Grantee Program Requirements. State grantees must meet the 
following requirements when administering VOCA victim assistance grant 
funds:
    1. Compliance With VOCA. VOCA state grantees and subgrantees must 
comply with the applicable provisions of VOCA and the Final Program 
Guidelines.
    2. Eligible Subgrantees. State grantees may only subaward VOCA 
funds to eligible organizations and these funds must be used, unless 
otherwise specified for training and administrative costs, only for 
direct services to victims of crime.
    3. Nonsupplantation. VOCA crime victim assistance grant funds must 
be used to enhance or expand services and shall not be used to supplant 
state or local public funds that would otherwise be available for crime 
victim services. This nonsupplantation clause applies to state and 
local public agencies, not private nonprofit organizations.
    4. Priority Categories of Crime Victims. State grantees must give 
funding priority to victims of sexual assault, domestic abuse, and 
child abuse. To meet this requirement, states must allocate a minimum 
of 10 percent of each Federal Fiscal Year's (FFY) grant to each of 
these categories of crime victims (30 percent total). This grantee 
requirement does not apply to VOCA subgrantees.
    Each state grantee must meet this requirement, unless it can 
demonstrate to OVC that (a) a priority category is currently receiving 
significant amounts of financial assistance from the state or other 
sources, (b) a smaller amount of financial assistance, or no 
assistance, is needed from the VOCA victim assistance grant program, or 
(c) crime rates for a priority category do not justify the required 
allocation.
    5. Previously Underserved Category. State grantees must award an 
additional 10 percent of each VOCA grant to underserved victims of 
violent crime (other than priority category victims). To meet the 
underserved requirement, state grantees must identify crime victims by 
the types of crime they have experienced. These underserved victims may 
include, but are not limited to, survivors of homicide victims, or 
victims of physical assault, robbery, hate and bias crimes, bank 
robbery, and kidnaping.
    The results of allocation of funds under number 4 and number 5 
above are that 40 percent of each year's award must be allocated to 
four specified groups of violent crime victims. The remaining 60 
percent may be allocated to categories of victims of violent or 
nonviolent crimes.
    6. Financial Recordkeeping and Program Monitoring. Appropriate 
accounting, auditing, and on/offsite monitoring procedures will be used 
by grantees and subgrantees so that records are maintained to ensure 
delivery of services in accordance with VOCA and the subgrant award, to 
maintain fiscal control, to achieve proper management, and to ensure 
efficient disbursement of the VOCA victim assistance funds, in 
accordance with the OJP Financial Guide, effective edition.
    7. Non Discrimination. No person shall on the grounds of race, 
color, religion, national origin, disability, or sex, be excluded from 
participation in, denied the benefits of, subjected to discrimination 
under, or denied employment in connection with any undertaking funded 
in whole or in part with sums made available under VOCA. States must 
comply with these VOCA nondiscrimination requirements, the Federal 
civil rights statutes and regulations cited in the Assurances that 
accompany the grant award document, and all other applicable civil 
rights requirements. States with decentralized operations must assure 
that all operations comply with these requirements.
    8. Other Information Requested by the OVC Director. The state must 
provide such other information and assurances as the OVC Director 
reasonably requires.
    C. Additional Provisions. 1. Coordination with Other Offices. State 
grantees are encouraged to coordinate their activities with VOCA 
compensation programs, U.S. Attorney's Offices, Federal Bureau of 
Investigation field offices, and other programs providing funding or 
services for crime victims such as state mental health agencies and 
housing programs.
    2. Unfunded State Mandates. Many state legislatures have passed 
laws establishing important new rights for crime victims. OVC wishes to 
clarify that VOCA funds may be used for the purpose of implementing 
these laws, if no other state or local funds are available. VOCA funds 
may not be used to supplant state or local funds appropriated to 
implement state mandates.

V. VOCA Victim Assistance State Grantee Application Process

    Each year, OVC provides to each designated state agency an 
application package which contains the necessary forms and detailed 
information required to apply for VOCA victim assistance grant funds. 
The amount for which each state may apply is included in the package.
    To apply for VOCA victim assistance grant funds, states must 
complete and submit the Standard Form 424, Application for Federal 
Assistance, including attachments, and certify compliance with VOCA and 
OJP requirements. Required certifications will include, but may not be 
limited to, lobbying, drug free workplace, and non-debarment from work 
with the Federal Government. Completed applications must be received by 
OVC on or before the stated deadline, as determined by OVC. To receive 
the award, state grantees will be required to assure compliance with 
other federal requirements such as civil rights laws and the National 
Historic Preservation Act.

VI. Administrative Cost Provision for State Grantees

    A. Administrative Cost Allowance. VOCA allows states to use up to 5 
percent of victim assistance grant funds for administering the grant 
program.

[[Page 56451]]

