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Innovation is a top priority eCase Management - Home | Erwin Rooze
Transcript of Innovation is a top priority eCase Management - Home | Erwin Rooze
Innovation is a top priority
Dr. Erwin RoozeRosaconsult
eCase Management:an international survey in judicial
organisations
07.09.2009
Erwin Rooze – short curriculum vitae
Doctors degree in “scientiae administrandi” - on a thesis titled “Effective Strategic Problem Formulation” – how can IT provide support in this phase of decision making
4 years of experience in business & ICT consultancy for financial companies
6 years advisory within the Netherlands Council for the Judiciary – process management, innovation management, quality & knowledge management
4 years of experience as an independent advisor (international - http://www.ruleoflaw.nl/)
Key issues
Improving on Case Management is worth IT
Any judiciary has within Case Management three different “systems” that need support
Applying eCase Management is different for process types (special, regular, mass)
It is smart to learn from best practices
Law change is needed to enable electronic communication with courts
Outline of this presentation
1.Context of (electronic) Case Management
2.Three “management systems” in Judicial eCM!
3.What is the “electronic” in Judicial eCM?
4.International survey after best practices
5.Lessons learned on technology innovation
6.Lessons learned on change management
7.Key points revisited
1. Context of Case Management - goals
Desire to improve on performance Ability to handle more cases (no backlogs)
More efficiency (saves money) and effectiveness (e.g. safer society)
Assure consistent case handling
Faster completion times (justice delayed is justice denied)
Better service to the public (also electronic services)
Context - relevant “e”-policies in EU
E-Justice Provide a more secure access to legal procedures for all
parties concerned
E-Law Provide access to a database of legislation and case law
E-Democracy (e-Participation / e-Voting) Using the democratic potential of the information society
Eur. Commission for the Efficiency of Justice Access to justice, efficient and effective operations,
quality policies, protection of independence
Context – evolution at Court of Justice
Context ... total budget for judiciary
0,10% - 0,85% GDP (Courts, prosecution & legal aid)
Source: Cepej, 2008
Context ... the budget
More than 5%:- Netherlands- Ireland- Austria- Denmark- Montenegro- Norway- Romania
Source: Cepej, 2008
2. Definition Judicial Case Management
“The optimisation of primary processes in terms of completion time, costs and quality by managing the progress in case handling using logistic management, procedure management and specific content management.”
The Netherlands Council for the Judiciary
Other definitions Australia
The main purpose is to ensure that each case is resolved promptly and economically in a manner and at a cost to the parties and the Court that is reasonable in the circumstances of the case. So far as practicable, this means dealing with each case in ways which are proportionate to the:
complexity of the issues; and likely costs of the case.
USA / Saari to expedite the disposition of all cases in a manner consistent
with fairness to all parties, to enhance the quality of litigation, to assure equal access to the adjudicative process for all litigants; and to minimize the uncertainties associated with processing cases.
2. Management of Judiciaries
A) Case management – the primary processesManaging how cases are handled in proceedings of criminal law, civil law, administrative law
Using caseflow management or workload management
B) Court management – the secondary processesStrategic management
Financial management
Organisation and general operation of the court
Keeping statistics and making reports
Three “management” systems in CM
Logistics management Inbound logistics, distribution of files, outbound logistics
Procedure management Performing work processes that meet the requirements of the
law and quality standards
Justice content management Choices made by judges - tracks!
CASE
Logistics management
Distribution of documents, access to the file and recording of changes by people in the front office, the back office and the case handlers: judge(s) and clerk.
Systems: A large amount of small cases (6 pages) requires another logistics approach than a “mega case” of 30.000 pages.
Procedure management
Case identification Checking the inbound documents
Case registration Who determines the court fees and how is it collected?
Scheduling case events How to control the progress after the hearing or trial?
