"This project was supported by grant No. 95-MU-GX-0002 awarded by the Office for Victims of Crime, Office of Justice Programs, U.S.

Department of Justice. The Assistant Attorney General, Office of Justice Programs, coordinates the activities of the following program offices

and bureaus: Bureau of Justice Assistance, Bureau of Justice Statistics, National Institute of Justice, Office of Juvenile Justice and Delinquency

Prevention, and Office for Victims of Crime. Points of view in this document are those of the author and do not necessarily represent the official

position or policies of the U.S. Department of Justice."
1

PROGRAM STANDARDS An Introduction 

Crime victim compensation programs share a common goal of These standards are intended as a guide to compensation programs

assisting as many eligible victims as possible through fair, consistent, striving to provide better service to victims. We hope that they are

and timely application processing and decision making. While the useful as working tools for all compensation programs, and that they

programs exhibit a wide diversity of size and structure, and command will be adaptable to the unique circumstances in each state. We also

greatly varying amounts of resources, the basic work of the programs hope that others who may read this document will gain a better

and their general operational characteristics are quite similar. understanding of the range and complexity of the work compensation

It should be possible, then, to set forth common goals and objec- sufficient resources to accomplish their important and difficult mission.

tives that all programs would seek to achieve. It also should be possible

to describe various strategies that programs could find useful in

achieving those goals and objectives, and to establish some measurements that could allow programs to evaluate their progress.

While the National Association of Crime Victim Compensation

Boards has always worked to help states improve the administration of

their programs, setting program standards is a new effort. We believe

that this initiative to provide states with goals to strive toward, and with

strategies to reach their goals, is a continuation and refinement of what

we do continuously through our conferences, our publications, and our

information and resource network. We hope that the standards provide

program leaders and staff with a clear picture of what many programs

are already doing to fulfill their missions. The standards should show

what is possible, and serve as benchmarks for programs that want to

gauge their efforts and chart their progress.

These program standards have been developed with grant support

from the Office for Victims of Crime (OVC), Office of Justice Programs, U.S. Department of Justice, and through the work of an

Advisory Committee consisting of representatives of compensation

programs, victim service programs, and OVC. These individuals have

combined their expertise and experience to think creatively about what

every program could be doing to improve performance, productivity,

and service. We particularly want to thank the more than 40 allied

professionals in victim services who have provided valuable input to

this process. These standards also are evidence of OVC's continuing

commitment to enhancing services for crime victims by promoting

progressive practices of compensation and assistance programs.

We have pursued this project by dividing the work of compensation programs into these four general categories:

o Outreach, training, and communication;

o Claims processing;

o Decision making; and

o Financial planning.

Within each of these categories, we articulate a broad general goal

that serves to provide an overall direction. Then, several more specific

objectives are defined, achievement of which is essential in reaching the

overall goal. Finally, we describe a number of strategies that states can

pursue to achieve their specific objectives. 

The strategies are divided into two categories, basic and advanced.

The basic strategies are those that every compensation program should

make every effort to implement. Given enough staff and resources, each

program should be able to use each of the basic strategies to achieve the

designated objectives and goals. If a program doesn't have means to

implement these basic strategies, obtaining those resources should be a

high priority. The advanced strategies are strongly recommended for

consideration by all programs, though their full implementation may

require that programs obtain additional resources and establish new

priorities.

programs perform, as well as a heightened sense of their need for
Program Standards: An Introduction

2

The nation's compensation programs, over the years, have taken

action in many positive ways to advance the recovery of victims. These

Program Standards will aid in this continuing effort to provide better

financial assistance to crime victims. The Association stands ready to

assist programs in implementing the standards, drawing on the vast

experience of its members and their common desire to help each other

progress. 

We are grateful to the Office for Victims of Crime for making this

project possible, and for its ongoing support.
PROJECT ADVISORS

Victim Compensation Programs Victim Assistance Programs

Marianne F. McManus, Special Assistant to Arneda Heath, Director

 the Bureau Director Safeplace, Florence, Alabama

Victims Compensation Division

Bureau of Victim Services, Pennsylvania James Thomas, Victim Service Officer

Ted Boughton, Deputy Executive Officer Ann Hutchison, Austin Police Dept.

California Victims of Crime Program Lou Lacey, Director Amy Wong Mok, Rape Crisis Center

Kelly Brodie, Deputy Administrator Violence

Crime Victim Assistance Programs Harold Boscovich, Director Judy Allen, Travis County District Attorney's

Iowa Department of Justice Victim Assistance Program, District Attorney, Office,

Ginger Bankston Bailey, Director James Thomas, Parents of Murdered

Crime Victims Reparations Board Debbie Deem, Victim/Witness Coordinator Children

Arkansas Office of the Attorney General U.S. Attorney's Office, N. Dist., California Jill Hargrove, Bell County District Attorney's

Jacob Toporek, Chairman Herman Millholland, Director Bernie Rodriguez, Texas Crime Victims

New Jersey Victims of Violent Crimes Victim Witness Program Clearinghouse

 Compensation Board Los Angeles District Attorney's Office Cecelia McKenzie, Texas Department of

Ann DelNegro, Executive Director Barbara Paradiso, Director B.J. Lashley, MADD

Delaware Violent Crimes Compensation Safehouse, Boulder, Colorado Gail Rice, Center for Battered Women 