Any portion of the allowable 5 percent that is not used for 
administrative purposes must be used exclusively for direct services to 
crime victims. Administrative funds must be expended during the grant 
award period. State grantees are not required to match the portion of 
the grant that is used for administrative purposes. This administrative 
cost option is available to the state grantee but does not apply to 
VOCA subgrantees.
    The intent of this administrative cost provision is to sustain and 
advance program administration in all operational areas by supporting 
activities that will expand, enhance, or improve the state's previous 
level of effort in administering the VOCA victim assistance grant 
program and to support activities and costs that impact the delivery 
and quality of services to crime victims throughout the state. If a 
state elects to use up to 5 percent of the VOCA assistance 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 
administrative grant funds. The state administrative agency may charge 
a federally approved indirect cost rate to this grant, but this cost is 
capped by the limits of these 5 percent administrative funds.
    State grantees must certify that VOCA administrative funds will not 
be used to supplant state or local funds, but instead will be used to 
increase the amount of funds available for administering the program. 
For the purpose of establishing a baseline level of effort, states must 
maintain documentation of state funding for administration of the 
program prior to the state's use of VOCA administrative grant funds. 
State grantees will not be in violation of the nonsupplantation clause 
if there is a decrease in the state's previous financial commitment 
toward the administration of the VOCA grant programs in the following 
situations: (1) Serious loss of state revenue resulting in across-the-
board budget restrictions, or (2) decrease in the number of state-
supported staff positions used to meet the state's maintenance of 
effort in administering the VOCA grant programs. States using 
administrative funds must notify OVC if there is a decrease in the 
amount of the state's prior year's financial commitment to the cost of 
administering the VOCA program.
    Only staff activities directly related to victim assistance grant 
program functions can be funded with VOCA administrative funds. 
Similarly, any equipment purchases or other expenditures charged to the 
VOCA administrative funds can be charged only in proportion to the 
percentage of time they are used for the VOCA victim assistance grant 
program.
    B. Allowable Costs. Below are examples of state grantee activities 
that directly relate to managing the VOCA grant and impact the delivery 
and quality of services to crime victims. These activities can be 
supported only with administrative funds:
    1. Salaries and Benefits. Salaries and benefits for grantee staff 
and consultants to administer and manage the financial and programmatic 
aspects of VOCA. Administrative grant funds can only support that 
portion of the staff's time that is devoted to the VOCA assistance 
program. If staff performs other functions, the proportion of time 
worked on the VOCA assistance program must be documented at reasonable 
intervals using a reasonable method such as time and attendance 
records. The documentation must provide a clear audit trail for the 
expenditure of grant funds.
    2. Training Attendance. Attendance of grantee staff at technical 
assistance meetings, conferences, and training that address issues 
relevant to state administration of victim assistance programs. This 
includes travel, registration fees, and other such expenses. These 
funds may also be used to train subgrantee managers, board members, and 
administrative staff on strategic planning, program development, 
financial management, evaluation, and other management and 
administrative skills.
    3. Monitoring Compliance. Monitoring compliance of VOCA subgrantees 
with federal and state requirements.
    4. Technology. Technology to include the study, design, and 
implementation of grants management systems, Web page construction and 
maintenance, victim notification systems, case tracking systems, 
Geographic Information Systems, and other relevant automated systems; 
the purchase and maintenance of equipment for the state grantee, 
including computers, software, FAX machines, copying machines, and TTY/
TDDs; and services required to support technology.
    5. Technical Assistance Provision. Technical assistance may be 
provided to VOCA grantees and subgrantees on the administration and 
management of the VOCA grant, including strategic and financial 
planning, program development, financial management, evaluation, public 
awareness and outreach, human resources' management, and board 
development. Technical assistance may be provided to current and 
potential subgrantees and others who provide or seek to provide 
services to crime victims. Technical assistance may also be provided to 
promote innovative approaches to serving crime victims.
    6. Membership. Memberships in crime victims organizations and the 
purchase of victim-related materials such as curricula, literature, and 
protocols. Memberships in organizations that support the management and 
administration of the VOCA victim assistance grant program are also 
allowable.
    7. Program Evaluation. Surveys or studies that inform on the impact 
or outcome of services received by crime victims.
    8. Prorated Audit Costs. Prorated program audit costs for the 
victim assistance program.
    9. Indirect Costs. Indirect costs at a federally approved rate that 
does not exceed the 5 percent administrative cost allowance when 
applied.
    10. Strategic Planning. Development of strategic plans, both 
service and financial, including the conduct of surveys and needs 
assessments.
    11. Coordination and Collaboration Efforts. Coordination and 
collaboration efforts made on behalf of crime victims with appropriate 
groups such as criminal justice, victim advocacy, human services, 
financial assistance (including crime victim compensation), OJP bureaus 
and offices, and other appropriate federal, state, and local agencies 
and organizations.
    12. Publications. Purchasing, printing, and developing training 
materials, victim services directories, brochures, and other relevant 
publications.
    13. System Improvement. State level activities that support the 
development and operation of coordinated, comprehensive responses to 
crime victims. This includes involvement on task forces and other 
committees examining issues affecting crime victims, protocol 
development for criminal crisis responses, participation in 
demonstration projects designed to improve responses to crime victims, 
and efforts to assure that victims' assistance programming is 
coordinated with victim compensation programs.
    14. Reporting. State activities necessary to meet federal and state 
reporting requirements concerning the VOCA victim assistance grant 
program are allowable.
    C. Requirement to Notify OVC of Use of Administrative Funds. Prior 
to charging or incurring any costs against

[[Page 56452]]

this provision, state grantees are required to notify OVC of their 
decision to use administrative funds and the amount of the total grant 
that is to be used. State grantees may notify OVC when the decision is 
made to exercise this option or at the time the Application for Federal 
Assistance, SF424, is submitted.
    A state may modify projections provided in the grant application by 
notifying OVC of the revised amount of the total grant that will be 
used as administrative funds. Failure to notify OVC of adjustments may 
prevent the state from meeting its obligation to reconcile its 
Statewide Report with its Final Financial Status Report (SF269A).

VII. State Grantee Training Funds

    A. Three Provisions for Paying for Training. Under the Proposed 
Revised Program Guidelines, state grantees may pay for training in 
three ways: (1) Through the state administrative cost allowance to 
cover training for state grantee staff and managers and administrators 
of subgrantee organizations found in section VI.B.2.; (2) through a 5% 
allowance in a fiscal year award as described below; and (3) through 
training allowances for direct services and multidisciplinary staff in 
subgrantee awards as described under section IX.B.4.
    B. Five Percent Training Allowances. 1. State grantees may retain 
up to 5 percent of the grant to provide statewide or regional training 
of victim services staff, allied professionals, criminal justice 
officials, public assistance officials, health and social services 
providers, and other allied organizations and professions about 
victimization issues, needs, and resources. The purpose for this 
training allowance is to assure that victim service providers receive 
needed training to provide appropriate, comprehensive, and quality 
services. Use of these funds is permissible for state victim assistance 
training academies.
    2. Match. VOCA funds used for training by the state grantee 
requires no match.
    3. Crime Victim Compensation. In order to assist subgrantees in 
meeting the requirement that they assist victims in applying for 
compensation, state grantees may choose to award a portion of their 
training funds to the VOCA crime victims compensation program to 
conduct training for VOCA subgrantees.
    4. Time Period. Each training activity must occur within the grant 
period.
    5. Nonsupplantation. VOCA grant funds cannot be used to supplant 
the cost of existing state administrative staff or related state 
training efforts.
    6. Statement of Intent to OVC. State grantees that choose to use a 
portion or all of its 5% training allowance must submit a statement to 
OVC reporting the amount of the total grant that will be used to pay 
for training. A state grantee may modify projections by notifying OVC 
of the revised amount of the total grant that will be used for 
training. Failure to notify OVC of adjustments may prevent the state 
from meeting its obligation to reconcile its Statewide Report with its 
Final Financial Status Report (SF269A).

