The Northern Ireland Courts and Tribunals Service (NICTS) is an agency within the Department of Justice (the Department). This Framework Document sets out the arrangements for the effective governance, financing and operation of the NICTS.
The NICTS carries out the court administrative functions previously undertaken by the Northern Ireland Court Service. The Court Service became part of the Department of Justice upon the devolution of policing and justice and its functions transferred to the Department (by virtue of the Northern Ireland Court Service (Abolition and Transfer of Functions) Order (Northern Ireland) 2010 made under section 78 of the Justice (Northern Ireland) Act 2002).
The principal functions of the NICTS are:
The NICTS has a typical annual budget of approximately 160m (including legal aid) and approximately 900 staff, based at its headquarters at Laganside House, Belfast and at court buildings, tribunal hearing centres and other offices throughout Northern Ireland. A map of the court divisions and venues is at Annex A. A list of the tribunals for which NICTS is responsible is at Annex B.
The Corporate aim of NICTS is 'Serving the Community through the Administration of Justice'.
The objectives of the NICTS are -
The Department will consult with the NICTS both on NICTS targets and the relevant PSA targets prior to Ministerial approval.
The NICTS Board provides leadership and direction to the NICTS. The Chief Executive of the NICTS (the Director) is responsible for the day-to-day running of the NICTS.
The organisational structure is at Annex C.
The Minister for Justice (the Minister) is responsible to the Assembly for the justice system including the courts. His accountability includes the Department's responsibility under section 68A of the Judicature (Northern Ireland) Act 1978 to ensure that there is an efficient and effective system to support the carrying on of the business of the courts and that appropriate services are provided for those courts.
The Minister does not intervene directly in the day to day operational decision making of the NICTS. The Director will consult the Minister on any operational matters which could give rise to substantial public, Assembly, judicial or Ministerial concern.
The Lord Chief Justice is the head of the judiciary in Northern Ireland and President of the Courts of Northern Ireland. Under sections 12(1A) and 16 of the Justice (Northern Ireland) Act 2002 his responsibilities include judicial deployment, the provision of welfare, training and guidance to the judiciary, dealing with complaints and representing the views of the judiciary to Ministers, the Assembly and Parliament.
The Concordat between HM Government and the NI Executive on Judicial Independence is attached at Annex D.
The Permanent Secretary of the Department of Justice is the Minister's principal adviser on matters affecting the Department as a whole, including policy, resource allocation, expenditure and performance against the aims and objectives of the department.
The Chief Executive (the Director) of the NICTS is responsible for the day-to-day operation of the NICTS and the leadership and management of its staff. He works under the direction of the Minister and in accordance with this Framework Document. The Director is accountable for the delivery of the NICTS budget and the efficient and effective delivery of NICTS business.
The Director is accountable to the Permanent Secretary of the Department of Justice, for his personal performance.
The Director chairs the NICTS Board and is also a member of the Department's Board.
The Director's responsibilities include:
The Permanent Secretary of the Department is the Principal Accounting Officer and is responsible for ensuring a high standard of financial management in the Department.
The Director is designated as Agency Accounting Officer for the NICTS by the Principal Accounting Officer and is accountable to the Permanent Secretary and to the Assembly for those responsibilities.
The NICTS Board is chaired by the Director and provides direction to the NICTS in the discharge of its responsibilities
The members of the Board work together to fulfil the functions of the Board. Each Board member is committed to ensuring that the Board has high quality, impartial and independent advice on all areas of its responsibilities.
The Board's specific functions in relation to finance, planning, performance and policy are set out in the following chapters. The Board is responsible for NICTS business and corporate planning and reporting and the discharge of the NICTS executive functions. It shall not interfere with the independence of the judiciary.
The NICTS Board consists of the Director, who chairs the Board, the NICTS Divisional Heads, a Department of Justice representative nominated by the Permanent Secretary of the Department and up to two non-executive members. Four judicial representatives nominated by the Lord Chief Justice will be in attendance.
A summary of the Board's functions is at Annex E and its Standing Orders at Annex F.
The Board may establish committees to perform some of its functions. Such Committees will be appointed by and report to the Board and to the Director and will be chaired by a member of the Board.
The Board has established an Audit & Risk Committee and a Finance Committee as Standing Committees to assist it in carrying out its functions.
Reports from committees are provided to the Board. Such reports are standing items on the Board's Agenda.
The Board will arrange periodic reviews of its own and of its committees' operations and effectiveness.
The Director may convene such meetings of the executive members of the Board as he considers necessary.
