1. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 1 TAIEX Workshop on Financial Management in Judiciary Case Complexity Analysis as a Basis for the Determination of Judges Workload and Court Capacity Dr Axel G Koetz Kiev, 23 March 2011 This Document is complete only together with the oral presentation; use of isolated pages might lead to misunderstandings. Questions: Dr Axel G. Koetz, Managing Partner, KPI Management and Policy Consultants Unicenter 2920, D-50939 Cologne, axel.koetz @ koetz-ag.com, Tel/Fax +49 (0)221-9411801 / 05

2. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 This presentation refers in part to results of work generated by the author during the Project Dr Axel G Koetz, KPI International Management and Policy Consultants, Unicenter 2920, D-50539 Cologne Germany, axel.koetz@koetz-ag.com KPI  Management and Policy Consultants ACCOUNTABILITY AND EFFECTIVENESS OF UKRAINIAN JUDICIARY FUNCIONING: Civil Service Component EuropeAid/125611/C/SER/UA

3. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 3 Caseload versus Workload Caseload: Number of cases to be completed -By a Judge -By a Court -By the judges/courts in an Oblast -Nationwide Workload: The work capacity needed to complete -a case -all cases on the judges table -all cases in the court -all cases in the courts of an oblast -all cases nationwide

4. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 4 The „Caseload“ concept leads to mismanagement Caseload computes the numbers of cases irrespective of complexity. Adding all cases and basing policies on this leads to severe problems as we are „adding pumpkins and cherries“ Many „order cases“ Many „administrative offenses“ Lead to High completion numbers „productive“ judges Many complex criminal cases Lead to Low completion numbers Unproductive judges

5. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 5 Differences Unweighted/Weighted Cases Demonstrates Importance of Complexity Analysis Comparison of deviation from average (1) in caseload and workload per Judge In 33 Courts of an Oblast, weighted (w) and not weighted (cases)

6. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 6 Determinants of Workload CASE WORKLOAD PER CASETYPE Court Work Structures Workflow and IT Case Complexity Quantitative Aspects Qualitative Aspects

7. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 7 Case Complexity Determinators Quality: Case Type Procedural Law Existing Standards Size: N of involved parties / defendants N of witnesses N of needed hearings Quantity of Documents Simplified: Case Type plus Size Indicator

8. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 8 Case Type Modeling Model Alternatives Minimalistic Model/s Concentrates on a small number of consolidated case types 100% Model/s Tries to identify (almost) all potential cases, Following the §§ of the law(s) Key Indicator Model/s Based on a substantial number of relevant case types

9. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 9 Minimal Models UJFP – Case Model Civil cases (0,6) Court Order cases (0,1) Criminal Cases (1,0) Administrative Orders (0,2) Administrative cases (0,6) Pilot Courts Case Model About 10 – 15 casetypes which play the most important role in the work of district courts Criminal cases measured with... hours worktime, other casetypes with a defined fractile Elaboration via expert guessing by the judges of the court Purpose: Simulation of Court Workload Purpose: Just distribution of work in the district court

10. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 10 Weigthing (Sample): Case Categories by Chornobai District Court No.Case categoriesCCRating 1 Writ proceeding 6 6 (30 min.) 2 Separate proceeding 4 5 (45 min.) 3 Disputes regarding title to property 3.6 4 (50 min.) 4 Disputes regarding title to intellectual property 4 5 (45 min.) 5 Disputes regarding damages 1.5 2 (120 min.) 6 Lawsuits regarding protection of honor and dignity 3 3 (60 min.) 7 Disputes regarding inheritance 3 3 (60 min.) 8 Housing law disputes 4 5 (45 min.) 9 Land law disputes 4 5 (45 min.) 10 Family law disputes 4 5 (45 min.) 11 Labor law disputes 1.5 2 (120 min.) 12 Other cases 4 5 (45 min.) 13 Disputes related to the Law “On Protection of Consumers’ Rights” 3 3 (60 min.) 14 Disputes arising from agreements 3 3 (60 min.)

11. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 11 (Almost) 100%-Model Model elaborated by the SCA Statistical Department –Covers all existing case types in civil, criminal, administrative law –Average worktime for about 100 individual case types per area Main Goal: Resource needs / distribution By end of 2010 extremely limited utilization

12. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 12 Transparency (2) Think in A-B-C Categories Instead of killing people with megabytes of Data, follow the ABC model A = Vital information B = Important information C = Unimportant information Make sure that „A“ level information is not buried under „C“ level information BCA 80% 90% 100% 20%40%100% Information Explanation

13. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 13 Sample Key Indicator Model: PEBB§Y Identification of key case types, inter alia based on an ABC Analysis Identification of case complexity and related workload Detailed analysis of „A“ case types and selected others Correction factors and other instruments to cover the non-key case types (C, partly B) Please note: The following sheets show an extremely simplified picture of the methodology and the results ! PEBB§Y in reality is much more complicated when you come to the details.

14. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 14 PEBB§Y Goals Key Goal: Identify the need for Judges / prosecutors posts on state level and define the budget accordingly Second Goal: Ensure a just distribution of posts across the courts Third Goal: Create transparency and acceptance amongst stakeholders No Goal: Establish a legal right of judges not to work more than given by the set indicators

15. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 15 - „Courts have to be equipped adequately with personnel and other resources; details are specified by law“ (Constitution, Hamburg, Art 62 – similar in other constitutions)

16. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 16 Case type Selection (P1) 48 case types in local courts 20 case types in lower appellate courts 22 case types in higher appellate courts Other case types and administrative work taken into consideration via correction factors Also „Training“, „Administrative Functions“ and „other Tasks“ included, also numerous registers (German speciality) at local courts

17. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 17 Sample Judge Workload per Case Types -for general civil cases150 minutes -for civil claims from car accidents170 minutes -for divorce cases200 minutes -for small criminal cases170 minutes -for major criminal cases510 minutes -for punishment orders (comparable to administrative offenses) 22 minutes - for economic and environmental crime 970 minutes - Appeals to Lower Appellate Court 430/910 minutes - Cassation Cases, higher Appellate Court 660 minutes

18. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 18 Computing the Need for Judge Capacity (Simplified) Judges work capacity per year102.240 minutes Sample „car accident case“ 170 minutes Cases per Judge per year 601 cases N of cases x case weights Judge work capacity correction factors N of posts for Judges +/- =

19. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 19 Development of the 1st PEBB§Y 1 Model 2001 - 2002 About 40 courts and Prosecutors Offices 7 German States About 1.900 Judges and Prosecutors About 900.000 case cards analyzed External project executed by a consulting / accounting firm In addition, a PEBB§Y 2 model was developed to get data for the non-judicial staff.

20. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 20 PEBB§Y Steps A Process of a Decade (by now) 2001:PEBB§Y 1 (General Courts –Judges, Prosecutors) 2001/2PEBB§Y 2 (General Courts - Secretaries + Support Staff) 2005PEBB§Y Fach (Judges in Specialized Courts for Labor, Tax, Social, Administrative Cases) 2008PEBB$Y Update Analyses: 1,2,Fach 00 010203040506070809 P 2 P 1 P Fach P Update

21. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 21 Need for Participation...... and permanent updating States, Courts, Judges, Prosecutors intensively involved Numerous workshops, meetings and so on Intensive cooperation and involvement of the judges associations Consideration of specialities in the different states Check for realism and determination of the final results in workgroups Update of results according to chages in laws, jurisdiction, procedures, technology after some years

22. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 22 Don‘t forget the civil service Structures PEBB§Y 1 was accompanied by PEBB§Y 2 PEBB§Y 2 covers the workforce needs in the field of civil service –Secretaries –Typists / Note takers (if still existing) –Court guards –Other professions in the court –Capacity needs for some professions still determined outside the PEBB§Y system

23. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 23 From Cases to Staff to Budget From Budget to Staff Workload from weighted cases defines Staff need –Per single court –Per region Accumulated staff needs determine overall number of judges Overall number of Judges determine Financial Budget for Judges New judges have to be hired accordingly (or posts have to be made free) Capacity has to be distributed justly amongst courts to ensure equal workload (Courts with overcapacity lose first the posts, secondly the staff when pensioned or replaced)

24. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 24 Use of PEBB§Y Date in Budgeting Weighted Case Data per Region Staff List High Courts Min of Justice Min of Finance Parliament Government Does it work this way... or not ? Most hopefully But not all the time Weighted Case Data Lower Courts Staff Lists Low Courts

25. KPI  Management and Policy Consultants Taiex Workshop on Financial Management in Judiciary (Int Markt 43289) Kiev, 23-24 March 2011 End of the Dry Stuff Thank You For Not Falling Asleep To those who fell asleep, thank you for not snoring Additional Questions: Dr Axel G Koetz Managing Partner, KPI Consultants Cologne, Germany e-mail: axel.koetz@koetz-ag.com