 Board

Judith E. Beals, Chief Victim Services Unit, Department of Justice,

Victim Compensation and Assistance Delaware

Massachusetts Office of the Attorney General

Sandra Morrison, Hearing Officer Delaware Domestic Violence Coordinating

Mississippi Crime Victim Compensation Council

 Program

Miles Durfey, Clerk Chatham County Victim Assistance, Georgia

Court of Claims of Ohio

Victims of Crime Compensation Program Dennis Dunn, Director

Peggy Gordon, Coordinator Department of the Prosecuting Attorney,

Crime Victim Compensation Program Honolulu, Hawaii

18th Judicial District, Colorado

Estra Quilausing, Administrator Rape Victim Advocacy Program, Iowa City,

Hawaii Criminal Injuries Compensation Iowa

 Commission

Gwendolyn Allen, Director Illinois, Police Department

Indiana Violent Crime Compensation Fund

Larry Tackman, Director Victim Assistance Program, Chicago Housing

New Mexico Crime Victims Reparations Authority

 Board

Gary Eichelberger, Director Victim Witness Assistance Program, Essex

Victim and Justice Services, North Carolina County District Attorney, Massachusetts

Richard Anderson, Director Paula Russell, Director

Crime Victims Compensation Division Victim Assistance Program, Poplarville,

Office of the Attorney General, Texas Mississippi

Ruth Smith, Administrator Elaine O'Neal, Coordinator

Criminal Victims Compensation Commission Victim Assistance, Union Co. Prosecutor's 

U.S. Virgin Islands Office, Elizabeth, New Jersey

Anita A. Drummond, former Executive

 Director, Alabama Crime Victims

 Compensation Commission

Barbour County District Attorney, Alabama Focus Group, Austin, Texas

Rape Response, Birmingham, Alabama D'an Anders, Texas Council on Family

 Alameda County, California Nell Myers, victim advocate

Lori Sitler, Director

Raina Fishbane

Helen Smith, Director

Victim/Witness Assistance Division,

Christie Munson, Director

Deborah Sundblad, Director, Victim Services Evanston,

Barbara Thrasher, Manager

Michaelene McCann, Director

Susan Bruett, Coordinator

Ocean Co. Prosecutor's Office Victim

 Witness, Toms River, New Jersey

Catherine Smith

North Carolina Victim Assistance Network 

Jeanette Adkins, Director

Victim Witness Division, Greene County

 Prosecutor's Office, Xenia, Ohio

Karylinn Huntington Echols, Director

Marion County Victim Assistance, Salem,

 Oregon

Carol Lavery, Executive Director

Victim Resource Center, Wilkes Barre,

 Pennsylvania

Bruce Edwards, Victim/Witness Coordinator

U.S. Attorney's Office, Wyoming

 Office (Belton)

 Health

National Organizations

Trudy Gregory, Director, Victim Services

National Victim Center, Arlington, Virginia

Marlene Young, Executive Director

National Organization for Victim Assistance

Cheryl Guidry Tyiska, Director, Victim

 Services, National Organization for Victim

 Assistance

Janice Lord, Director, National Victim 

 Services, Mothers Against Drunk Driving

Dan Eddy, Executive Director, National

 Association of Crime Victim Compensation

 Boards

Office for Victims of Crime

Jackie McCann Cleland, Director, State

 Compensation and Assistance Division

Jeffrey Kerr, Program Specialist

Sue Shriner, Senior Program Specialist
3

GOAL #1

Effective Outreach, Training

and Communication

Introduction

An effective outreach strategy is crucial in helping as many victims

as possible know about their opportunities to seek financial assistance.

If victims don't know about compensation, they can't obtain it. For an

individual victim, this lack of knowledge can be tragic, since it can

result in unnecessary financial hardship or an inability to obtain needed

care. Programs have a clear obligation to "get the word out" about their

programs to as many victims and their survivors as they can.

Yet there may be no other activity for which it is more difficult for

programs to allocate time and resources. Many programs are budgeted

only for processing and determining applications; fewer than a handful

of states have staff devoted primarily to outreach and training activities.

Most programs must fit outreach and training initiatives in and around

claims processing work, or halt them entirely when the volume of

applications demands attention. Thus, in evaluating the ability of

programs to undertake the strategies suggested for achieving outreach

and training goals, available resources are an important consideration.

And it is imperative for programs to seek and maintain sufficient

resources to ensure that they are able to do effective outreach and

training.

Programs should be aware that the more effective their outreach

strategies are, the greater the number of applications that may be

received. This may cause temporary difficulties if a program doesn't

have the staff to process an increased volume of claims, or lacks the

money to pay more applicants. This is not to suggest that programs

should curtail or abandon outreach activities; but programs also must

work to ensure that they meet the greater demands on their processing

and payment resources. It is important to note, however, that good

information and training often can result in better applications--

applications that are more complete and accurate, and that involve

fewer ineligible claimants or expenses. As a result, processing and

decision making on individual claims actually may become easier for

the program.

Within the overall goal for this category of activity, three

objectives are defined, each covering a different, though interrelated,

factor:

1. Providing information and training to victims and personnel,

such as police and victim advocates, who work with victims. This

objective encompasses written materials, such as brochures, and training

to ensure that those who work with victims understand the program.

Direct outreach through public service announcements and communitygroup appearances is also encompassed. As noted above, providing

good information and training can have a significant positive impact on

processing and decision making.