The Board approves an Annual Report for the Minister each year which is laid before the Assembly as the report required by Section 68A (2) of the Judicature Act.
The Department's representative on the NICTS Board is nominated by the Permanent Secretary.
The Department's representative is a non-executive member of the Board and keeps the NICTS Board informed of the Department's views on the NICTS and its operations. He will also inform the Board as to any Departmental issues likely to affect the NICTS.
In the event that the representative appointed to the Board is unable to attend a meeting of the Board, the Permanent Secretary may appoint an alternate by notice to the Chairman.
The judicial representatives attending the NICTS Board are the representatives of the Lord Chief Justice and the judiciary and keep the NICTS Board informed of the views of the Lord Chief Justice and the judiciary on the NICTS and its operations.
The NICTS Divisional heads are executive members of the Board.
The non-executive lay members of the Board bring an independent perspective and expertise to the work of the NICTS Board. One of them is the Chair of the Audit & Risk Committee.
The appointment of the lay members are based on a recommendation from a panel including the Director, a senior judge nominated by the Lord Chief Justice and a person nominated by the Permanent Secretary. Their tenure and other terms of appointment will be agreed by the Minister and the Lord Chief Justice or their nominees.
The non-executive lay members will be paid their reasonable expenses along with any agreed fee which will be met by the NICTS.
The appointment process will be compliant with Guidelines on Public Appointments and the cost of recruitment will be met by the NICTS.
The judicial representatives on the Board are accountable to the Lord Chief Justice for their conduct and can only be removed by him. They are not subject to the direction of, or accountable to, the Minister.
The executive and other non-executive members of the Board are accountable to the Minister for their conduct as Board members. The loss of confidence in any Board member by the Minister may be a factor in their removal.
The Secretariat to the Board will be provided by the NICTS.
The Board must report to the Minister on any matter that it sees fit or that it is asked to report on by the Minister.
NICTS works in a co-operative and consultative manner with all bodies, including other government departments that have an interest in the work of the courts and tribunals. These bodies include those listed below.
NICTS makes appropriate arrangements to ensure that the views of court users are taken into account, including through Court User Groups and customer surveys.
NICTS is committed to ensuring that any complaints received from court users are responded to promptly in line with the published complaints procedure.
The Northern Ireland Judicial Appointments Commission (NIJAC) is an NDPB with certain responsibilities for judicial appointments.
NICTS advises the Minister on judicial resource requirements and liaises with NIJAC on judicial recruitment schemes.
The Criminal Justice Board for Northern Ireland comprises the Chief Executives of the various criminal justice agencies. The Criminal Justice Board co-ordinates activity to deliver agreed objectives across the criminal justice system. NICTS is represented on the Criminal Justice Board by the Director.
The Civil Justice Committee is a body chaired by the Lord Chief Justice with responsibility for reviewing the performance of the civil justice system. A representative of the NICTS attends the meetings of the Committee.
The Court of Judicature, Crown Court, Family Proceedings, County Court and Magistrates' Courts Rules Committees are responsible for maintaining the statutory rules regulating the procedures of those courts. The NICTS provides the Secretariat for each of these rules committees.
The Northern Ireland Legal Services Commission (NILSC) is an NDPB responsible for running the legal aid scheme in Northern Ireland. The NICTS is the sponsor body for the NILSC and provides funding for the legal aid scheme.
The Children Order Advisory Committee maintains oversight of the operation of the Children (NI) Order 1995. The NICTS provides the Secretariat for the Committee.
NICTS is represented on the interdepartmental group chaired by the Office of the First Minister and deputy First Minister which steers the Executive's Strategy on Children and Young People.
The Criminal Justice Issues Group provides a forum for discussion of operational issues aimed at improving the criminal justice system. Its members include representatives of the main criminal justice agencies, the legal profession, and the voluntary sector. It is chaired by a Senior Judge and other judges attend. The NICTS is represented on the Group.
There are a range of other interdepartmental Project Boards and Steering Groups on which the NICTS is represented and which contribute to developing policy and improving operational effectiveness across NI Departments.
The Permanent Secretary is the Principal Officer of the Department for the purposes of Public Accounts Committee referrals, but he delegates responsibility for reporting and replying on matters concerning the NICTS to the Director.
The Director of NICTS will report PAC referrals that raise significant issues to the Board and keep it informed about the action being taken.
The Director and the Permanent Secretary or his delegate may be asked to appear before the Public Accounts Committee concerning their respective Accounting Officer responsibilities.