VIII. Subgrantee Program Requirements

    A. Subgrantee Organization Eligibility Requirements. Subgrantees 
must use VOCA victim assistance funds only to provide direct services. 
Certain training and administrative costs may also be allowed by the 
state grantee as provided for under Sections IX.B.5. and IX.C. Each 
subgrantee organization must meet the following requirements:
    1. Public or Nonprofit Organization. Subgrantees must be operated 
by a public or nonprofit organization, or a combination of such 
organizations, and provide services to crime victims.
    2. Record of Effective Services. Subgrantees must demonstrate a 
record of providing effective services to crime victims. This includes 
having the support and approval of its services by the community, a 
history of providing direct services in a cost-effective manner, and 
financial support from sources other than VOCA.
    3. New Programs. Programs that have not yet had a history of 
providing effective services to victims of crime must demonstrate that 
they have substantial financial resources in order to be considered for 
VOCA victim assistance funding. ``Substantial financial resources'' 
mean that, if a VOCA grant were to be awarded, at least 35% of the 
program's funding must come from non-VOCA sources. Support from other 
federal funding programs may be used to demonstrate substantial 
financial resources, but federal funds cannot be used as match for a 
VOCA subgrantee project, except as specified in the OJP Financial 
Guide, effective edition. If the 35% in substantial financial resources 
is non-federal or meets the exceptions in the OJP Financial Guide, 
effective edition, a portion of these funds can be used as match.
    4. Project Match Requirements. New and existing VOCA victim 
assistance subgrantees must match 20 percent (cash or in-kind) of the 
total cost of each VOCA project, and the match must be derived from 
non-federal sources, except as provided in the OJP Financial Guide, 
effective edition. All funds designated as match are restricted to the 
same uses as the VOCA victim assistance funds and must be expended 
within the grant period. Any deviation from this policy must be 
approved by OVC and the OJP Office of the Comptroller in writing.
    a. Exceptions to the 20 Percent Match. Lower match requirements 
must be allowed for:
    (1) Indian Tribes and Tribal Organizations. The match for 
subgrantees that are Indian tribes or organizations located on 
reservations are 5 percent (cash or in-kind) of the total VOCA project. 
Reduced match is allowed because many tribes have meager financial 
resources and American Indians experience high rates of crime. This 
reduced match is allowed to help tribes access VOCA victim assistance 
funds.
    (2) Territories and Possessions of the U.S. Other territories and 
possessions of the United States, except for the Commonwealth of Puerto 
Rico, are not required to match VOCA funds. (48 U.S.C. 1469a(d))
    b. Sources of Match.
    (1) Volunteers. The value placed on volunteer services must be 
consistent with the rate of compensation paid for similar work in the 
subgrantee's organization. If the required skills are not found in the 
subgrantee's organization, the rate of compensation must be consistent 
with the labor market. Fringe benefits may be included in the 
valuation.
    (2) Equipment. The value placed on loaned or donated equipment may 
not exceed its fair rental value.
    (3) Space. The value of donated space may not exceed the fair 
rental value of comparable space as established by an independent 
appraisal of comparable space and facilities in a privately owned 
building in the same locality.
    c. Recordkeeping. A VOCA subgrantee must maintain records that 
clearly show the source, the amount, and the period for which the match 
was allocated. The basis for determining the value of personal 
services, materials, equipment, and space must be documented. Volunteer 
services must be documented by the same methods used by the subgrantee 
for its paid employees.
    5. Volunteers. Subgrantee organizations must use volunteers unless 
the state grantee determines there is a compelling reason to waive this 
requirement. A compelling reason may include but is not limited to a 
statutory or contractual provision concerning liability or 
confidentiality of counselor/victim information and communication,

[[Page 56453]]