2. Fostering mutual understanding with victim service groups

and criminal justice personnel. It needs to be emphasized that

building "constituent relations" with victim assistance groups and

service programs may be the most important outreach activity in which

a program can engage. It is essential that representatives of victims and

those who serve them in domestic violence shelters, rape crisis

programs, and other service organizations have a thorough

understanding of each compensation program's work, including its

legislative directives and its resource limitations. The "victims

community" must have a real sense that the compensation program is

"one of us" rather than an outside and alien bureaucracy.

3. Communicating effectively and sensitively. This subject area

covers the forms, letters and written materials used by the program, as

well as oral communication by phone and in person between victims

and program staff. The emphasis here is on clear, easy-to-read and/or

understand communication, appropriately sensitive to the emotional

trauma victims may suffer.
GOAL 1: Outreach, Training, and Communication

4

Each of the objectives is important in its own right, but all are

interconnected. A program that does a good job in pursuing effective

strategies to achieve these objectives will create a climate in which it

can interact and function effectively with victims, victim advocates, and

criminal justice personnel. Effective outreach, training and

communication will serve a program well in achieving its overall

mission.
5

GOAL #1

Effective Outreach, Training

and Communication

Goal: To inform as many victims as possible about compensation opportunities available to them, and

to communicate effectively and sensitively with victims and groups that work with them or on their

behalf.

Objectives

1. To increase understanding and awareness of the purpose and availability of crime victim compensation by providing

information to crime victims and the general public and by offering training to public and private agencies and

organizations serving crime victims.

2. To foster mutual understanding between compensation programs and public and private agencies, organizations, and

individuals that work with victims, such as victim service groups, police, prosecutors, other criminal justice officials,

medical providers, and others.

3. To communicate effectively, sensitively, and in a timely manner with victims through applications, correspondence, and

telephone and in-person contact.
GOAL 1: Outreach, Training, and Communication

6

STRATEGIES

Objective 1: To increase understanding and awareness of the purpose and availability of crime victim compensation

by providing information to crime victims and the general public and by offering training to public and private agencies

and organizations serving crime victims.

Basic Strategies

a. Provide training opportunities to groups and individuals that

routinely come in contact with victims and can inform them about

compensation. This training can be offered at conferences or gatherings

either sponsored by the compensation program or by one or more of the

targeted groups. Training sessions for individual victim assistance

programs, police departments, and other groups and agencies are also

an option. Among the most important groups for which training should

be provided include the following:

o Victim service programs:

+ prosecutor-based victim/witness

+ police-based victim/witness

+ domestic violence

+ rape crisis

+ child victim

+ elderly victim

+ drunk driving victim

+ statewide coalitions and networks

+ other "grassroots" victim organizations

o Police officers or criminal investigators at local, state, federal,

military and tribal levels

o Prosecutors, including U.S. Attorneys and military and tribal

prosecutors

b. Develop and disseminate a brochure describing eligibility requirements, benefits, and procedures.

c. Develop and disseminate a poster publicizing the program's purpose

and a number to call for information.

d. Review outreach materials and training efforts on an annual basis to

improve their effectiveness.

e. When resources are extremely limited for outreach activities,

programs should consider focusing efforts on unserved or underserved

groups, such as minorities or people in geographically isolated areas,

including Indian reservations.

f. Make contact with the state's administrator for VOCA assistance

funds and communicate about how best to provide training and

information to VOCA assistance subgrantees in the state.

g. Maintain communication with U.S. Attorneys' victim/witness

coordinators in your state.

Advanced Strategies

a. Provide program information and/or training to as many interested

groups as possible that can help in increasing awareness and understanding of the compensation program. Among the groups and

individuals that could be considered for outreach activities include the

following:

o Judges and court officials, including federal,

military and tribal systems

o Correctional officials

o Probation and parole officers

o Funeral directors

o Hospital and medical personnel

o Mental health professionals

o Governmental child advocacy agencies

o Community organizations, especially in

underserved areas

o Schools and colleges (target appropriate

disciplines such as social work, criminal

justice)

o Clergy

o Lawyers (bar association, law firms, law

schools)

o Collateral source groups, such as insurance

companies and Medicaid administrators

o Large-scale employers

o Key legislators and/or their staffs

b. Develop and disseminate the following to appropriate groups and

individuals:

o Patrol officers' cards

o Training manual

o Informational materials for inclusion in

training conducted by police and victim programs

o Merchandise items publicizing the program's name, address and

phone number, such as key rings, pens, shirts, calendars

c. Maintain regular written communication with key programs, agencies

and individuals, through the following means:

o Newsletter (quarterly is recommended)

o Correspondence when rules, procedures, benefits change

d. Emphasize communication with individual victim service programs,

such as domestic violence shelters, rape crisis programs, and child

victim programs, including VOCA-funded programs, through correspondence, phone calls, and personal visits to update key individuals

within the programs on changes in benefits or procedures.

e. Develop and broadcast public service announcements (PSAs) over

commercial and public radio and TV stations, and on military networks.
GOAL 1: Outreach, Training, and Communication

7

f. Contact radio and television stations to request that programs and

interviews focus on the compensation program.

g. Issue press releases on newsworthy information about the program.

h. Analyze data on which victimization types and geographic areas are

applying less frequently than others, and target those "underserved"

groups or areas for more outreach activities.

i. Use emerging technologies, such as the Internet and "Web," to provide

information to interested parties.

j. Contact victims directly to offer assistance, if appropriate. For

example, use police reports or news accounts to identify victims and to

contact them directly about compensation opportunities.

k. Establish professional liaisons with staff of state legislators and keep

them abreast of changing program needs and public demand.

