Рада з питань судової реформи

Chapter 7. Improving Enforcement System

The efforts to move from the State-run enforcement system towards a private bailiff profession reflect the general trend in EU MS and other countries of the region. At the same time, this shift would necessitate step-by-step review of the regulations, which will allow building of necessary institutional and regulatory capacities for a smooth transition towards complete privatisation, based inter alia on the successful experience in introducing the private profession of notaries in Ukraine. In this respect, a complete overhaul of the regulatory framework, defining new roles for private and State (MOJ) actors in regulation, licencing and oversight of the system, giving adequate powers to bailiffs to seek debtor assets and claim injunctions in courts, improving standards of procedural fairness, promotion of mediation role of bailiffs, optimising distribution of cases, improving ethical and disciplinary systems, improve usability and interoperability of enforcement information systems, develop risk management and analysis capabilities, enhance professional training system, and ensure greater visibility of services provided by bailiffs through awareness raising.

Abbreviations list
ADR Alternative dispute resolution
AP Action Plan
APU/PAU Presidential Administration of Ukraine
ASSETBTC Bar Training Centre
CB Chamber of Bailiffs
CC Constitutional Court
ВНЗ Вищі навчальні заклади
CCBE Council of Bars and Law Societies of Europe
CCLAP Coordination Centre for Legal Aid Provision
CEIS Criminal Executive Inspection
CEPEJ European Commission for the Efficiency of Justice
CJ/CoJ Council of Judges of Ukraine
CJR/JRS Council for Justice Reform (or Justice Reform Council)
CoE CM CoE Committee of Ministers
CoE/CoE Council of Europe
CP Council of Prosecutors
CPE Performance Evaluation Framework
CSO Civil society organizations
DCMIS Detainee case management system
DFATD Department of Foreign Affairs, Trade and Development, Canada
DG Just Directorate-General for Justice and Consumers of the European Commision
DOJ United States Department of Justice
EaP The Eastern Partnership
ECHR European Convention on Human Rights
ECJ European Court of Justice
ECtHR European Court of Human Rights
EPP Evaluation of Prosecutors’ Performance
EU MS EU Member State(s
EU European Union
EUAM European Union Advisory Mission for Civilian Security Sector Reform Ukraine
FLA Free Legal Aid
FoI Freedom of information
GDP Gross domestic product
GOU/GoU Government of Ukraine
HAC Higher Administrative Court
HCCH Hague Conference on private international law
HCJ High Council of Justice of Ukraine
HEI High educational institutions
PCF CoE/EU Eastern Partnership Programmatic Co-operation Framework
PDP Personal data protection
PEE Performance effectiveness evaluation
PEO Private enforcement officer
PFM Public financial management
PG Prosecutor General
PMF Performance Management Framework
PPO Public Prosecutor’s Office
PPP Public-private partnership
PR Public Relations
QALA Quality and Accessible Legal Aid Ukraine Project
RBC Regional Bar Council
RPO Regional Prosecutor’s Office
PQDCs Regional Qualification and Disciplinary Commission
SC Supreme Court
SDP Strategic development plans
SEP Sector expenditure plan
HELP European Programme on Human Rights Education for Legal Professionals
HQC High Qualification Commission
HQDC Higher Qualification and Disciplinary Commission
HR Human Resources
HRTF Human Rights Trust Fund
HSC Higher Specialised Court
IMF International Monetary Fund
IMS Information management system
IOP Interoperability
INL US Department of State Bureau for International Narcotics and Law Enforcement Affairs
IRZ German Foundation for International Legal Cooperation
IS Information system
ISD Internal Security Department
JC see CJ
JIT Joint investigative team
JSRS Justice Sector Reform Strategy
LPO Local Prosecutor’s Office
LPP Legal Professional Privilege
M&E Monitoring and evaluation
MIS Management information system
MOE Ministry of Education of Ukraine
MOF Ministry of Finance of Ukraine
MOH Ministry of Health of Ukraine
MoI/MoIA Ministry of Internal Affairs of Ukraine
MOJ/MoJ Ministry of Justice of Ukraine
MOR Ministry of Regional Development, Construction, and Communal Living of Ukraine
MOU Memorandum of Understanding
MSP Ministry of Social Policy of Ukraine
MTBF Medium-term budgetary framework
NACB National Anti-Corruption Bureau of Ukraine
NALS National Academy of Legal Science of Ukraine
NAPU National Academy of Prosecutors of Ukraine
NBC National Bar Council
NCP National Conference of Prosecutors
NPM National Preventive Mechanism
NSJ National School of Judges
OSCE Organization for Security and Co-operation in Europe
SGS Self-governance system
SGUA Support Group for Ukraine
SIT Special investigative techniques
SJA State Judicial Administration of Ukraine
SJGB Single Judiciary Governance Body
SLA Service-level agreements
SOP Standard operating procedures
SPS State Penitentiary Service of Ukraine
SSU Security Service of Ukraine
TC Training Centre
THB Trafficking in human beings
TOT Training of trainers
UNBA Ukrainian National Bar Association
USAID United States Agency for International Development
USAID FAIR The FAIR Justice Project of USAID
VET Vocational educational training
WG Working Group
Action Implementation Deadline Performance Criteria
End of 2016 End of 2018 End of 2020 Measures/Outputs Responsible Body / Means Outcomes