The Director may be asked to appear before the Justice Committee to give evidence on the work of the NICTS but may not be required to answer any question relating to a specific case or any judicial decision or any matter falling within the responsibility of the LCJ for the judiciary.
The administrative activity of the NICTS is subject to the jurisdiction of the Northern Ireland Assembly Ombudsman. Under Schedule 4 to the Ombudsman (NI) Order 1996 work done by the NICTS at the direction of a judge or a person acting in a judicial capacity is not subject to the Ombudsman's jurisdiction.
The NICTS has its own Departmental Assembly Liaison Officer (DALO) who works with the Department's DALO in processing any business which is primarily a matter for NICTS.
The Minister will normally respond personally to Assembly questions or correspondence addressed to him by an MLA.
If the question or correspondence relates to the day-to-day operation of the NICTS, the Director may be asked to provide a response.
The Director, and other members of the NICTS staff, may receive correspondence directly from an MLA on matters concerning the day-to-day operation of, or services provided by, the NICTS. They will respond to such correspondence and raise any issues of significance with the NICTS Board.
Members of the Assembly, public representatives and the general public are encouraged to deal directly with the Director on matters which are the responsibility of the NICTS.
If the question or correspondence relates to matters solely or substantially within the responsibility of the Lord Chief Justice or a tribunal President, it is referred to the office of that office holder.
If correspondence relates to a complaint about the conduct of a judicial office holder (or to a disciplinary matter) it will be sent to the Lord Chief Justice for consideration in accordance with the Code of Practice under section 16 of the Justice (NI) Act 2002.
The NICTS operates a published complaints procedure.
The NICTS is subject to public expenditure controls, and its expenditure will form part of the Departmental Expenditure. Decisions on allocations to the NICTS rest with the Department. The Director accounts for NICTS expenditure and will consult and advise the Board through its Finance Committee on how the allocation will be spent.
The terms of reference for the Board's Finance Committee are at Annex G.
Each year the Department will inform the NICTS of the budget provision allocated by the Department to the NICTS.
The annual NICTS Business Plan will take account both of approved funding provision and any forecast receipts, and will include a budget of estimated payments and receipts together with a profile of expected expenditure and of draw down of any Departmental funding and other income over the year. These elements form part of the Business Plan for the year in question.
The NICTS Board develops the budget and supporting plans for the NICTS. The plans will include any performance standards agreed for the NICTS. The NICTS Board finalises the budget and plans following the financial allocation.
In doing so the NICTS Board works with the Department, the judiciary and other relevant organisations, and within the aim and objectives agreed by the Minister.
The process of allocating funding to the NICTS is conducted as follows:Following the funding settlement, the budgetary allocation is reviewed in-year and, if necessary, adjusted annually between the NICTS Board and the Department in accordance with the principles set out above.
Funding will be allocated as formal budgets to the heads of the business units concerned, who will be personally responsible for ensuring that their expenditure is consistent with the policies of the NICTS and within the ambit of the Department's allocation.
The Director is responsible for ensuring that the NICTS management information and accounting systems allow for effective control over its use of resources. The accounting system will permit verification of the accounts by the Comptroller and Auditor General and the NICTS will maintain the necessary interfaces with the Department's financial and accounting systems. The Agency will supply the Departmental Accounts Branch with such summarised information from the NICTS as is necessary for resource accounting purposes.
Reports on the NICTS financial performance will be submitted regularly to the Board through its Finance Director.
Reports on the NICTS financial performance are to be supplied to the Department in such manner, and at such times, as the Department reasonably requires. Any significant concerns raised by the Department will be drawn to the attention of the NICTS Board by the Chief Executive.
The NICTS will operate management information and accounting systems that enable it to review in a timely and effective manner its financial and non-financial performance against the budgets and targets set out in the corporate and business plans. The NICTS will inform the Department of any changes that make achievement of objectives more or less difficult. It will report financial and non-financial performance, including performance in helping to deliver the Minister's polices, and the achievement of key objectives on a regular basis. The NICTS performance will be formally reviewed by the Department during the year. The Minister will meet the Director and the NICTS Board at least once each year.
The Principal Accounting Officer makes delegations to the Director, which he may from time to time revise and which will be confirmed in writing. The delegations and any changes are reported to the NICTS Board.
The NICTS delegated authorities are set out in Annex H. The NICTS will obtain the Department's prior written approval before:
Delegated authorities will be clearly defined in a finance manual or equivalent instructions, and be consistent with the rules of Managing Public Money and the internal accounting policies laid down by the Director.