Objective 2: To foster mutual understanding between compensation programs and public and private agencies,

organizations, and individuals that work with victims, such as victim service groups, police, prosecutors, other criminal

justice officials, medical providers, and others.

Basic Strategies

a. Establish a formal mechanism for communicating with and gaining

the input of key programs, groups, coalitions, officials and individuals.

A council, committee or other advisory body that meets on at least an

annual basis with compensation program management to provide advice

and input on policies, procedures, and forms is recommended.

b. Identify and contact representatives of major coalitions or groups

representing victims or providing victims with services, to discuss

program changes and progress, and to gain input. Contact should be

made annually or on an as-needed basis.

c. As feasible, participate in conferences of the following groups,

officials, and professions:

o Victim service programs, advocacy groups, and "grassroots"

organizations

o Police and sheriffs

o Judges

o Prosecutors

o Funeral directors

o Hospital officials

o Mental health professionals

d. Sponsor or participate in Victims Rights Week activities.

e. Provide regular (at least annual) training to compensation staff,

management, and decision makers on issues relating to victimization,

such as domestic violence, child abuse, and sex assault, and on the

workings of the criminal justice system.

Advanced Strategies

a. Hold a public hearing before making any major rule or policy

change.

b. Survey victim service groups and providers of services to victims to

assess their experience and relative satisfaction with the compensation

program's performance.

c. Develop and distribute to victim service programs a "claimant

handbook" to provide applicants with more detailed information about

benefits covered, rate limits, procedures for preauthorization to incur an

expense, emergency awards, supplementary payments, appeals, etc.

This could be modeled on similar materials provided by insurance

companies to their insured.

d. Develop a recognition program to acknowledge and honor those

individuals in the victim-service community and criminal justice system

who make significant contributions to the welfare of victims. 
GOAL 1: Outreach, Training, and Communication

8

This could consist of awards presented at an annual ceremony during

Victims' Rights Week.

e. Encourage each staff person to make at least one annual site visit to

a domestic violence shelter, rape crisis program, or other victim service

program. Encourage staff to perform volunteer work for victim service

groups.

f. Develop or obtain directories of victim service programs for compensation staff to use in referring victims to other sources of assistance. Be

sure the directories are up to date.

g. Notify appropriate local officials and groups of the amounts paid to

and on behalf of victims in their communities by the compensation

program.

h. (for programs with Boards) Invite representatives of victim coalitions

and service programs to attend Board meetings, and move the meetings

around the state so that more people have an opportunity to attend.

Objective 3: To communicate effectively, sensitively, and in a timely manner with victims through applications,

correspondence, and telephone and in-person contact.

Basic Strategies

a. Develop an application that is easy to read and understand, and that

seeks no more than the amount of information necessary to evaluate the

applicant's eligibility, determine the benefits that should be paid, provide

statistical information (for state and federal reporting), and facilitate

seeking restitution from the perpetrator. (Writing for a 4th-grade

reading level is a standard recommended for most communication.)

b. Review application on a regular basis to ensure its effectiveness, and

develop a process to seek input from victims and their representatives

on the content of the form.

c. Develop forms and letters for use with victims, providers, police, and

employers that are effective 

in communicating information, using simple words and specific

directions.

d. Provide annual and ongoing training to compensation staff on

victimization and crisis reactions, so that staff can communicate

effectively with victims. Training also should include information on

other available victim services and resources, so that compensation staff

can help make referrals when appropriate. 

e. Establish a means to communicate with individuals who are hearing

or sight impaired to ensure compliance with Americans With Disabilities Act (ADA) requirements.

Advanced Strategies

a. Activate a toll-free telephone number for victims and providers to

call.

b. Develop a means, such as a "client satisfaction survey," to gain input

from at least a sampling of victims on their experience with the program

and their recommendations for improvement.

c. Establish a means to communicate with non-English-speaking

applicants by telephone. At least one long-distance company (AT&T)

now provides translators on demand for a small fee.

d. Seek professional expertise to ensure that applications are easy to

read and understand.

e. Establish a means to give providers quick information on the status

of applicants to whom they have rendered services.
GOAL 1: Outreach, Training, and Communication

9

f. Develop a "claimant handbook" to provide applicants with more

detailed information about benefits covered, rate limits, procedures for

preauthorization to incur an expense, emergency awards, supplementary

payments, appeals, etc. This could be modeled on similar materials

provided by insurance companies to their insured.

g. As appropriate in individual cases, refer victims to victim assistance

programs and to other sources of payment and relief, such as Medicaid

and Aid to Families With Dependent Children (AFDC) for which the

victim is or may become eligible.
11

GOAL #2

Expeditious and Accurate

Claims Processing

Introduction

A primary performance indicator for any compensation program

is the speed with which it processes applications. Victims, victim

advocates, service providers, legislators, and the general public first

want to know how quickly victims receive financial assistance.

It is therefore crucial that programs strive continually to improve

their processing speed. But accuracy in analyzing applications is also

vital, since state governments have mandated compensation programs

to pay only those applicants that are eligible and those expenses that are

compensable under statutory provisions. Eligible victims need to be

paid promptly, but victims and expenses that do not fall within statutory

requirements must be denied, also as quickly as a fair and full review

of applications can be performed.