which bars using volunteers for certain positions.
    6. Promotion of Community Efforts to Aid Crime Victims. Within the 
community, subgrantees must promote coordinated public and private 
efforts to aid crime victims. Coordination and collaboration may 
include, but is not limited to, serving on federal, state, local, or 
Indian tribe task forces, work groups, committees, commissions or 
coalitions, to develop written agreements and protocols and to oversee 
and recommend improvements to community responses to crime victims.
    7. Assistance to Victims in Applying for Compensation. Such 
assistance may include identifying and notifying crime victims of the 
availability of compensation, assisting them with application forms and 
procedures, obtaining necessary documentation, monitoring claim status, 
and intervening on behalf of the victim with the crime victims 
compensation program.
    8. Compliance With Federal Rules Regulating Grants. Subgrantees 
must comply with the applicable provisions of VOCA, the Final Program 
Guidelines, and the requirements of the OJP Financial Guide, effective 
edition, which include maintaining appropriate programmatic and 
financial records that fully disclose the amount and disposition of 
VOCA funds received. This includes financial documentation for 
disbursements, program income, daily time and attendance records 
specifying time devoted to allowable VOCA victim services, maintaining 
case files, the portion of the project supported by other sources of 
revenue, job descriptions, contracts for services, and other records 
that facilitate an effective audit.
    9. Non Discrimination. VOCA requires that no person shall on the 
ground of race, color, religion, national origin, disability, or sex be 
excluded from participation in, denied the benefits of, subjected to 
discrimination under, or denied employment in connection with, any 
undertaking funded in whole or in part with sums made available under 
VOCA victim assistance. In addition, subgrantees cannot discriminate 
against victims because they disagree with the way the State is 
prosecuting the criminal case.
    10. Federal Crime Victims. Subgrantees must provide services to 
victims of federal and tribal crimes on the same basis as victims of 
state and local crimes.
    11. Compliance with State Criteria. Subgrantees must abide by any 
additional eligibility or service criteria established by the state 
grantee, including licensing or credentialing requirements and 
submitting statistical and programmatic information on the use and 
impact of VOCA funds.
    12. Fees for Service and Program Income. OVC discourages but does 
not prohibit the charging of fees for services by subgrantees and thus 
the generation of program income under the VOCA victim assistance grant 
program. This discouragement results from the history of VOCA which 
expected that services would be available to all crime victims free of 
charge regardless of their ability to pay or of the availability of 
insurance or other third-party payment resources. Crime victims suffer 
tremendous emotional, physical, and financial losses. It was never the 
intent of Congress to exacerbate the impact of the crime by asking 
victims to pay for services.
    Fees cannot be charged for basic victim services such as crisis 
intervention; accompaniment to hospitals for medical examinations; 
safety planning; personal advocacy and case management; criminal 
justice system advocacy; accompaniment to court and other criminal 
justice meetings and events; notification of events in the victim's 
case; interpreters; forensic medical evidence collection examinations; 
and forensic interviews.
    For other allowable costs in a VOCA funded project, when the VOCA 
grantee has limited VOCA victim assistance and other victim services 
funding available, and determines that if a subgrantee is allowed to 
charge fees, that a larger group of victims would receive services or 
that services could be enhanced, the VOCA grantee may consider a 
subgrantee's request to charge fees and so generate program income. A 
subgrantee must obtain the approval of the VOCA grantee before charging 
fees to any crime victim under a VOCA victim assistance funded project.
    Before approving the charging of fees by a subgrantee from a 
victim's health insurance or other third party coverage, or from the 
victim directly, the state grantee must examine the impact on victim 
access to services, including whether victims would decline services if 
this practice would require payments or use of benefits that apply not 
only to the victim but also to the victim's family. The state grantee 
must also consider the impact on privacy if the insurance plan or other 
third party payment is tied to employment and result in the employer's 
learning of the victimization or mental health treatment needs of the 
victim. Victims must be notified in advance of any release of any 
individually identifiable information to a third party payer. 
Ultimately, the VOCA grantee must prioritize access to services by 
crime victims over the ability of subgrantees to charge fees.
    In considering whether to allow a subgrantee to charge victims a 
fee for services, the grantee must assure the capability of the state 
grantee and the subgrantee to track program income in accordance with 
federal financial accounting requirements. (See the OJP Financial 
Guide, effective edition.) OVC strongly recommends that the grantee 
consult state accounting personnel when considering a request to charge 
fees, in order to assure that the tracking system would withstand an 
audit. The subgrantee must use generated program income only for direct 
services in furtherance of the goals of the VOCA funded project.
    13. Client-Counselor Confidentiality. The state grantee and 
subgrantee must maintain confidentiality of client-counselor/service 
provider information, as required by state and federal law.
    14. Research Confidentiality. Except as otherwise provided by 
federal law, any research and statistical information that is 
identifiable to any private person may only be used for the purpose for 
which it was obtained under VOCA. This information, and any copy of 
this information, is immune from legal process and shall not, without 
the consent of the private person furnishing the information, be 
admitted as evidence or used for any purpose in any action, suit, or 
other judicial, legislative, or administrative proceeding. This is 
particularly important for victim services agencies that plan to 
develop and maintain victim databases containing specific, identifiable 
victim information.
    This provision is intended, among other things, to ensure the 
confidentiality of information provided by crime victims to counselors 
working for victim services programs receiving VOCA funds. There is 
nothing in VOCA or its legislative history to indicate that Congress 
intended to override or repeal 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 
override or repeal a state's existing law pertaining to the mandatory 
reporting of suspected child abuse. See Pennhurst School and Hospital 
v. Halderman, et al., 451 U.S. 1 (1981).
    In addition, this confidentiality provision should not be 
interpreted to thwart the legitimate informational needs of public 
agencies. For example, this provision does not prohibit a domestic 
violence shelter from acknowledging, in response to an

[[Page 56454]]

inquiry by a law enforcement agency conducting a missing person 
investigation, that the person is safe in the shelter. Similarly, this 
provision does not prohibit access to a victim service project by a 
federal or state agency seeking to determine whether federal and state 
funds are being used in accordance with funding agreements.
    B. Eligible Subgrantee Organizations. State grantees must award 
subgrants to organizations that meet VOCA eligibility requirements. The 
subgrantee organization must be operated by a public agency or 
nonprofit organization, or a combination of such agencies or 
organizations. All of these requirements must be met if the state 
grantee retains funds for its own direct services. Eligible 
organizations include, but are not limited to:
    1. Organizations Whose Sole Mission Is To Provide Services to Crime 
Victims. These organizations include, but are not limited to, sexual 
assault, domestic violence, and child abuse programs, programs that 
serve survivors of homicide victims or drunk driving crashes, 
comprehensive victim services programs, and victim rights compliance 
programs.
    2. Other Organizations That Serve Victims of Crime. These include, 
but are not limited to, guardians ad litem programs, outpatient mental 
health treatment programs, child guidance centers, social services 
agencies, public housing authorities, schools, and pro bono legal aid 
organizations.
    3. Criminal Justice Agencies. Criminal justice organizations, 
including law enforcement, prosecutors' offices, courts, corrections 
departments, and probation and paroling authorities, are eligible to 
receive VOCA funds, but these funds may be used only to provide crime 
victim services that exceed a criminal justice agency's or official's 
normal duties. See sections IX.A.5 and IX.D.4. for allowable and 
unallowable costs.
    4. Religiously Affiliated Organizations. Religiously affiliated 
organizations that receive VOCA funds cannot limit employment or access 
to services on the basis of religious affiliation and must offer and 
provide services to all crime victims regardless of religious 
affiliation.
    5. State Crime Victim Compensation Agencies. Compensation programs, 
including both centralized and decentralized programs, may receive VOCA 
victim assistance funds to offer direct services to crime victims that 
extend beyond the essential duties of compensation staff. These 
services may include crisis intervention; counseling; operating toll-
free numbers; and providing information, referrals, and follow-up for 
crime victims.
    6. Hospitals and Emergency Medical Facilities. VOCA funds may be 
awarded to hospital and emergency medical facilities to offer crisis 
counseling, peer support groups, and forensic exams.
    7. Indian Tribes and Tribal Organizations. According to the Bureau 
of Justice Statistics Report, 1999, Indians experience the highest rate 
of crime among any minority ethnic group of Americans. OVC encourages 
state grantees to fund victims services programs on reservations and in 
urban communities with large Indian populations.
    8. Services Crossing State Lines. State grantees may award VOCA 
victim assistance funds to organizations that are physically located in 
an adjacent state when doing so is an efficient and cost-effective way 
to provide services to victims who reside in the awarding state. When 
adjacent state awards are made, the amount of the award must be 
proportional to the number of victims to be served by the adjacent 
state organization. OVC recommends those state grantees who award funds 
to a victim service program enter into an interstate agreement with an 
adjacent state to address provision of services, monitoring, auditing 
federal funds, overseeing compliance, and reporting. States must notify 
OVC at the time of subaward of each VOCA award made to an organization 
in another state.
    9. State Grantee. Since the intention of the VOCA grant program is 
to support and enhance the crime victim services provided by community 
agencies, state grantees that meet the definition of an eligible 
subgrantee organization may subaward themselves no more than 10 percent 
of their annual VOCA grant amount.
    10. Federal Criminal Justice Organizations: Any agency of the 
Federal Government that performs local law enforcement functions in and 
on behalf of the District of Columbia, the Commonwealth of Puerto Rico, 
the United States Virgin Islands, or any other territory or possession 
of the United States may qualify as an eligible crime victim assistance 
program.
    C. Ineligible Recipients of VOCA Victim Assistance Funds. The 
following organizations that offer services to crime victims are not 
eligible to receive VOCA victim assistance funding. State grantees are 
encouraged to coordinate efforts with these agencies to better serve 
crime victims. These organizations include, but are not limited to, the 
following:
    1. Federal Agencies. This includes U.S. Attorneys' Offices and 
local FBI field offices. (See VIII.B.10. for exception.)
    2. Inpatient Medical or Substance Abuse Treatment Facilities. This 
prohibition is for inpatient treatment including for the treatment for 
medical, mental or drug and alcohol conditions. The only exception is 
for victims on hold in a mental health facility for a suicide watch 
that is directly related to the crime.
    3. For Profit Organizations. VOCA requires that eligible 
subgrantees be either public or nonprofit organizations or a 
combination of both.

