APPENDIX I

Program Information

Definitions

Part 1 Violent Crime. Part 1 Violent Crime means murder and nonnegligent manslaughter, forcible rape, robbery, and aggravated assault as reported to the FBI for purposes of the Uniform Crime Reports (UCR).

• Murder and Nonnegligent Manslaughter are defined in UCR as the willful (nonnegligent) killing of one human being by another. Not included in the count are deaths caused by negligence, suicide, or accident; justifiable homicides; and attempts to murder or assaults to murder, which are counted as aggravated assaults.
  
  
• Forcible Rape is defined in the UCR as the carnal knowledge of a female forcibly and against her will. Assaults and attempts to commit rape by force or threat of force are also included; however, statutory rape (without force) and other sex offenses are excluded.
  
  
• Aggravated Assault is defined in UCR as the unlawful attack by one person upon another for the purpose of inflicting severe or aggravated bodily injury. This type of assault is usually accompanied by the use of a weapon or by means likely to produce death or great bodily harm.
  
  
• Attempts are included since it is not necessary that an injury result when a gun, knife, or other weapon is used that could and probably would result in serious personal injury if the crime were successfully completed.
  
  
• Robbery is defined in UCR as the taking or attempting to take anything of value from the care, custody, or control of a person or persons by force or threat of force or violence or by putting the victim in fear.

An alternative definition of "violent crime" may be used for purposes of providing data to demonstrate compliance with the eligibility requirements. States may use the definition for Part 1 violent crimes as defined above, or a reasonably comparable class of serious violent crimes, as defined by the state and approved by the United States Attorney General.

Determinate sentence. A sentence to confinement for a fixed period as specified by statute.

Indeterminate sentence. A sentence that the court imposes in a range defined by statute and for which an administrative agency, generally the parole board or the court, controls the release within the statutory range.

Purposes of the VOI/TIS Grant Program

The purposes of the VOI/TIS incentive grants are to provide funds to states to:

• Build or expand correctional facilities to increase the bed capacity for the confinement of persons convicted of a Part 1 violent crime or adjudicated delinquent for an act, which, if committed by an adult, would be a Part 1 violent crime.
  
  
• Build or expand temporary or permanent correctional facilities, including facilities on military bases, prison barges, and boot camps, for the confinement of convicted nonviolent offenders and criminal aliens, for the purpose of freeing suitable existing prison space for the confinement of persons convicted of a Part 1 violent crime.
  
  
• Build or expand jails.

Violent Offender Incarceration Grants--Eligibility Requirements

The Violent Offender Incarceration grant funds are allocated to states using a three-tiered formula--85 percent of the total funds available for the first two tiers and 15 percent for the third. Each tier has different criteria for eligibility. Eligible states may receive funding under all three tiers, but no state may receive more than 9 percent of the total funds available.

Tier 1. A state must assure that it has implemented, or will implement, correctional policies and programs including truth-in-sentencing laws that ensure that violent offenders serve a substantial portion of the sentences imposed; are designed to provide sufficiently severe punishment for violent offenders, including violent juvenile offenders; and ensure that the prison time served is appropriately related to the determination that the inmate is a violent offender and for a period of time deemed necessary to protect the public.

Each eligible state will receive a base allocation of 0.75 percent of the total funds available for Tiers 1 and 2, except the Virgin Islands and the Pacific Territories, which will receive a base allocation of 0.05 percent. The balance of the funds is distributed under Tier 2.

Tier 2. A state that receives a grant under Tier 1 is eligible to receive additional funds if it demonstrates that since 1993 it has increased:

• the percentage of persons arrested for a Part 1 violent crime sentenced to prison; or
  
  
• the average prison time actually served; or
  
  
• the average percent of sentence served by persons convicted of a Part 1 violent crime.

Tier 2 funds are allocated to an eligible state in the ratio its Part 1 violent crimes, as reported to the FBI during the preceding 3 years, bear to the average number of Part 1 violent crimes for all eligible states.

Tier 3. A state that receives a grant under Tier 1 (and Tier 2, if applicable) is eligible for additional funds if it can demonstrate that it has:

• since 1993 increased the percentage of persons arrested for a Part 1 violent crime sentenced to prison, and has increased the average percent of sentence served by persons convicted of a Part 1 violent crime; or
  
  
• increased by 10 percent or more over the most recent 3-year period the number of new court commitments to prison of persons convicted of Part 1 violent crimes.

Each eligible state, the District of Columbia, and the Commonwealth of Puerto Rico will receive a base allocation of 3 percent. The Virgin Islands, Guam, American Samoa and the Commonwealth of the Northern Mariana Islands will receive a base allocation of .03 percent. The balance is allocated to each eligible state on the basis of its share of the average annual number of Part 1 violent crimes for the preceding 3 years, as reported to and published by the FBI for all eligible states.

Truth-in-Sentencing Incentive Grants—Eligibility Requirements

An applicant state must demonstrate any one of the following:

• For determinate sentencing states, the state has implemented Truth-in-Sentencing laws that result in persons convicted of a Part 1 violent crime serving not less than 85 percent of the sentence imposed; or
  
  
• For determinate sentencing states, the state has implemented Truth-in-Sentencing laws that result in persons convicted of a Part 1 violent crime serving on average not less than 85 percent of the sentence imposed;¹⁴ or
  
  
• For determinate sentencing states, the state has enacted, but not yet implemented, Truth-in-Sentencing laws that require it to provide that persons convicted of a Part 1 violent crime serve not less than 85 percent of the sentence imposed, no later than 3 years after it submits its application for funds.
  