Clearly, programs must learn to balance speed and quality. The

objectives and strategies described in this section are intended to help

states do this.

Sufficient staff and resources to perform work and pay eligible

applicants are extremely important factors in how well a program performs. Shortages in staff and funding result directly in delays in

processing and payment. Delays can result in backlogs, in which more

and more victims are forced to wait for financial assistance. Every

program should seek an optimal number of personnel that will help

ensure fast and accurate work on applications, and executive and

legislative decision makers in state governments need to be aware that

compensation programs need financial support to provide good service.

Yet every program, regardless of its staffing constraints, can and

should do many things to improve its processing speed and efficiency.

Each program can analyze its work flow and seek to eliminate duplicative and unnecessary steps. Every program should explore automation

and other technological means to make its employees as productive as

possible. Every manager has a responsibility to motivate and supervise

staff. Tools like policy and procedure manuals and management reports

can be useful to every program. Each program, no matter what its

resources, can take important steps to improve productivity and

performance, and the objectives and strategies in this section should

serve as a guide in this effort.

Some of the common stumbling blocks to smooth processing, such

as incomplete applications and slow police and provider response to

requests for information, also can be addressed directly by programs.

Clear and simple instructions on forms, training for victim advocates

who help victims apply, and continuing efforts to impress upon police

and providers the importance of quick turnaround can help tremendously in removing obstacles to efficiency. (Other sections of this

document discuss strategies to accomplish these goals.)

The objectives in this section are divided into these general areas:

processes and work flow; training and management; and issues relating

to accuracy and consistency in processing applications. Attention to

each of these objectives, and consideration of various strategies by

which they can be addressed, should help every program to be as

productive as possible, while maintaining a high quality of claims

analysis.
13

GOAL #2 Expeditious and Accurate Claims Processing

Goal: To process applications as expeditiously, accurately, and efficiently as possible so that

eligible victims may receive financial assistance promptly and in accordance with the

program's mandates and requirements.

Objectives

1. To establish and improve processes that ensure the highest efficiency and productivity in processing applications.

2. To train and manage staff to ensure high quality in processing applications.

3. To ensure that applications are processed consistently and in accordance with applicable statutes and rules.
GOAL 2: Claims Processing

14

STRATEGIES

Objective 1: To establish and improve processes that ensure the highest efficiency and productivity in processing

applications.

Basic Strategies

a. Establish a goal of 90 - 150 calendar days for (1) notifying applicants

of their eligibility and (2) making payment on the first expenses that

have been submitted, counting from the time the application is received.

This goal should be achieved for a majority of applications. [Programs

in which applications are processed and decided within a court-based

system may establish processing goals longer than this time frame, since

laws and associated court rules may allow parties a certain number of

days within which to file their documents. These programs should

process their cases as quickly as possible within the parameters of the

particular court system.]

b. Study work flow and analyze how process can be improved by

eliminating wasteful actions and enhancing productive steps.

c. Assess procedures on a regular basis to maintain productivity. Be

sure to seek input from claims-processing staff on which procedures are

working and which should be changed.

d. Take advantage of available technology (computers and automated

application-tracking system) to the extent possible to speed and facilitate

processing.

e. Acknowledge receipt of each application with a letter to the applicant

as soon after receiving the application as possible. Acknowledgement

within 10 working days is recommended.

f. Make prompt requests of law enforcement, medical and mental health

providers, employers, and others for information necessary to analyzing

the application. Ask for responses by a certain date or at least as soon

as possible. Develop procedures for following up with procrastinators.

g. Develop management tools and reports to measure accurately how

quickly applications are being processed by individual staff and the program as a whole. A "monthly claims activity" report showing total

claims received and determined, with a breakdown on each staff

member's progress on assigned applications, is one recommended monitoring tool.

h. Set and achieve a goal of processing the same number of applications

in a 12-month period as are received during that period. In other words,

if a program receives 1,000 applications in one year, it should try to

process at least 1,000 applications during that same year. Status should

be monitored monthly.

i. If facing a backlog, develop a strategy to reduce and eliminate the

backlog within a reasonable time frame. One recommended strategy is

to define the backlog as all applications currently pending, and to

process and eliminate those backlogged applications at the same time as

new applications are processed. By this means, the program establishes

a definite and non-increasing number of backlogged claims that can

gradually be reduced, at the same time that current applications are

being handled at the rate they are being received.

Advanced Strategies

a. Acknowledge receipt of each application with a letter to the applicant

within 2 or 3 working days of receiving the application.

b. Develop ways to expedite the processing of applications involving

emergency needs. If feasible, make use of law enforcement or

prosecutor-based advocates to "certify" emergency need.

c. Develop ways to expedite applications requiring preauthorization for

services.

d. Develop ways to expedite the processing of applications that require

little analysis.

e. Set and achieve a goal of less than 90 calendar days for making a

decision on the eligibility of each applicant and the expenses that should

be paid that applicant, counting from the time that an application is

received until the decision is made to deny or pay the first expenses.

f. Set a goal for the time within which an application should be analyzed

fully and a recommendation of eligibility is made, counting from the

day the police or crime report is received. This is a goal separate and

in addition to the goal for processing an application from the time the

application is received; it focuses on that portion of processing that

involves the analysis of all the information once it has been received,

rather than the overall time it may take to process an application.
GOAL 2: Claims Processing

15

g. Develop expertise among some staff members to handle specific types

of victims, such as seniors, non-English speakers, and child victims.

h. Use an outside consultant to evaluate processes and productivity.

i. Seek direct linkages with police departments and state agencies, such

as Medicaid administrators, Social Security, and employment services,

to obtain on-line access to necessary information.

j. If calls from applicants and service providers regarding status of

applications and payments is interfering significantly with processing

efficiency, develop procedures to limit interruptions, such as assigning

one staff person (or a small group in larger programs) to respond to

calls; responding to status calls only between certain designated hours;

or developing a means for service providers to gain on-line access to

status information.

