Constraint Based Innovation in Compliance Service
““I don’t think outside of the box, I think of what I can do with the box!””
When it comes to creative thinking, you may have heard the phrase, “just think out of the box.” Thinking outside the box means to apply different solutions created from a fresh perspective.
However, budgets and staffing can limit just how far outside the box you can reach. There are options available related to technology and compliance improvement. But unless you can afford to purchase that technology those types of solutions may remain elusive. Even with the right technology it takes talent to make a project go. If you don’t have the right kind of staffing on board, you might not be able to launch the solution.
You may need to look inside the box. This doesn’t mean improvements aren’t possible. Inside the box thinking looks at overcoming everyday obstacles while keeping constraints in mind to make your work, work better.
The traditional approach to helping customers with compliance is the same. Judge’s order court fines. Customers need help in satisfying the payment obligation. Clerks provide options to pay which include time monitored payment plans. You may not be able to fully automate payment plans but there are best practice considerations you can apply that will achieve better outcomes.
1- Build a here to help attitude
The Clerks fundamental requirement for compliance is to collect court ordered fines & costs. At times this seems intimidating because you are asking people to pay who have limited means to do so. It can’t be avoided. Judges have ordered legally required payment sanctions. Clerks are required to apply all reasonable means to collect these sanctions. See Florida Statute 938.30 (9) .
Instead of waiting for customer payments to potentially come in, compliance clerks should proactively work to educate customers. While it is the customer’s responsibility to pay court ordered fines, Clerks have an opportunity and obligation to simplify the process to ensure better results. Compliance assistance must provide a clearly reviewed plan that includes available options and customer requirements. Customers must own the obligation to prevent potential payment failure actions and the Clerk is the best resource to assist with payment plan progress.
2- Start compliance conversations at the earliest point possible
Customer service for compliance starts immediately after a judge’s order. The sooner a customer conversation begins increases odds for successful enrollment into a payment plan with agreed upon repayment terms. Prior to implementing early compliance enrollment, go visit your court judges to let them know the purpose of compliance service and the need for their assistance in directing customers to clerks immediately following sentencings.
3- Understand & educate compliance relationship roles
It’s important to know who does what and when. Successful compliance service relies on trained staff to provide well-timed service using established procedures. This requires collaboration from the courtroom to the back office. Clerks must also realize who effects outcomes outside of their office. This includes judges, attorneys, probation officers, court security, and most importantly customers. Remind court team members of the importance of compliance, how they can positively contribute to better outcomes, and how that can benefit their compliance team.
4- Overcome fear of negotiating
Negotiations take place every day, just about everywhere. We negotiate when to start and when to stop. We negotiate the amount to be delivered and at what time it should arrive. Most importantly price is negotiated.
Compliance balances can be negotiated by clerks. Florida Statute 938.30 (9) states in part, “The clerk of the court shall compromise, settle, or otherwise dispose of any debts or liens imposed and collected…” What prevents more offices from negotiating payments?
Fear of overstepping the judge’s order
Judges order fines and some offices are reluctant to negotiate balances that impact that sentence. As described in Florida Statutes the authority exists for clerks. Court fines are not paid in full for all sentenced cases. The performance measure for criminal case types in county court is 40%. This a performance expectation. That means 60% goes unpaid. Negotiation on unpaid fines provides an opportunity for better collections while also working to close customer obligations.
Lack of knowledge about the process
Clerks look for a consistent method for negotiating. When should negotiating begin? What cases and customers should be involved? What are the limits for reducing a fine balance? There are multiple options available to negotiate balances including an approach based on how old and how much the assessment is due on the unpaid balance. Here is a negotiation guideline sample currently used in a Clerk’s compliance office:
A standardized approach to negotiating provides clerks with consistent guidelines that simplifies the process.
Creating incentives for compliance is possible and can be accomplished through negotiating. This is also an important tool for existing payment agreements. Instead of sending payment plans right to collections try negotiating a smaller payment or delayed due date. By working out a negotiated payment plan it avoids enforcement tasks for collection referrals and failure to pay driver’s license suspensions. A concentrated effort of negotiating payment plans creates a win/win scenario for your customers and for your office.
1- Observe, Analyze, Adjust for better outcomes
Once a program has been established it doesn’t close the book on your everyday approach to compliance service. It’s important to watch how the work is performed and analyze results. Pay attention to the participation of customers in the payment plan service. Timings and function can be adjusted as needed. Evaluate progress, reaffirm good results, and adjust to make better ones. Don’t let the program drift. Talk with your compliance team and look at the numbers for payment plan volume, payments received, successful repayment, and past due payments in plans.
Within your operational constraints what can be done to achieve better outcomes? Asking creates possibilities for improvements. Thinking inside the box provides workable solution possibilities. Focus on what is possible with your existing operation. Progress begins when you move the program forward. Take the steps to put actions behind ideas and realize success.
Don Murphy is the Principal and Senior Consultant for Compliance Improvement Services (CIS) which provides consulting and training for courts and local government. He is a Fellow with the National Center for State Courts and has over 25 years of court administration experience.
Don has spoken about improving practices in compliance and collections at events for a number of court associations, including the Florida Court Clerks and Comptrollers, the Florida Clerks of Court Operations Corporation, and the Georgia Council of Court Administrators.