[Federal Register Volume 67, Number 21 (Thursday, January 31, 2002)]
[Notices]
[Pages 4821-4833]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2299]



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Part III





Department of Justice





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Office for Victims of Crime



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

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

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DEPARTMENT OF JUSTICE

Office for Victims of Crime

[OJP[OVC]-1309F]


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

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

ACTION: Notice of final guidelines.

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

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

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

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

Preamble to the Final Guidelines

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

Analysis and Summary of Comments

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

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

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

Final Guidelines

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

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

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

I. Final Program Guidelines

A. Authority

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

II. Introduction and Background

A. OVC Mission and Purpose

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

B. Statement About Terrorism and Mass Violence

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

[[Page 4826]]

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

C. Support for Pre-Crisis Planning

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

D. Action To Address Terrorism and Mass Violence

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

E. Role of the Federal Government

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

F. Role of State Governments

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

G. Role of Other Public and Private Entities

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

[[Page 4827]]

assistance available from other public and private agencies.

III. Statutory Language and Definitions for This Program

A. Victims of Crime Act and Amendments

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

B. Definitions

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

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

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

[[Page 4828]]

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

IV. Source of Funding

A. Crime Victims Fund

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

B. Antiterrorism Emergency Reserve

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

[[Page 4829]]

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

V. Types of Assistance

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

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

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

VI. Allowable Activities and Costs

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

A. Crisis Response Assistance

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

B. Consequence Management Assistance

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

C. Criminal Justice Support Assistance

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

[[Page 4830]]

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

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

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

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

E. Training and Technical Assistance

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

VII. Accessing Antiterrorism Emergency Reserve

A. Eligible Applicants

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

B. Eligible Recipients of Benefits and Services

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

C. Coordination of Effort With Other Public and Private Entities

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

D. Areas of Special Concern

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

E. Application Process

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

[[Page 4831]]

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

H. Pre-Agreement Costs

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

I. Amount of Funding Available per Incident

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

J. Grant Period

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

K. Requests for Reconsideration

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

[[Page 4832]]

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

L. Federal Monitoring and Oversight

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

M. Suspension and Termination of Funding

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

N. Confidentiality and Privacy Requirements

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

VIII. Reporting Requirements

A. Financial Reporting Requirements

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

B. Program Reporting Requirements

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

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

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

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

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

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

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

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

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


[[Page 4833]]


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