Objective 2: To train and manage staff to ensure high quality in processing applications.

Basic Strategies

a. Develop job descriptions, and update them as necessary.

b. Orient and train staff to ensure understanding of the following:

o Program mission, mandates, and goals

o Eligibility requirements

o Benefits

o Process for analyzing applications

o Collateral resources

o Basic concepts and terms used by medical and mental health

providers

o Basic issues relating to victimization, and service programs

available to assist victims

o Criminal justice process

c. Train staff to communicate with and interact with victims and service

providers in a sensitive, professional way that facilitates information

exchange and promotes the purposes and image of the program.

d. Conduct annual staff performance evaluations.

e. Recognize and reward superior achievement of individual staff

members.

f. Send staff to state conferences relating to victim issues, and to

regional and national conferences relating specifically to compensation,

as resources allow.

Advanced Strategies

a. Provide training to staff on time-management techniques.

b. Consider rotating staff through different jobs to maintain motivation

and promote personal development of staff.

c. Establish performance measures for all processing activities, and

provide data to encourage staff to conduct self-examination of performance and compare productivity to that of fellow employees.

d. Provide management training to managers to assist in managing staff

and directing program.

e. Develop written training materials for each staff person to aid in

orientation and training.
GOAL 2: Claims Processing

16

Objective 3: To ensure that applications are processed consistently and in accordance with applicable statutes and rules.

Basic Strategies

a. Develop and maintain a policy and procedure manual.

b. Establish ways that staff members can consult with each other and

management when they face problems in processing applications. a. Develop and maintain an index of decisions on applications, with fact

c. Convene regular meetings of staff to discuss changes in policies and cases that set precedent or are worth consulting as a guide to future

procedures, or problems in performing work. decisions.

d. Develop a checklist of work that needs to be accomplished in b. Develop process of peer review to allow staff the opportunity to

evaluating each application, such as evaluating eligibility requirements review decision making of other investigators.

and checking collateral resources.

e. Develop a method for reviewing and monitoring staff work in

processing applications, such as a quality review list.

Advanced Strategies

situations, issues, and results. The index could focus on only those
17

GOAL #3

Good Decision Making

Introduction

The paramount goal of a compensation program is to make fair,

consistent, and prompt decisions on all applications. A program's entire

staff, resources, and processes should be focused on this mission, since

ultimately, a program succeeds or fails on the strength of the final

decisions it makes on claims.

Of course, good decision making depends on all that precedes it.

If a program has a good application form, if victims receive assistance

in filling it out, if police reports are substantive, if providers and

employers cooperate in providing information, and if compensation staff

organize, analyze, and present this information to the decision maker in

an accurate, complete, and timely manner, then the probability for a

good decision is enhanced tremendously. But decision making in itself

is a major task, an endeavor requiring skill, knowledge, and experience.

Programs must work conscientiously to improve their ability to decide

claims correctly, according to statute, rule, and appropriate precedent.

What is a good decision? Many definitions might be offered, but

one definition could be the one that follows.

A good decision is one that is: 

o Based on a full understanding of the relevant facts and

circumstances of the case, rather than mere conjecture or

opinion;

o Made by accurately applying the program's statute and rules,

rather than what the decision maker may think the law should

be;

o Fair and free of bias;

o Consistent with prior decisions, but that takes into account

any pertinent distinctions that make the case different from

other similar cases; 

o Faithful to the program's mission to serve victims, as well as

its responsibility to abide by statutory requirements; and

o Rendered as promptly as a full review of the case allows.

The objectives and strategies described in this section are intended

to promote decision making that satisfies the above elements. With

sound decision making, programs afford victims a full opportunity to

have their applications reviewed according to statute and rules, fulfilling

the essential mission of every compensation agency.
19

GOAL #3 Good Decision Making 

Goal: To make fair and consistent decisions on all applications as promptly as possible, in

accordance with statutory requirements and in furtherance of the program's mission to serve

victims.

Objectives

1. To establish processes to promote expeditious and accurate decision making.

2. To notify victims about decisions in an effective and sensitive manner, informing them of their rights to appeal.

3. To afford applicants an opportunity to appeal program decisions, and to handle appeals fairly and expeditiously.
GOAL 3: Decision Making

20

STRATEGIES

Objective 1: To establish processes to promote expeditious and accurate decision making.