Area of Intervention 7.1 Improved Bailiffs Governance System

7.1.1 Strengthening balance of duties and powers within Bailiffs Governance System 1. Reviewed statutory framework, setting up 'mixed' enforcement system involving private enforcement officer (PEO) institution. Chamber of Bailiffs (CB) fully operational to govern private limb of profession. CB, MOJ, Parliament / Decisions, statutes and rules amended

- ‘Mixed’ enforcement system in place,

- with private profession of bailiff created and certain role left for State authorities in enforcement and alternative disputes in some administrative and socially-sensitive civil cases (alimony, childcare, eviction etc.);

- Conditions in place to allow gradual move towards wider scope of private model, with a view to complete privatisation of enforcement services by reference to experience in reform of notary services

- Optimised stages of the enforcement proceedings and terms of exercising enforcement actions; safeguards in place against the refusal to start enforcement proceedings for formal reasons

- Effective incentives in place for volunteer exercise of court decisions and influencing the debtor

- Institutional enforcement governance system (incl. regional) allowing for requisite decree of self-governance by PEOs

- Practical and effective conditions in place for equal competition between private and State-run limbs of enforcement system

- More effective use and distribution of private bailiffs membership fees, to promote independent and efficient governance

- Increased independence and efficiency of governance (including disciplinary) bodies within bailiffs’ corporation

- National Chamber of Bailiffs (CB) set up as main governance body of private bailiffs’ profession; regional Chambers set up taking into account local socio-economic realities

- Streamlined powers of CB an MOJ, with limited, clear and foreseeable role of MOJ in regulation, licencing and oversight of profession

- Active cooperation of MOJ and CB in developing policy and legislative initiatives with regard to enforcement system, including definition and review of required number and competences of bailiffs

- Partial harmonisation of licensing and oversight systems of bailiffs with other private professions in justice sector, including advocates and notaries

- Admission and licencing requirements for bailiffs determined;

2. Internal control and monitoring body set up within private bailiffs’ corporation CB /Decisions, rules
3. Reviewed regulatory framework on role of MOJ in regulation and oversight of enforcement system CB, MOJ, Parliament / Decisions, statutes and rules amended
7.1.2 Development of strategic planning, budget and financial management, human resources management, public relations and communication capacities 1. CB Strategic Planning and Institutional Development Committee fully operational CB / Decisions, Reports

- Internal and external monitoring and evaluation (M&E) mechanisms and review reports attest satisfactory implementation of strategic planning within bailiffs corporation

- CB and bailiffs provide regular and constructive inputs for major policy and regulatory initiatives related to justice sector reform

- Improved use of CB resources and funds

- Adequate financial resources for CB to effectively perform its role in promoting independence, accountability and competence of bailiffs

- Internal communication channels (including electronic workflow system and web-portal) between CB, bailiffs, and other State/non-State actors in justice sector formalised and used regularly


- Consistent response of CB to any interference with independence of bailiffs and violations of their rights

- Bailiffs participation in decision-making processes of other justice sector institutions when interests of bailiffs are affected

- Clear procedures for public access and participation at certain CB meetings in place, including timely prior announcement of meeting agendas, publication of CB decisions with regard to enforcement governance system, etc.

- User satisfaction surveys used regularly by CB to measure and improve quality of member services

- Regular exchanges between CB/MOJ and European and international counterparts

2. Dedicated staff dealing with strategic planning, including policy development, mission statement, budgeting and financial management, human resources, information resources, public relations and communication and outreach CB / Decisions, contracts, job descriptions, placement plans, trainings
3. Practice guides and training modules on strategic planning, budget and financial management, human resources management, public relations and communication, and use of information systems developed, disseminated and updated regularly CB / Decisions, trainings
4. Bailiffs Audit Commission fully operational CB, MOJ, Parliament / Decisions, reports, statutes and rules amended
5. CB responsible body in charge of internal communications and external outreach and public relations CB / Decisions, reports
6. Member surveys to determine level of satisfaction of bailiffs with CB services, including on-line questionnaires CB / Decisions, surveys conducted
7. CB Annual Reports developed and disseminated CB / Decisions
8. Cooperation network with European and international enforcement institutions fully operational CB, MOJ / Decisions, MOUs, events, joint activities, visits
7.1.3 Development of ethics and disciplinary oversight system 1. CB Ethics and Discipline Committee fully operational, responsible for development, implementation compliance, improvement of ethical standards for bailiffs, and enforcement of ethical/disciplinary rules CB / Decisions, reports