The Director will ensure that appropriate appraisal of projects is carried out.
NICTS will conduct its affairs within an approved Corporate Plan and associated Business Plan.
Subject to standard government supply procedures and the financial delegation authority, the Director has authority to approve all expenditure within the resources allocated to the NICTS and the delegated authority which is consistent with the strategic and business plans for the NICTS.
The Director, as the Agency Accounting Officer, has the right to approve all items of expenditure, use receipts, award contracts, write off losses and make special payments which are within the provision of this Framework Document and consistent with the strategic and business plans. Responsibility for expenditure will be at the relevant delegated level in the NICTS, consistent with the needs of financial control and propriety.
The Director has responsibility for ensuring that the NICTS can account for all assets under its control.
The Director has responsibility for ensuring that the NICTS achieves high standards of regularity and propriety.
The Director will follow the guidance on the treatment of losses and special payments set out in Managing Public Money and the Department of Justice Finance Manual. All claims of a value exceeding these limits will be referred to the Department.
The Director will establish appropriate policies and practices for the NICTS purchasing arrangements, in accordance with Departmental and DFP guidelines and will ensure that instructions are promulgated to all staff. The Director may authorise contractual sub-delegations to staff within the NICTS.
The Director may delegate to other NICTS officers authority to purchase goods and services, pay invoices and use receipts, as far as considered necessary, within the needs for financial control and propriety.
Court fees are set in accordance with section 116 of the Judicature (NI) Act 1978.
NICTS is subject to the rules and policies laid down by HMT in Managing Public Money, and other accounting instructions that are issued from time to time by DFP or the Department. The Annual Accounts will be prepared in accordance with the provisions of the Government Financial Reporting Manual.
The NICTS will submit to the Department a draft of its Corporate Plan covering three years ahead and which will have been considered by the Board. NICTS will agree with the Department the issues to be addressed in the plan and the timetable for its preparation.
The Department will assist the NICTS in its corporate planning process by providing information on relevant policy developments. The plan will reflect the statutory duties and, within those duties, the priorities set from time to time by the Minister. The plan will demonstrate how the NICTS contributes to the achievement of the Department's PSA targets.
The first year of the Corporate Plan will form the annual NICTS Business Plan. The Business Plan will include key targets and milestones for the year immediately ahead and will be linked to budgeting information so that resources allocated to achieve specific objectives can readily be identified by the Department.
The financial strategy for the NICTS for each spending review period approved by the Board is published in an NICTS Corporate Plan that includes:
The detailed activities for the NICTS in the forthcoming financial year are published in an annual Business Plan. The plan includes:
The Corporate and Business Plan will be published on the NICTS website and copies will be available from the NICTS Communications Unit.
Under section 68A of the Judicature (Northern Ireland) Act 1978, the Department is required to lay before the Assembly an Annual Report on how it has discharged its duty under that section to ensure there is an efficient and effective system to carry on the business of the Court of Judicature, county courts, magistrates' courts and coroner's courts and that appropriate services are provided to those courts. The Report will also cover the Enforcement of Judgments Office and will be prepared by the NICTS and approved by the Board and Minister.
The Director, as Accounting Officer, is responsible for producing and signing an audited Annual Report in accordance with section 68A and Accounts on the performance of the NICTS during the previous financial year.
The Director will obtain the approval of the Board for the Annual Report and Accounts, which include:
The Annual Report includes a set of annual financial accounts prepared on an accruals basis. The accounts are produced in accordance with a direction issued by DFP under section 11 of the Government Resource and Accounts Act (Northern Ireland) 2001 and are audited by the Comptroller and Auditor General for Northern Ireland. The Minister lays the Annual Report before the Assembly.
Information on performance against financial performance measures and NICTS financial performance standards is included in the notes to the accounts. Information relating to such measures is within the scope of the audit undertaken by the Comptroller and Auditor General for Northern Ireland's audit. Information on performance against non-financial performance measures is published in the Annual Report.
NICTS publishes its Annual Report in the financial year following the year to which it relates.
The process for setting performance standards and objectives for the NICTS is normally conducted at the same time as the Budget Allocation, although where necessary measures may be agreed at other times.
The process for setting performance standards is conducted as follows:
As part of developing the plans and budgets for the NICTS, the Board, in consultation with the Department, may develop performance standards for the NICTS designed to meet its agreed aims and objectives.
Reports on NICTS performance are submitted to the Board. The Director draws to the attention of the Board any concerns he may have, together with advice as to the steps that should be taken.