IX. Subgrantee Allowable Costs

    A. Allowable Costs for Direct Services. The following is a listing 
of services that are allowable under victim assistance grant funds 
within a subgrantee organization:
    1. Immediate Physical and Psychological Health and Safety. Services 
that respond to the immediate emotional, psychological and physical 
needs (excluding medical care) of crime victims are allowable. These 
services include, but are not limited to, crisis or suicide 
intervention needed as a result of the crime; accompaniment to 
hospitals for medical examinations; hotline counseling; safety 
planning; emergency food, shelter, clothing, and transportation; short-
term in-home care and supervision services for children and vulnerable 
adults who remain in their own homes when the offender who is the 
caregiver is removed; short-term (as defined by the state) nursing 
home, adult foster care, or group home placement for vulnerable adults 
(including elder abuse victims) for whom no other safe, short-term 
residence is available; crime scene cleanup; and window and lock 
replacement or repair.
    Emergency replacement of prescription medicine and eyeglasses or 
other health care items are allowed when the state's compensation 
program, individual's health insurance plan, Medicaid or other health 
care funding source cannot provide for these expenses within 48 hours 
of the crime. Immediate health and safety services also include 
emergency legal assistance such as filing restraining or protective 
orders, obtaining emergency custody orders, and obtaining visitation 
rights. In addition, legal assistance that helps victims assert their 
rights in a criminal case, including pro bono legal clinics for crime 
victims is allowable. Not allowable are non-emergency legal expenses 
such as divorce proceedings, child custody proceedings, or civil action 
to obtain restitution.

[[Page 56455]]