- Ethics/disciplinary framework with sound and implemented substantive requirements and procedural rules, public access

- Clear, foreseeable, and applicable delineation of ethical rules (positive obligations, principles of behaviour) from disciplinary rules (negative prohibitions, grounds for reprimand)

- Consistent application in practice of ethics/disciplinary rules by CB

- Financial responsibility of private bailiffs to CB by way of due payment of membership fees enshrined among key ethical rules

- Delineation and application of principles of proportionality and mitigating and aggravating factors in disciplinary cases

- Right of access to disciplinary case-file by bailiff concerned, scope and extent of obligation to provide information to third parties and public about pending disciplinary cases defined

- Enlarged list of disciplinary sanctions, including lesser sanctions such as fines, remedial measures, and educational measures, consistently and fairly applied

- Clear, foreseeable and applicable regulatory basis for online complaints, including disclosure of personal details of complainants, fees to be paid

2. Code of Ethics annotated and regularly updated though consultative processes and communication coordinated by CB CB / Decisions
3. Disciplinary rules and procedures reviewed though consultative processes and communication coordinated by CB CB, MOJ, Parliament / Decisions, statutes and rules amended
4. Practice guide and training module on ethical and disciplinary framework developed, disseminated and updated regularly CB, CBTC / Decisions, trainings
5. Online system for filing complaints against bailiffs fully operational CB, MOJ / Decisions, practice guide, software in place, trainings
6. Statistics on disciplinary cases published and analysed in CB Annual Reports CB / Decisions
Area of Intervention 7.2 Improved Professional Training System for Bailiffs
7.2.1 Development of initial and continuing training systems 1. CB Training Centre (TC) fully operational, in charge of implementation of initial and continuous training systems, including management body responsible for setting policy, ensuring operations, and carrying out oversight CB, CBTC / Decisions, reports, curricula, trainer contracts, job descriptions, placement plans in place, trainings

- CB empowered to deliver training for bailiffs

- Optional nature of initial training system for bailiffs; conditions in place for eventual move towards mandatory initial training system

- CB annual continuous training curricula and sound methodology of training in place

- CBTC carrying out training on a regular basis

- Initial and continuing training courses for bailiffs and other legal professionals (lawyers, judges, prosecutors, notaries etc.) approximated, some curricula and courses harmonised

- Problem-based approach to training

- Continuous training system for bailiffs’ staff in place

- On-line and distance learning training available

- Key initial and continuing training subjects include international human-rights standards,

- Permanent pool of well-trained and experienced trainers, including trainers from regions, fully and regularly mobilised

- Application of penalties and other practical consequences for failure to take continuous training

- Experienced legal practitioners, including European and international counterparts, among regular trainers

2. Initial and continuing training curricula, including distance learning courses, developed, updated regularly and placed in electronic libraries CBTC, CB / Decisions
3. Reviewed regulatory framework on access to the profession, including initial training, internships, professional exam, licensing, etc. CB, MOJ, Parliament / Decisions, statutes and rules amended
4. Training needs, capacity and quality assessment mechanisms in place and used, including automated tools CBTC, CB/ Decisions, practice guides, software in place, trainings
Area of Intervention 7.3 Improved Conditions for Practical and Effective Exercise of Profession of Bailiff
7.3.1 Improvement of socio-economic, financial, and operational conditions for exercise of profession of bailiff 1. Reviewed regulatory framework for civil, administrative and criminal liability of bailiffs. Indemnity fund set up to assume civil responsibility for malpractice on behalf of whole corporation CB, MOJ, Parliament / Decisions, statutes and rules amended

- System for malpractice insurance and indemnity fund in place to cover civil liability of private bailiffs

- Favourable taxation regime for private bailiffs (tax regime of individual entrepreneurs under uniform tax system)

- Reviewed principle of the state bailiff’s remuneration by establishing direct proportion between the remuneration and results of enforcement of court decisions