The Board reports to the Minister on performance on an annual basis. If performance in any area of NICTS business becomes a cause for significant concern then an immediate report will be submitted.
The Lord Chief Justice is responsible for all matters relating to judicial performance. Where the Board considers a matter raises such issues it will refer them to the Lord Chief Justice.
The NICTS has lead responsibility for the development and implementation of policy and legislation concerning the operation of the courts. It consults the judiciary and others in the criminal, family and civil justice systems where necessary and with the concurrence of the Department where appropriate. NICTS also works with other NI Departments and the judiciary in developing tribunal policy.
It is understood that the judiciary will not be involved in discussion on public funded legal services nor comment on substantive policy issues but may wish to comment on the operational implications of policy for the effective running of the courts.
The Department consults the NICTS on all policy and legislative proposals which it is developing that may have an operational impact on the courts. Where such proposals raise significant issues they are reported to the Board.
The Department refers to the NICTS policy and legislative proposals being developed by other government departments upon which it is consulted and which may have an operational impact on the courts. The NICTS will ensure that the Department is advised of its response to the proposal. Where such proposals raise significant issues they are be reported to the Board by the Director.
The provisions in this chapter do not affect the operation of the procedure under which the Government may consult the judiciary on legislative proposals.
The Director is responsible for making arrangements for the provision of internal audit services within the NICTS. The NICTS' own auditors, the Department's Internal Audit Division or other auditors may be used, provided that the service complies with Government Internal Audit Standards and is delivered according to the standards and best practice set by DFP and, in particular, in adherence to the Internal Audit Standards promulgated by DFP.
The Department's Internal Audit Division has a right of access to the NICTS in support of the Permanent Secretary's responsibilities as Principal Accounting Officer.
The NICTS Audit & Risk Committee is a committee of the NICTS Board appointed by the NICTS Board according to standards and best practice to support the Director as Agency Accounting Officer in relation to issues of risk, control and governance. The Terms of Reference for the Committee are at Annex I.
The Audit & Risk Committee will operate in accordance with the Good Practice Principles Guidance for audit committees issued by HM Treasury in March 2007. The Committee will review the comprehensiveness of assurances provided to the Board and the Accounting Officer and review the reliability and integrity of these assurances. The scope of assurance will include all aspects of reporting on, and suggestions for improvement with regard to, governance, internal control and risk management.
The Audit & Risk Committee is chaired by a non-executive director.
The Audit & Risk Committee advises the Board and Director on the:
The Chair of the Audit & Risk Committee will ensure that effective arrangements for communication with the Department's Corporate Audit Committee are maintained. [The Chair of the NICTS Audit & Risk Committee will be a member of the Department's Corporate Audit Committee].
The Board will report annually, within the departmental report, on the work of the Committee in discharging its responsibilities.
The Director has responsibility for developing and implementing a comprehensive risk management plan for the NICTS and the Board is responsible for implementing the risk management plan.
The Comptroller and Auditor General for Northern Ireland audits NICTS expenditure and income, examines their regularity and propriety and certifies and reports on the NICTS Statement of Accounts.
The Comptroller and Auditor General for Northern Ireland sends copies of all management letters and correspondence relating to those letters to the NICTS Director of Finance, who will draw issues of significance to the attention of the Board.
The NIAO has the right to conduct value for money studies relating to the NICTS activities.
Under sections 45-49 of the Justice (Northern Ireland) Act 2002 the Chief Inspector of Criminal Justice for Northern Ireland must inspect the NICTS.
The Director will inform the Board and Minister of any inspections to be carried out on the NICTS and reports provided by the Chief Inspector will be sent to the Board and the Minister by the Director.
The NICTS will report on any matters set out in any report by the Criminal Justice Inspector which may give rise to significant concern on the part of the Minister, Department or Lord Chief Justice.
Where appropriate to do so, the Finance, HR and IT systems are provided to the NICTS under an agreed framework and Service Level Agreement.
Most support functions are provided to the NICTS via in-house or contracted out arrangements; others are provided by the Department. The Department will provide support services in accordance with any service level agreements and other arrangements between the Department and the NICTS.
The NICTS headquarters is located at Laganside House in Central Belfast.
The NICTS separately controls a significant estate for the purposes of court and tribunal administration and accommodation.
The management of the NICTS estate forms a key element of the business and strategic plans for the NICTS.
The NICTS Board will work to achieve the best use of resources and to deliver services that best meet the needs of the justice system.
The Minister will take the final decisions on the location and closure of courts, after appropriate consultation and having taken into account advice from the NICTS Board.