    2. Personal Advocacy and Case Management. These services include 
working with a victim to assess the impact of the crime; identify 
needs; develop a plan of services; identify resources; and provide 
information, referrals, advocacy, and follow-up contact for continued 
services, as needed. The purpose of these services is to assist victims 
of crime in understanding the dynamics of victimization and in 
stabilizing their lives after a victimization. These services are 
particularly required when multiple organizations are involved in 
serving a victim and family. For example, an advocate working with 
survivors of a homicide victim may assist the family in notifying other 
family members, counsel the family on interacting with the media, link 
them with a peer support organization, obtain crisis mental health 
assistance, connect them with criminal justice officials, and intercede 
for them with creditors, service providers, and employers. Another 
example would be a child advocate in a child advocacy center who works 
with a family while serving as liaison with law enforcement, 
prosecution, and child protective services; makes referrals and assists 
in applying for crime victim compensation; and helps the family in 
accessing child development services and mental health treatment.
    3. Mental Health Counseling and Care. Mental health counseling and 
care must be provided by a person who meets state standards to provide 
these services.
    4. Peer Support. Activities that provide opportunities for victims 
to meet others with similar crime victim experiences that provide self-
help, information, and peer and social support in order to assist 
victims in receiving understanding and comfort and in adapting their 
lives after a crime.
    5. Assistance in Criminal Justice Proceedings. Services and costs 
that help victims participate in the criminal justice system include 
advocacy on behalf of crime victims; accompaniment to criminal justice 
offices and court; transportation, meals, and lodging to allow victims 
who are not witnesses to participate in the criminal justice system; 
interpreters for victims who are deaf or hard of hearings or with 
limited English proficiency when they are not witnesses; child care and 
respite care to enable a victim who is a caregiver to attend criminal 
justice activities related to the case; notification to victims 
regarding trial dates, case disposition, incarceration, and parole 
hearings; assistance with victim impact statements; and assistance in 
recovering property that was retained as evidence. State grantees may 
also fund projects devoted to restitution advocacy on behalf of crime 
victims. (See section IX.D.4. for unallowable criminal justice costs)
    6. Forensic Medical Evidence Collection Examinations. Forensic 
examinations are allowable costs for adult and child victims to the 
extent that other funding sources such as state appropriations are 
insufficient. These costs may be covered, if (1) the examination meets 
standards established by the state; and (2) appropriate crisis 
counseling and/or other types of victim services are offered to the 
victim in conjunction with the examination.
    7. Forensic Interviews. Forensic interviews are the responsibility 
of the criminal justice system and VOCA victim assistance funds cannot 
be used to supplant other state and local public funding including 
criminal justice funding. VOCA funding may only be used for forensic 
interviews of children and vulnerable adults when (1) results of the 
interview will be used not only for law enforcement and prosecution 
purposes but also for social services, personal advocacy, case 
management, and mental health purposes; (2) interviews are conducted in 
the context of a multidisciplinary investigation and diagnostic team or 
in a specialized setting such as a child advocacy center, (3) the 
interviewer is trained to conduct forensic interviews appropriate to 
the developmental age and abilities of children or the developmental, 
cognitive, and physical or communication disabilities presented by 
adults, and (4) the subgrantee is not a prosecution or law enforcement 
organization.
    Forensic interviews for adults with disabilities who do not come 
under the definition of vulnerable adult are also the responsibility of 
the criminal justice system. However, if the state VOCA administrator 
believes that persons with disabilities will have diminished access to 
the criminal justice system without the expertise of professionals with 
the knowledge and skill to work with persons who present with 
developmental, cognitive, physical or communication disabilities, the 
VOCA administrator may authorize use of VOCA victim assistance funds to 
assure that the expertise is available to assist the victim in a 
forensic interview.
    8. Victim-Offender Meetings. State grantees may fund activities 
involving victim-offender meetings between the victim and the offender 
who perpetrated the crime against the victim. In allowing funds for 
these activities, at a minimum, grantees must consider (a) the safety 
and security of the victim; (b) the benefit or therapeutic value to the 
victim; (c) the procedures for ensuring that participation of the 
victim and offender are voluntary and that everyone understands the 
nature of any meeting or other activity, (d) the provision of 
appropriate support and accompaniment for the victim, (e) appropriate 
debriefing opportunities for the victim after a meeting, (f) the 
credentials of the facilitators, and (g) the opportunity for a crime 
victim to withdraw from the process at any time. The state grantee must 
assure that the project allows no contact with the victim or victim's 
family verbally or in writing that could be construed as soliciting, 
recommending, or encouraging participation in these activities. VOCA 
assistance funds cannot be used for victim-offender meetings that serve 
to replace criminal justice proceedings and offender based restorative 
justice programs. For face to face meetings with offenders, VOCA victim 
assistance funds may only be used for the proportionate cost of 
activities that are related to the victim's involvement.
    9. Transportation. Transportation for victims to receive services 
or participate in criminal justice proceedings.
    10. Public Presentations. VOCA funds may be used to support public 
awareness and education presentations that are made in schools, 
community centers, and other public forums, and that are designed to 
identify crime victims and provide or refer them to needed services. 
Costs related to these activities include presentation materials, 
brochures, newspaper notices, and public service announcements.
    B. Allowable Subgrantee Support Costs. Costs which support the 
provision of quality, appropriate, and comprehensive services to crime 
victims, are allowable. These include:
    1. Personnel Costs.
    a. Direct Services Staff. These costs are directly related to 
providing direct services and include staff salaries, fringe benefits, 
malpractice insurance and the cost of advertising to recruit VOCA-
funded personnel and volunteers.
    b. Supervision of Direct Service Providers. State grantees may 
provide VOCA funds for supervision of direct service providers in a 
VOCA funded project.
    2. Multisystem, Interagency, Multidisciplinary Response to Crime 
Victims. VOCA funds may be used for activities that support the 
development and functioning of coordinated and comprehensive responses 
to crime

[[Page 56456]]

victims by direct service providers with allied professionals and the 
criminal justice system. Direct service examples are serving on child 
abuse and vulnerable adult multidisciplinary investigation and 
treatment teams, and coordinating with federal agencies to provide 
services to victims of federal crimes.
    Allowable costs that further coordination and collaboration by a 
subgrantee may include participation by direct service providers, 
directors, administrators and board members on statewide or other task 
forces, work groups, and committees to develop protocols, interagency 
and other working agreements, and to oversee and make changes that 
improve state and community responses to crime victims. These 
activities do not include lobbying and administrative advocacy which is 
unallowable. These activities also do not allow for funding statewide 
coordinators for victim notification systems, crisis response teams, 
and other such coordinators who do not provide direct services.
    3. Contracts for Professional Services. Subgrantees may only use 
VOCA funds to contract for specialized professional services that are 
not available within the organization. Examples of such services 
include psychological or psychiatric consultation; legal consultation 
for victim advocates who assist victims in using appropriate legal 
avenues to alleviate danger and in exercising their rights; and 
interpreters for victims who are deaf or hard of hearing or with 
limited English proficiency. Subgrantees are prohibited from using a 
majority of VOCA funds for contracted services which contain 
administrative, overhead, and other indirect costs in the hourly or 
daily rate.
    4. Skills Training for Staff, Others Who Work With Crime Victims, 
and Administrators and Managers. VOCA funds designated for training 
must be used to develop the skills of paid staff and volunteers who are 
direct services providers. These funds may be used to train non-VOCA-
funded service providers and criminal justice officials only when the 
training promotes a multisystem, interagency, and multidisciplinary 
response to crime victims. An example would be joint training of 
members of a child abuse multidisciplinary investigation and treatment 
team, which may include a child advocate, a child protective services 
worker, a law enforcement officer, a prosecutor and a pediatrician. 
VOCA funds may be used to pay for manuals, books, video conferencing, 
and other materials and training methods. At the discretion of the VOCA 
grantee, VOCA direct services funds may also be used for subgrantee 
training on program administration and management.
    5. Training-Related Travel. VOCA funds can support costs such as 
travel, meals, lodging, and registration fees for VOCA and non-VOCA-
funded direct service staff in a VOCA subgrantee organization. VOCA 
funds can support these expenses for other service providers and 
criminal justice officials only when the training promotes a 
multisystem, interagency, multidisciplinary response to crime victims. 
These expenses may be funded for training in-state, regionally, and 
nationally.
    C. Subgrantee Administrative Costs. The following costs are 
necessary and essential to providing direct services and so the state 
grantee may allow use of VOCA victim assistance direct service funds 
for these purposes.
    1. Office Costs. Office costs that are necessary and essential to 
providing direct services are allowable. These costs include the 
prorated costs of rent; telephones, computers, and other technologies; 
utilities; and local travel expenses for service providers. This also 
includes required minor building adaptations needed to meet standards 
of the Americans with Disabilities Act or the National Historic 
Preservation Act. An example would be the cost of building an access 
ramp that is necessary to provide services to persons with physical 
disabilities. (See the OJP Financial Manual for policy on ``Procurement 
Under Awards of Federal Assistance'' when considering allowing use of 
VOCA funds for minor building alterations.)
    2. Equipment and Furniture. VOCA funds may be used to purchase 
furniture and equipment that facilitate the delivery of direct services 
to crime victims. Examples of allowable costs are telephones; Braille 
and TTY/TDD equipment; personal computers and printers; beepers; video 
cameras and recorders for documenting and reviewing interviews with 
children; two-way mirrors; colposcopes; and equipment and furniture for 
shelters, work spaces, victim waiting rooms, and children's play areas. 
Other allowable costs include furniture and equipment that help a 
subgrantee meet the requirements of the Americans with Disabilities 
Act.
    VOCA funds can only support the prorated share of an item that is 
used exclusively for victim-related activities. In addition, 
subgrantees cannot use VOCA funds to purchase equipment for another 
organization or individual to perform a victim-related service.
    3. Operating Costs. Examples of allowable operating costs include 
but are not limited to supplies; equipment use fees, when supported by 
usage logs; printing, photocopying, and postage; brochures that 
describe available services; books and other victim-related materials; 
computer backup files/tapes and storage; prorated costs of liability 
insurance on buildings; and security systems.
    4. VOCA Administrative Time. VOCA funds may support administrative 
time to complete VOCA-required time and attendance sheets and 
programmatic documentation, reports, and statistics; administrative 
time to collect and maintain crime victims records; conduct victim 
satisfaction surveys and needs assessments used to improve victim 
services delivery in the VOCA funded project; and the prorated share of 
audit costs.
    5. Leasing Vehicles. A subgrantee may use VOCA funds to lease 
vehicles if the subgrantee can demonstrate to the state grantee that 
such an expenditure is essential to delivering services to crime 
victims. The VOCA administrator must give prior approval for all such 
leases.
    6. Automated Systems and Technology. A state grantee may award 
funds for automated systems and technology that support delivery of 
direct services to victims. Examples are automated information and 
referral systems, e-mail systems that allow communications among victim 
service providers, automated case tracking systems, and victim 
notification systems. Costs may include personnel, hardware, and other 
expenses as determined by the state grantee. When funding automated 
systems, state grantees must comply with the requirements of the OJP 
Financial Guide, effective edition.
    a. Because automated systems are usually complex, expensive and 
require significant expertise in design, installation, and maintenance, 
the state grantee must assure that the applicant for funds meets the 
eligibility requirements of other subgrantees and must obtain from the 
applicant information on:
    (1) How the technology will improve the delivery of direct services 
to crime victims,
    (2) How the technology will be integrated into or will enhance the 
subgrantee's current operations,
    (3) The cost of installation,
    (4) The cost of training staff to use the technology,
    (5) The ongoing operational costs, such as maintenance agreements, 
updating the system, and supplies. Property insurance is an allowable