2. Special taxation, health and social insurance status of bailiffs CB, MOJ, MOF, , MSP, Parliament / Decisions, statutes and rules amended
3. Reviewed principle of bailiff’s proportional remuneration with regard to results of enforcement of court decisions Parliament, CB, MOJ, MOF / Decisions, statutes and rules amended
7.3.2 Promotion of efficiency of enforcement, while strengthening balance in protection of rights of creditor and debtor 1. Reviewed regulatory framework on powers of bailiffs to reach debtor assets Parliament, CB, MOJ/ Decisions, statutes and rules amended, practice guides

- Bailiffs practically enabled to reach debtors assets

- Scope and extent of judicial control over any activities of bailiffs limited to very limited cases of necessity to protect fundamental fairness;


- Courts-practice attests qualified approach to personal data protection with regard to any actions of bailiffs,

- Stages and terms to kick-start enforcement process optimised to allow no unjustified refusal

- Effective incentives for voluntary enforcement of court decisions and sanctions against unwilling debtor in place

2. Reviewed regulatory framework on procedural safeguards of debtor interests Parliament, CB, MOJ / Decisions, statutes and rules amended, practice guides
3. E-filling of enforcement requests and e-notification of all key procedural steps as part of enforcement electronic case management CB, MOJ / Internal rules and procedures, practice guides, software in place, trainings, reports
7.3.3 Development of bailiffs’ information systems 1. Internal bailiffs’ (CB/MOJ/bailiffs) electronic communication channels in place and used effectively CB, MOJ / Decisions, MOUs, feasibility study, Master Implementation Plan, practice guides, hardware and software in place, review reports, trainings

- Practical and effective use of IS by CB to advance independence, competence and accountability of CB and bailiffs

- Interoperability of CB and bailiffs’ IS with those of other justice sector actors,

[9] For more detailed analysis on interventions in coordinated management of information systems and interoperability, see Sub-Chapter 4.2 below.

Impact Indicators for Chapters 5-7

  1. User satisfaction surveys (conducted by sector stakeholders, or by external observers) attest increased access to justice in general, and performance of legal aid, Bar, bailiffs, notaries and ADR system in particular (baseline: 2015; suggested 2016 target - increase by 5%; 2018 target - increase by 15%; 2020 target - increase by 25%; targets to be split by institution/type of service).
  2. Trial monitoring surveys conducted by external observers attest improvement of affairs in access to justice in general, and quality of legal representation in particular (baseline: 2015).
  3. 10 % annual decrease in number of structural violations found by ECHR with regard to right to court, fairness of proceedings or defence rights (baseline: relevant ECHR judgments pronounced in 2015; only pilot judgments or repetitive cases taken into account).
  4. 5 % annual decrease in number of cases at ECHR establishing breach of right to court, fairness of proceedings or defence rights (baseline: relevant ECHR judgments pronounced in 2015).
  5. Improved implementation of general measures in view of any ECHR judgment regarding breach of right to court, fairness of proceedings or defence rights (baseline: number of pending cases before COE CM where general measures are indicated at end of 2015; suggested 2018 target - total decrease by 15%, decrease of enhanced supervision cases by 25%; 2020 target - total decrease by 25%, decrease of enhanced supervision cases by 35%).
  6. 20 % annual decrease in findings by COE CM on failure to enforce individual measures in any ECHR judgment regarding Ukraine establishing breach regarding right to court, fairness of proceedings or defence rights (baseline: 2015).
  7. Annual progress in enforcement of final court judgments in civil and administrative (excluding misdemeanour) matters (baseline: all final court judgments on 1 January 2016; suggested 2016 target - 50% of total final court judgments in civil cases enforced within legally established timelines; 2018 target - 60%; 2020 target – 70%).
  8. State financing of legal aid system at least at the CEPEJ average level in proportion to GDP (baseline: CEPEJ report for calendar year).
  9. Legal aid provided in at least 10% of civil and 20% of administrative (excluding misdemeanour) cases (baseline: pending litigious civil and administrative cases at material time).
  10. 10 % annual increase of cases in ADR (baseline: same point in time one year ago for which annual statistics available; targets to be split per type of ADR/type of process).
  11. Ukraine's standing in various relevant international indices relating to access to justice improves, including Governance Indicators and Rule of Law Index (World Bank Institute), WEF Global Competitiveness Report, rankings by Freedom House, World Justice Project (Rule of Law Index), Transparency International (CPI etc.), Bertelsmann Stiftung Transformation Index (BTI), WB Doing Business Index (baseline: 2015).
  12. Acknowledgement of Ukraine’s progress in ensuring access to justice noted in EU reports and various policy dialogue documents, such as Association Agreement and Visa Liberalisation Action Plan implementation reports (baseline: 2015).

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