Basic Strategies

a. Define various roles of staff, management, and Board (if applicable)

in making decisions, and provide training and information to ensure that

each person fully understands his or her role.

b. Develop and use a written manual of policies and procedures,

defining eligibility and payment criteria.

c. Train Board members or other decision makers on statutory eligibility a. Maintain and make use of index of case decisions. The index would

requirements and benefits. provide, for each case involving significant or recurring issues, a

d. Develop conflict-of-interest policy for decision makers. decision of the program. The index should serve to promote future

e. Develop and use a mechanism for a consistent and sufficient

consideration of each application. A checklist of eligibility issues and b. Make use of an expert on staff or in a decision-making capacity (on

payment considerations is recommended. a Board) to determine complex issues, such as those relating to analysis

f. Develop a mechanism so that decision makers can confer with others

on difficult or complex cases. A regular "case conference" in which c. Develop a mechanism whereby staff and decision makers discuss and

decision makers can talk informally about problems in deciding evaluate processes and performance.

applications is recommended.

g. For Boards:

o Define quorum and rules for proxy voting.

o Develop and follow rules for conducting meetings and hearings.

o Maintain accurate minutes and records of Board meetings that

reflect the full discussion of issues relating to applications and

policies.

Advanced Strategies

synopsis of the facts of the victimization, the issues presented, and the

consistency in decision making, just as judicial decisions do in courts.

of medical or mental health reports.

Objective 2: To notify victims about decisions in an effective and sensitive manner, informing them of their rights to

appeal.

Basic Strategies

a. Develop clear and concise letters and forms to notify victims of

decisions and inform them of their appeal rights and the procedures to

follow. Communication should be geared to 4th-grade reading level.

b. Include the following information regarding denial and payment:

o If denied, the reason for denial, with reference to the statute if

appropriate

o If paid partially, a clear and accurate detailing of expenses paid

and expenses that are not paid, with a clear explanation why

o If paid fully, a clear and accurate detailing of expenses paid

c. Develop a mechanism to enable victims to inquire about the decision

on their application and seek an informal staff review prior to formal

appeal (if such procedure is allowed under state law and rule).

Advanced Strategies

a. Notify victims by phone or in writing prior to a denial (a "pre-denial"

notification) to enable them to provide further information prior to a

final decision.

b. Provide notice of the decision on an application to the victim service

program that helped the 

victim apply, so long as this does not violate the confidentiality interests

of the victim and the data-protection practices of the program.

c. Encourage victim advocates to attend hearings and/or appeals

hearings with their clients.

d. Notify the prosecutor handling the criminal case, and any civil

attorney for the victim, about the decision on the application.

e. Notify providers when an application has been denied. If an applicant

is eligible, but there will be a significant delay in making payment,

notify providers so they will not demand payment from the victim.

Objective 3: To afford applicants an opportunity to appeal program decisions, and to handle appeals fairly and
GOAL 3: Decision Making

21

expeditiously.

Basic Strategies

a. Develop written rules to conduct hearings.

b. Establish clear time frames for submitting appeals, and ensure that

appellants are informed about them.

Advanced Strategies

a. Provide an orientation for the appellant prior to the appeals hearing.

b. Consider requiring decision makers to use checklists and make

written findings of facts, to monitor compliance with statute and rules,

and to assist decision makers and staff in making consistent decisions.

c. Conduct hearings at different locations in the state to make it more

convenient for appellants to attend.

d. Consider making use of telephone or videoconferencing for appeals.
23

GOAL #4

Sound Financial Planning

Introduction

Without sufficient funds to pay eligible victims, programs cannot

achieve their mission. A lack of resources will often cause delays in

paying claimants, and may result in undesirable cutbacks in benefits.

Funding problems also may mean insufficient staff to perform work.

The ultimate consequence of a lack of resources is frustration, both on

the part of victims and the program itself.

The fiscal health of a program is not entirely within the control of

that program. Each program is dependent on its legislature to set

specific offender-fee or assessment levels, or to appropriate funds, for

program operations and payments. (Even Federal funds through

VOCA, while independent of these processes, are calculated on the level

of state payments, and thus are dependent on how much is available to

state programs through state sources.) Programs that rely on offender

fees and assessments don't really know to any precise degree how much

money will be gained from that source each year. Additionally,

programs must rely on others in the courts and correctional systems to

assess and collect the fees.

Neither do programs have much control over the amount of money

they will be asked to pay out in awards to victims each year. While

most programs have a pretty good sense of what they will be obligated

to pay from year to year, a significant degree of unpredictability creeps

into any attempt to make exact projections. If applications are up, more

may have to be paid out; the converse is true if applications decline.

In this uncertain climate, keeping a weather eye out for impending

fiscal storms is imperative. 

Programs need to watch carefully their fiscal stability, and take steps to

maintain sufficient reserves. Programs need to know what options are

available to them in increasing funding or cutting costs well in advance

of any problems that may arise, rather than simply try to react to a crisis

when it happens.

The objectives within this section focus on the following:

o Analyzing revenue and payment trends to stay fully informed and

keep ahead of any potential fiscal problems;

o Maximizing funding through the basic mechanism available to

the program, whether that be offender fees or legislative appropriations, and exploring new sources when possible;

o Recouping payments through effective restitution and subrogation recovery;

o Instituting cost controls (for example, benefit limits, fee schedules, professional review of medical bills), when necessary to

ensure adequate funds for payment of all eligible applications; and

o Administering funds according to sound accounting and management principles.

By attending to each of these objectives, and applying the strategies

described herein, programs should be better able to plan and face the inherent uncertainties that characterize the fiscal situation of every

compensation program.
25

GOAL #4 Sound Financial Planning 

Goal: To ensure that sufficient funds exist for the compensation program to pay all eligible

applicants to the full extent of their compensable costs.