[[Page 56457]]

expense as long as VOCA funds support a prorated share of the cost of 
the insurance payments, and
    (6) How ongoing operational costs will be supported.
    b. If a state grantee uses VOCA victim assistance funds to support 
the startup cost of a victim notification system or to provide funding 
for ongoing operations of a victim notification system, the grantee 
must:
    (1) Assure that the subgrantee has the capability of connecting a 
victim receiving notification to needed crisis intervention and 
referral services,
    (2) Work with the state's single point of contact for OJP 
technology grants and comply with OJP requirements,
    (3) Retain ownership of the technology.
    7. Maintenance, Repair, or Replacement of Essential Items. VOCA 
funds may be used for maintenance, repair or replacement of items that 
contribute to maintaining a healthy or safe environment for crime 
victims, such as a furnace in a shelter or a security system for a 
sexual assault program. Routine maintenance, repair costs, and 
automobile insurance are allowable for vehicles. State grantees must 
review each subgrantee request to ensure that (a) other sources of 
funding are not available, and (b) the cost of maintenance, repair, or 
replacement is reasonable.
    D. Nonallowable Subgrantee Costs and Activities. The following 
services, activities, and costs cannot be supported with VOCA victim 
assistance grant funds. This list is not exhaustive.
    1. Lobbying and Administrative Advocacy. VOCA funds cannot support 
activities on legislation or administrative reform, whether conducted 
directly or indirectly.
    2. Perpetrator Rehabilitation and Counseling. Subgrantees cannot 
use VOCA funds to offer rehabilitative services to perpetrators or 
offenders. Likewise, VOCA funds cannot support services to incarcerated 
individuals, even when the service pertains to the victimization of 
that individual.
    3. Evaluations and Studies. VOCA direct services funds may not be 
used to pay for efforts conducted by individuals, organizations, task 
forces, or special commissions to study and/or research particular 
crime victim issues.
    4. Criminal Justice System Activities. VOCA funds cannot be used to 
pay for activities that are directed at prosecuting an offender or 
improving the criminal justice system's effectiveness and efficiency. 
See sections IX.A.6&7. for exceptions on forensic interviews and 
examinations. Also, VOCA funds cannot be used for witness costs, 
including for victims when they serve as witnesses, since these are the 
responsibility of the criminal justice system.
    5. Fundraising Activities. VOCA victim assistance funds cannot be 
used to pay for any activities or other costs related to fundraising.
    6. Indirect Organizational Costs. The costs of capital 
improvements, property losses and expenses, real estate purchases, 
mortgage payments, and construction are not allowable. See section 
IX.C.1. for exceptions.
    7. Individual Victim Losses. Reimbursing crime victims for expenses 
incurred as a result of a crime such as insurance deductibles, 
replacement of stolen property, funeral expenses, lost wages, and 
medical bills is not allowed. See section IX.A.1 for exceptions on 
allowable property loss expenses.
    8. Medical Costs. VOCA funds cannot pay for nursing home care, home 
health care, inpatient treatment, hospital care, and other types of 
medical and/or dental treatment. See section X.A.1. for exceptions.
    9. Relocation Expenses. Relocation expenses for crime victims are 
not allowable. These include moving expenses, security deposits on 
housing, ongoing rent, mortgage payments and utility startup. However, 
VOCA funds may be used to support personal advocacy and case management 
activities to locate resources to assist victims with these expenses.
    10. Administrative Staff Expenses. Salaries, benefits, fees, 
furniture, equipment, technology, and other expenses of executive 
directors, board members, and other administrators are not allowable. 
Exceptions are for time spent providing direct services to crime 
victims, creating and maintaining victim records; staff recruitment and 
training, and completing VOCA-required time and attendance sheets, 
statistics, programmatic and financial reports, and victim satisfaction 
surveys and needs assessments.
    11. Administrative Coordination Activities. VOCA funds cannot be 
used for the ongoing administration of criminal crisis response teams, 
automated victim notification systems, and other such programs when 
these activities do not provide direct services to crime victims.
    12. Costs of Sending Individual Crime Victims to Conferences. VOCA 
victim assistance funds cannot be used to send individual crime victims 
to conferences.
    13. Crime Prevention. VOCA victim assistance funds cannot be used 
for crime prevention activities.