Procurement services will be provided to the NICTS via in-house resources for all activities under £10,000 or where the nature of the procurement is such that it can only be delivered by the in-house resource. All other procurement will be provided by the Department or by the Central Procurement Directorate of DFP. The NICTS in-house resources will be responsible for day-to-day contract governance.
The Department works in partnership with NICTS managers in the formulation and delivery of Human Resource (HR) policy.
The Department consults the Director, along with the other department business heads, to set common HR policy in the following areas:
The NICTS staff are members of the Northern Ireland Civil Service and staff of the Department of Justice. Existing terms and conditions are not affected by this Framework Document.
Staff are subject to the direction of the judiciary when they are supporting them in the conduct of the business of the courts and tribunals in matters such as listing, case allocation and case management in accordance with established court and tribunal processes.
The NICTS staff who are working in the Office of the Lord Chief Justice carry out their functions and responsibilities in accordance with his directions.
Existing line management arrangements are not affected by this Framework Document.
The Director is responsible for establishing and keeping under review the NICTS staffing levels, in consultation with the Department.
The Director has delegated authority from the Permanent Secretary for the creation and management of posts below SCS level.
The Director will ensure that the necessary arrangements are in place for consultation with the Departmental Trade Union Side.
The Director's post is an SCS appointment at Grade 3 Level.
Any vacancy in the post of Director will be appointed through open competition.
Executive Heads of Division are members of the SCS at Grade 5 and are appointed through open competition or on transfer from the Department or any other Northern Ireland Department.
Appointment of non-Executive Board Directors will be in accordance with Chapter 2.11.
Other staff will be recruited through normal NICS procedures.
The Director will have full powers in matters relating to the conduct, discipline and inefficiency of all employees, in accordance with the NICS code. A system of grievance and appeals procedures will be available to staff, including the right of appeal to the Director on all such matters and an officer subject to disciplinary and/or inefficiency proceedings will be advised of any other rights of appeal to which he/she may be entitled.
The Director is responsible for the assignment or transfer of all staff within the NICTS, other than for members of the Senior Civil Service, whose deployment is considered centrally by the Permanent Secretaries Group. Staff in the general service grades will come within the Department's arrangements for promotion.
In the event of a NICS-wide redundancy situation, The Department of Finance and Personnel will consult with departments, agencies and Central Whitley Trade Union side as to how redundancies should be managed. Departmental Trade Union Side will be consulted should redundancies be proposed at Departmental or Agency level.
The Director is responsible for fostering good industrial relations as an important aid to the achievement of the NICTS objectives, through the process of consultation and negotiation with NIPSA representatives and effective communication with all staff. An NICTS Whitley Council will be the main forum for consultation on matters of concern between management and unions.
Consultation on matters wholly or primarily affecting the NICTS will normally take place within the Agency. Issues of an overarching nature across the Department will be handled at Departmental or Central Whitley level.
The NICTS is committed to ensuring that its staff are developed and trained so that they are able to make the maximum contribution to the success of the NICTS. Staff will be given the opportunity to participate in their personal development and to link their skills and experience with the needs of the organisation.
All staff will participate in performance assessment procedures and will be encouraged to discuss their long-term development needs on a regular basis. The Agency operates the performance appraisal system currently in use of the rest of the Department.
The Director may develop new working arrangements to suit the needs of the Agency.
The Director is responsible for ensuring the availability of training and development opportunities for NICTS staff and will take forward a training and development strategy which meets the needs of the NICTS and its staff and where possible, takes account of the broader needs of the Department. NICTS will seek accreditation of its training and career development processes as appropriate.
The NICTS adheres to and positively seeks to promote the equal opportunity policies of the NICS and complies with all equality legislation.
The NICTS complies with the Health and Safety at Work (NI) Order 1978. NICTS will consult with staff and their recognised trade union representatives on health and safety matters.
This Framework Document will be reviewed formally after 12 months, and before the end of the transitional arrangements for the Department of Justice on 1 May 2012.
This Framework Document may be reviewed earlier if the Minister or Board so wish.
Copies of this Framework Document and of any subsequent amendments will be placed in the Assembly Library.
Copies are available on NICTS website at www.courtsni.gov.uk.