Objectives

1. To gain an accurate picture of the program's fiscal condition, and to develop strategies to operate within fiscal

constraints.

2. To maximize funding for the program, through whatever sources are available.

3. To recover as much of the program's payouts as possible from offenders and other responsible parties, through

restitution, subrogation, and collateral resources.

4. To administer state and federal funds in accordance with all state and federal requirements and sound accounting

principles. 
GOAL 4: Financial Planning

26

STRATEGIES

Objective 1: To gain an accurate picture of the program's fiscal condition, and to develop strategies to operate within

fiscal constraints.

Basic Strategies

a. Develop and use management reports that provide the following:

o Applications received and paid

o Compensable expenses paid, by cost categories

o Funds received, by source

o Funds available currently

o All statistics necessary for VOCA Performance Reports

o Administrative expenditures a. Make use of fee schedules, such as those used by workers

b. Forecast revenues and expenditures annually by source and cost reimbursement levels for individual medical procedures.

categories.

c. Monitor budget monthly for variances. to find duplicate charges, overcharges, and unrelated charges.

d. Develop strategies to boost revenue (see Objective #2) or control c. Contract with private agency to perform quality review of medical

costs to keep program within budget. Only if necessary, consider setting bills to find duplicate charges, overcharges, and unrelated charges.

limits and maximums on specific benefit categories, such as mental

health.

e. Consider use of VOCA 5% administrative funds to enhance program

operations.

Advanced Strategies

compensation agencies or private insurers, to set reasonable

b. Assign professional staff to perform quality review of medical bills

Objective 2: To maximize funding for the program, through whatever sources are available.

Basic Strategies

a. Encourage legislators, with ample justification to obtain their support,

either to:

o Set criminal fees at a level that will ensure sufficient funding; or

o Appropriate the funds needed to meet the program's fiscal needs.

b. Encourage prosecutors, judges, court clerks, probation and parole

officers, corrections officials, and others responsible for seeking,

ordering, and collecting criminal fees and restitution to fulfill those

responsibilities.

Advanced Strategies

a. Develop or encourage creative solutions for maximizing collection of

revenue from offenders, such as billing defendants, credit card

payments.

b. Set up a committee consisting of court officials, prosecutors,

corrections and probation officials to discuss problems and solutions in

collections. 

c. Publish a regular newsletter for, or maintain regular correspondence

with, officials responsible for ordering and collecting offender revenue.

d. Meet with U.S. Attorney in state to encourage collection of federal

criminal debt that finances the VOCA Crime Victims Fund.
GOAL 4: Financial Planning

27

Objective 3: To recover as much of the program's payouts as possible from offenders and other responsible parties,

through restitution, subrogation, and collateral resources.

Basic Strategies

a. Inform victims on the application that they must agree to repay the

compensation program from any funds received from the offender or

other responsible parties through restitution and subrogation.

b. Include in the notice of payment to victims that they are under a legal

obligation to repay the program from sums received from offenders or

other responsible parties.

c. Clarify that the duties of claims specialists include being attentive to

potential revenue recovery and reimbursement sources.

d. Encourage prosecutors, judges, court clerks, probation and parole

officers, corrections officials, and others responsible for seeking,

ordering, and collecting criminal fees and restitution to fulfill those

responsibilities.

e. Establish a system to track payments of restitution to the program.

Advanced Strategies

a. Develop methods for recognizing staff achievements in identifying

and accessing potential revenue recovery and reimbursement sources.

b. Create incentives for court officials to do a better job in collecting

restitution.

c. Develop procedures to request restitution orders in individual cases,

and to track and monitor sentences and collections.

d. Check with court clerks to determine if civil suits have been filed by

applicants against offenders. If so, send notices to the applicants 

and/or their attorneys reminding them of subrogation obligations.

e. Send notices to individual offenders whose victims have been

compensated and who have been ordered to pay restitution, requesting

payment directly to the compensation program.

f. Institute actions, such as garnishment of wages, to obtain payment

from offenders.

g. Provide training to prosecutors, judges, court clerks, probation and

parole officials, and corrections personnel on the importance of

restitution and the procedures to follow in getting it from offenders.

h. Dedicate staff to, or hire a new specialist for, the collection activity

described in c. through g. above.

i. Encourage legislation to strengthen the restitution laws in the state,

including naming the compensation program as a party to whom the

court can order that restitution be paid.

j. Encourage victims in appropriate cases to file civil actions against

offenders and responsible third parties, and provide referrals to attorneys

or the bar association.

k. Implement a system whereby the program can initiate civil action

against responsible offenders and third parties to recover amounts paid

by the program, if the victim does not file such an action.

l. Seek legislation that prohibits award of compensation until applicant

has satisfied all criminal penalties, such as fines and restitution, that

may be owed by the applicant from prior offenses committed by the

applicant. Implement procedures to identify criminal fines and penalties

owed by applicants.

Objective 4: To administer state and federal funds in accordance with all state and federal requirements and sound

accounting principles.

Basic Strategies

a. Establish accounting system that complies with state requirements as

well as with VOCA and Federal audit requirements.

b. Maintain documentation that is accessible and verifiable as to

program payments to victims and for administrative expenditures.

c. Perform annual audit (or comply with whatever state and federal

requirements and procedures exist for audits).