Having a court session Writing the court decision (and quality control) Sending and publication of the court decision Closing the case and storing final records (archiving) Management on the total completion time
Justice content management
UK is well known for its tracks Small claims, fast track, multi track
Netherlands Law: small claims in a different procedure
Judge: Differentiation in case development Oral or written route within a civil procedure
Judge: Referral of cases to ADR
Management and process types
Special
Mass
RegularVolume of cases
Low
High
Complexity of casesHighLow
3. The “electronics” in eCM
- Decision support for selectingan efficient and effective “track”- Electronic decision forms - Tools to structure a case
Workflow for file distributionTracking and tracingCapacity allocation
Automatic actionsControl on milestonesDelegating tasks
Place among other technologies
Electronic inbound logistics Electronic initiation of a court procedure Electronic filing of documents
Electronic case handling Automated administration Digital workflow of documents and tasks Planning events, availability and milestones
Electronic outbound logistics Electronic sending to parties & digital archiving Electronic publication of case law
“Electronic Logistics” in eCM
Core
e-Justice
e-Law
ICT in procedural steps
Administration of changes in the case Automatic collection of court fees Informing judges on milestones (time limits) Using video conferencing in court sessions Recording of proceedings Support in making court documents
Different systems for process types?
Special
Mass
RegularVolume of cases
Low
High
Complexity of casesHighLow
+ Reengineer& automate?
Control
+ DocumentSupport?
4. International survey
Three partners Focus:
Business / Strategy
Technology
Organization and Change
Countries selected
Austria – Mahnverfahren: digitization of inbound and outbound logistics (6,6 mln digital documents)
Western Australia – ICMS project: integral approach
Belgium – Phenix project: major law changes 2007
Finland – Automation of post delivery (e-letters) 1999 and online query
Italy – workflow management 2000
Estonia – digital signature by courts 2003
Romania – Ecris 2002 allows the standardization of the activities and procedures and the automatic publication and distribution of files
Austria - goals
Offer electronic justice to the public
Make information better available to the public
Integrated text processing
On line help and strong search capabilities
Publication of court decisions on the Internet
Integrated electronic and paper postal office
Digital archives
Austria – Mahnverfahren (Payment order)
Austria – Mahnverfahren II
Electronic legal communication (85% of all civil claims are sent electronically > 2 mln)
Mailing facility for all outbound documents Automatic collection of court fees In case of objection, data can be used in Court
Automation for trial Automatic checks (proposal for decision) Automatic monitoring of period of objection and
enforceability
Western Australia - goals
Business policy: More flexibility in case of changes of legislation
More transparency by making information better available
Handle more cases faster with smaller budgets
Technological: Improve maintenance by creating a single uniform
integrated system
Make lodging of electronic documents possible
Western Australia – development ICMS
2007
2005
2003
2002
Estonia - Digital signature
Personal Data file Copies the visual information
Can be read without restriction
Certificate for identification Different infosystems
Signing of e-mails
Certificate for Digital signatures No limitations in scope or use
Equivalent to hand written signatures
Finland: electronic post & online query
Kyösti – online query on operational database The general public can get information on pending
case of courts of appeal and the supreme court
Available is bibliographic information of the cases, the names of the parties and the phases in the court procedure.
The system plays a large role in developing more openness in court procedures
Romania – Ecris
Consists of a Case and Document Management System (CDMS) and a Legal Library and Documentation Systems (LLDS)
In 2001 ECRIS was first installed and the Romanian Supreme Court of Justice within a programme financed by The Netherlands (a MATRA project). The project was a success, optimizing the work of personnel by decreasing their workload while improving quality.
ECRIS covers all relevant business processes within the justice system: Scheduling, Dossier generation, Subpoena, Evaluation of petitions, Investigation, Judgment, Archive,
Report production
5. Lessons on technology innovation
A mixed view on internal electronic operations Lots of experience with appliance on mass type Focused structuring of files is necessary Digitization makes procedure innovation possible The need of the judiciary for workflow
management is not unique A shared service center for outbound mail
(paper/electronic) has high benefits
Functionalities found in eCase Management
6. Lessons on change management
The application of eCase Management should be different for different types of primary processes (mass / regular / special)
An iterative development approach works Making it easy and economic to provide material
to the court in electronic form really works Analysis of the similarities in work processes is
necessary (business architecture) For digitization the legislation must be amended
7. Key issues - revisited
Improving on Case Management is worth IT
Any judiciary has within Case Management three different “systems” that need support
Applying Judicial Case Management differs for process types (special, regular, mass)
It is smart to learn from best practices
Law change is needed to enable electronic communication with courts
Innovation is a top priority
dr Erwin J. Rooze
www.ruleoflaw.nl
eCase Management: an international survey in judicial
organisations