Tribunals administered by NI Court Service
Care Tribunal
Charity Tribunal Health & Safety Tribunals
Criminal Injuries Compensation Appeals Panel for Northern Ireland
Lands Tribunal
Mental Health Review Tribunal
Northern Ireland Act (National Security Certificates) Tribunal
Northern Ireland Valuation Tribunal
Pensions Appeal Tribunals
Rent Assessment Panel
Social Security and Child Support Commissioners
Special Education Needs and Disability Tribunal
The Appeals Service
Traffic Penalties Tribunal
Tribunal under Schedule 11 of the HSS (NI) order 1972
Tribunals to transfer to NI Court Service post devolution of justice
Industrial and Fair Employment Tribunals
Planning/Water Appeals Commissions
Police Medical Pensions Appeal Tribunal
Reserve Forces Reinstatement Committee
Reserve Forces Appeal Tribunal
NICTS also administers UK wide tribunals when sitting in Northern Ireland and the Northern Ireland Act (National Security Certificates) Tribunal under an agency arrangement with the Lord Chancellor.
1. This concordat which will come into operation on 12th April 2010 sets out arrangements - agreed between Her Majesty's Government and the Northern Ireland Executive - for underscoring the independence of the judiciary following the devolution of responsibility for criminal justice matters to the Northern Ireland Assembly and Executive.
2. In this Concordat "the 1978 Act" means the Judicature (Northern Ireland) Act 19781, "the 2002 Act" means the Justice (Northern Ireland) Act 20022; "the 2004 Act" means the Justice (Northern Ireland) Act 20043; "the 2005 Act" means the Constitutional Reform Act 20054; and "the 2009 Act" means the Northern Ireland Act 20095.
3. Her Majesty's Government and the Northern Ireland Executive agree that the independence of the judiciary in Northern Ireland is essential in a democratic society which supports the rule of law. It is of paramount importance that the judicial function remains independent of Government and immune from any partisan or political interest. Public confidence requires that judicial decisions are taken in a fair, impartial, objective and consistent manner. This confidence can only be maintained if judges are able to act with independence.
4. It is also recognised that responsibility for setting the overall framework for the administration of justice, including the substantive civil and criminal law will be a matter for the Northern Ireland Executive. It is understood that the judiciary will not comment on substantive policy issues but may wish to comment on the operational implications of policy for the effective running of the courts.
5. Section 3 of the 2005 Act enacts a guarantee of judicial independence applicable to "the judiciary" throughout the United Kingdom, and imposes duties in that respect on the Lord Chancellor and other Ministers. Section 1(1) of the 2002 Act makes similar provision for Northern Ireland. The Government and the Northern Ireland Executive, agree that the other judicial office holders listed in Schedule 1 to the 2002 Act will continue to enjoy the same independence, as the judiciary to which these provisions expressly apply.
6. In order to underscore the independence of the judiciary in Northern Ireland, the following principles and arrangements have been agreed between Her Majesty's Government and the Northern Ireland Executive:
6.1 The Lord Chancellor, Ministers of the Crown, the First Minister, the deputy First Minister, Northern Ireland Ministers and those with responsibility for matters relating to the judiciary or otherwise to the administration of justice must uphold the continued independence of the judiciary, in accordance with section 3 of the 2005 Act and section 1 of the 2002 Act (as substituted by section 4 of the 2005 Act) and the agreement set out in paragraph 5 above. This duty will operate whatever structures are put in place for administering justice matters.
6.2 Those listed in 6.1 shall not seek to influence particular judicial decisions through any special access to the judiciary or otherwise.
6.3 The responsible Northern Ireland Minister will ensure that there is an efficient and effective system to support the carrying on of the business of the courts and that appropriate services are provided for those courts.
6.4 The Lord Chief Justice shall exercise the role of the President of the Courts of Northern Ireland and head of the judiciary of Northern Ireland as provided for at section 12 of the 2002 Act (as amended by section 11 of the 2005 Act). In discharging this role he is responsible:6.5 Under section 16 of the 2002 Act, the Lord Chief Justice is also responsible for the code of practice relating to complaints against the judiciary and for the referral of any serious complaints to a tribunal.
6.6 The Lord Chief Justice is also responsible for certain functions relating to the operation of the courts, which are set out at Schedule 5 to the 2005 Act.
6.7 These roles and responsibilities are fully acknowledged by Her Majesty's Government and the Northern Ireland Executive who will act consistently with and in recognition of them.
6.8 The Lord Chief Justice may lay before Parliament written representations on matters which are the responsibility of Parliament and that appear to him to be matters of importance relating to the judiciary, or otherwise to the administration of justice, in Northern Ireland. Those matters do not include transferred matters within the legislative competence of the Northern Ireland Assembly, unless they are matters to which a Bill for an Act of Parliament relates.