X. Program Reporting Requirements

    State grantees must adhere to all reporting requirements and time 
lines for submitting required reports as indicated below. Failure to do 
so may result in a hold being placed on the ability to drawdown the 
current year's funds, the attachment of special conditions, or the 
suspension or termination of the grant.
    A. Subgrant Award Reports. The State grantee must submit a Subgrant 
Award Report on a form prescribed by OVC for each project that receives 
VOCA funds.
    1. Reporting Deadline. State grantees must submit a Subgrant Award 
Report to OVC within 90 days of making the subaward.
    2. Electronic Submission. State and territorial grantees must 
transmit their Subgrant Award Report information to OVC via the 
automated subgrant dial-in system.
    3. Changes to Subgrant Award Report. If Subgrant Award Report 
information changes by the end of the grant period, state grantees must 
inform OVC of the changes by revising the information via the automated 
subgrant dial-in system. The total award amount of all Subgrant Award 
Reports, including the administrative costs and training funds 
submitted by the state grantee, must agree with the Final Financial 
Status Report (Standard Form 269A) submitted at the end of the grant 
period.
    B. Performance Report. 1. Reporting Deadline. Each state grantee is 
required to submit information annually on the OVC-provided Performance 
Report, Form No. OJP 7390/4, by December 30 of each year for the 
previous fiscal year active grants.
    2. Administration and Training. For those state grantees who opt to 
use a portion of the VOCA victims assistance grant for administrative 
and/or training costs, the grantee must describe how the funds were 
actually used and report the impact of the administrative and training 
funds on the state grantee's ability to expand, enhance, and improve 
services to crime victims. State grantees must maintain a clear audit 
trail of all costs supported by these funds.
    C. Financial Requirements. 1. Special Condition. As a condition of 
receiving a grant, state grantees and subgrantees must agree to comply 
with the general and specific requirements of the OJP Financial Guide, 
effective edition, applicable OMB Circulars, and Common Rules. This 
includes maintenance of books and records in accordance with generally 
accepted government accounting principles. For copies of the OJP 
Financial Guide, effective edition, call or write the Office of Justice

[[Page 56458]]

Programs, Office of the Comptroller, 810 7th Street, NW., Washington, 
DC 20531. Contact the Customer Service Center by telephoning 1-800-458-
0786 or log on at http://www.ojp.usdoj.gov/FinGuide/.
    2. Quarterly and Final Financial Status Reports (SF269A). Follow 
instructions provided in the OJP Financial Guide, effective edition

XI. Monitoring

    A. State Grantee. State grantees are required to conduct regular 
desk monitoring and to conduct onsite monitoring in which all 
subgrantees are visited a minimum of once every four years. State 
grantees shall develop a monitoring plan and maintain a copy of site 
visit results and other documents related to compliance. At a minimum, 
state grantees are to review documents such as (1) the subgrantee 
policies and procedures that address specific requirements of VOCA and 
the OJP Financial Guide, effective edition, (2) victim service delivery 
performance data, (3) timekeeping and equipment records, and (4) 
documentation for costs supported by VOCA funds.
    B. Office for Victims of Crime. OVC conducts onsite monitoring of 
grantees in accordance with its monitoring plan. While on the site, OVC 
personnel review various documents and files including (1) program 
manuals and procedures governing the VOCA grant program; (2) the 
Application Requirements, procedures, and guidelines for subawarding 
VOCA funds; (3) the monitoring protocol; (4) a sample of grant files; 
(5) other state grantee and subgrantee records and files, as 
appropriate; and (6) site visit findings and other documents related to 
compliance by subgrantee programs with VOCA requirements.
    In addition, OVC may visit selected subgrantees and review 
documents such as (1) policies and procedures governing the 
organization and use VOCA funds; (2) programmatic records of victims' 
services; (3) timekeeping and equipment records and (4) other 
supporting documentation for costs supported by VOCA funds. Grantees 
are notified in writing of their compliance with VOCA requirements.
    C. Other Federal Organizations. The Office of Justice Programs 
Office of the Comptroller, the General Accounting Office, and the 
Office of the Inspector General conduct periodic reviews of the 
financial policies, procedures, and records of VOCA grantees and 
subgrantees. On request, state grantees and subgrantees must give 
authorized representatives the right to access and examine all records, 
books, papers, case files, and documents related to the grant. Specific 
items identified as confidential and immune from government process 
must nevertheless be made available to any of the above organizations 
upon request.

XII. Suspension and Termination of Funding

    If, after notice to the grantee, OVC finds that a state or any one 
of its subgrantees has failed to comply substantially with VOCA, the 
OJP Financial Guide, effective edition, the Final Program Guidelines, 
the Application Requirements to include assurances, certifications, and 
special conditions, or any implementing regulation or requirement, the 
OVC Director and the OJP OC may suspend or terminate funding to the 
state and/or take other appropriate action. Under the procedures of 28 
CFR part 18 (7-1-96 edition), states may request a hearing on the 
record on the justification for the suspension and/or termination of 
VOCA funds in whole or in part to the state and take other appropriate 
action.
    VOCA subgrantees may not request a federal hearing. However, VOCA 
subgrantees who believe that the state grantee has violated a program 
and/or a financial requirement is not precluded from bringing the 
alleged violation(s)to the attention of the Federal Cognizant Agency 
for that State.

    Dated: August 22, 2002.
John W. Gillis,
Director, Office for Victims of Crime, Office for Justice Programs.
[FR Doc. 02-21830 Filed 8-30-02; 8:45 am]
BILLING CODE 4410-18-P