  
• For indeterminate sentencing states, persons convicted of a Part 1 violent crime on average serve not less than 85 percent of the prison term established under the state's sentencing and release guidelines, which by law are utilized both by courts for guidance in imposing a sentence and by release authorities for guidance in establishing release dates; or
  
  
• For indeterminate sentencing states, persons convicted of any Part 1 violent crime on average serve not less than 85 percent of the maximum prison term allowed under the sentence imposed by the court.

Truth-in-Sentencing grant funds will be allocated to each eligible state on the basis of its share of the average annual number of Part 1 violent crimes for the preceding 3 years, as reported to and published by the FBI for all eligible states. No state may receive more than 25 percent of the total amount available for Truth-in-Sentencing.

Exception for Geriatric Prisoners and Prisoners with Medical Conditions

The Governor of the state may allow for the early release of:

• A geriatric prisoner--an older person, as defined by the state, for whom an individual assessment has been made that he or she no longer poses a threat to the public.
  
  
• A prisoner whose medical condition precludes the prisoner from posing a threat to the public, but only after a public hearing in which representatives of the public and the prisoner's victim(s) have had an opportunity to be heard regarding a proposed release.

Demonstrated Ability to Operate Facilities

Each applicant state must demonstrate its ability to fully support, operate, and maintain correctional facilities constructed with the grant funds in the form of a certification from the Governor that the state will use the grant funds to build or expand correctional facilities and intends to complete and operate such facilities. The applicant

must also indicate that if grant funds will be awarded to units of local government, it will require a similar certification from the authorized official of the local jurisdiction that will receive the funds.

Recognition of the Rights of Crime Victims

To be eligible to receive a grant, an applicant state is required to provide an assurance that it has implemented or will implement by October 26, 1997, policies that provide for the rights and needs of crime victims.

States are not required to adopt a mandated set of victims' rights measures to comply with this provision, but the adoption by a state of measures that are comparable to or exceed those applied in federal proceedings will be deemed sufficient compliance for funding eligibility. If the state has not adopted victims' rights measures that are comparable to or exceed federal law in these areas, the adequacy of compliance will be determined on a case-by-case basis.

Drug Testing, Intervention, and Sanctions Program

The FY 1997 Appropriations Act included a new provision that requires the states to implement a program of drug testing, intervention, and sanctions for offenders under corrections supervision. The provision does not affect the application requirement for FY 1997 funds. Beginning in FY 1999, and thereafter, no funds shall be available to a state for VOI/TIS unless, not later than September 1, 1998, such state has implemented a program of controlled substance testing and intervention for appropriate categories of convicted offenders during periods of incarceration and subsequent criminal justice supervision, with sanctions including denial or revocation of release for positive controlled substance tests.

Reporting of Inmate Deaths

Most state correctional agencies provide annual reports of general information on prison inmate deaths to OJP’s Bureau of Justice Statistics (BJS) through the Census of State and Federal Adult Correctional Facilities. The Census collects aggregate information on admissions to and releases from prisons, including: deaths from illnesses/natural causes (excluding AIDS), AIDS, suicides, accidental injury to self, death caused by another person, executions, and “unspecified causes.” For purposes of the VOI/TIS Grant Program, states are required to provide the information on inmate deaths in the annual BJS Census of State and Federal Adult Correctional Facilities.

Juvenile Facilities

Grant funds may be used to build or expand correctional facilities to increase bed capacity for violent juvenile offenders. In addition, if a state certifies that exigent circumstances exist that require the state to expend funds to build or expand facilities to confine juvenile offenders other than juvenile offenders adjudicated delinquent for an act which, if committed by an adult would be a Part 1 violent crime, it may use grant funds to build or expand juvenile correctional facilities, including pretrial detention facilities and boot camps to increase capacity for the confinement of such nonviolent juvenile offenders, as defined by the Crime Act. Exigent circumstances may include an increase in juvenile violent crime prosecutions or overcrowding of juvenile correctional facilities.

Match Requirement

The Federal share of a grant-funded project may not exceed 90 percent of the total costs of the project. The 10 percent matching funds must be in the form of cash match. Any formula grant funds used to administer the program are also subject to the same match requirements.¹⁵ The matching funds must be provided on a project by project basis, within the grant project period.

Supplanting Prohibition

Federal funds must be used to supplement existing funds for program activities and may not replace (supplant) non-Federal funds which have been appropriated for the same purpose.

Reporting Requirements

Grant recipients must submit:

• Quarterly Financial Status Reports within 45 days following the end of each calendar quarter. A report must be submitted every quarter the award is active. The final report is due 120 days after the end of the date of the award.
  
  
• Semi-Annual Progress Reports, which provide information of the status of the implementation of the formula grant program. Reports for January through June and July through December of each year are due 30 days following the report period.
  
  
• Individual Project Reports, which provide information on subgrant/projects and should be submitted following each subaward or allocation of funds for a specific project.

¹⁴ When a state's Truth-in-Sentencing laws do not require all categories (e.g., aggravated assault) of Part 1 violent crime offenders to serve 85 percent of the sentence imposed, the state can qualify for TIS funds if the average sentence for all Part 1 violent offenders is not less than 85 percent of the sentence imposed.

¹⁵ States may use up to 3 percent of the total formula grant award for costs associated with administration of the program.

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