6.9 The Lord Chief Justice may lay before the Northern Ireland Assembly written representations on matters which are the responsibility of the Assembly and that appear to him to be matters of importance relating to the judiciary, or otherwise to the administration of justice, in Northern Ireland. Those matters include transferred matters and excepted or reserved matters to which a Bill for an Act of the Assembly relates.
6.10 The responsibility of the Lord Chancellor shall be recognised in respect of the determination of judges' remuneration, superannuation and other terms and conditions of service. Any determination which the Lord Chancellor makes in relation to the salaries, pensions, or other terms and conditions of the judiciary in Northern Ireland shall be accepted and given effect to by the Northern Ireland Executive.
7. The appointment and tenure of judges is a determining factor in ensuring their independence. Appointment must be on merit alone. Judges should not be, and should not appear to be, beholden to any political office-holder or political doctrine for their appointment or preferment. Likewise, no political office-holder should be able to secure the appointment or determine the tenure of an individual judge. At the same time, and subject to the requirement that appointments and recommendations for appointment are made solely on the basis of merit, the legislation provides that the Judicial Appointments Commission should engage in a programme to ensure that judicial appointments should, so far as is reasonably practicable, be such that those holding listed judicial offices are reflective of the community in Northern Ireland. To further ensure the independence of the judiciary it s agreed between Her Majesty's Government and the Northern Ireland Executive that:
7.1 There shall be transparency and openness in the administration of judicial appointments and removals, as provided for by the mechanisms set out in sections 12 to 12C of the 1978 Act (as inserted by section 2 of and Schedule 2 to the 2009 Act) and the 2002 Act (as amended by section 2 of and Schedule 3 to the 2009 Act).
7.3 Where a listed judicial office may be held by more than one person at any time, the Commission must, with the agreement of the Department of Justice, determine the maximum number of persons who may hold the office. The Commission may from time to time, with the agreement of the Department of Justice, revise the determination (paras 5(2) and (3) of Schedule 3 to the 2002 Act as substituted by section 2 of, and Schedule 3 to, the 2009 Act). Where the listed judicial office is that of a High Court judge then the maximum number shall be determined in accordance with section 2(3) of the 1978 Act.
7.4 The Commission shall make an appointment or recommendation for an appointment to fill any vacancy in a listed judicial office, unless the Lord Chief Justice has agreed that it may remain unfilled (paras 2(6), 2(7), 4(3) and 4(4) of Schedule 3 to the 2002 Act as substituted by section 2 of, and Schedule 3 to, the 2009 Act).
7.5 The Prime Minister shall make recommendations to Her Majesty The Queen for the appointment of the Lord Chief Justice and Lords Justices of Appeal unless, in relation to the latter, the Lord Chief Justice has agreed that the vacancy may remain unfilled (section 12(4) and (5) of the 1978 Act as substituted by section 2 of, and Schedule 2 to, the 2009 Act).
7.6 Before making a recommendation, the Prime Minister must consult -
7.7 Appointments to listed judicial office and recommendations for appointment shall be made solely on the basis of merit, as required by paragraph 6(1) of Schedule 3 to the 2002 Act as substituted by section 2 of, and Schedule 3 to, the 2009 Act.
7.8 The Commission shall, subject to the principle of appointment on merit, engage in a programme of action designed to secure, so far as it is reasonably practicable to do so, that appointments to listed judicial offices are such that those holding such offices are reflective of the community, as set out in paragraphs 6(2) and (3) of Schedule 3 to the 2002 Act as substituted section 2 of, and Schedule 3 to, the 2009 Act.
7.9 The Lord Chief Justice shall hold office during good behaviour. He may be removed from office, in accordance with section 12B of the 1978 Act (as substituted by section 2 of, and Schedule 2 to, the 2009 Act), by an address presented to Her Majesty The Queen by both Houses of Parliament. No motion for the presentation of such an address may be made unless -
7.10 Lords Justices of Appeal and those High Court judges appointed before the commencement of section 7 of the 2002 Act shall hold office during good behaviour. They may be removed from office, in accordance with section 12C of the 1978 Act (as inserted by section 2 of, and Schedule 2 to, the 2009 Act), by Her Majesty following an address presented to Her by both Houses of Parliament. No motion for the presentation of such an address may be made unless -
7.11 A person may be removed from a listed judicial office in accordance with section 7 of the 2002 Act (as amended by paragraph 6 of Schedule 3 to the 2009 Act), by the Lord Chief Justice, but only on the basis of a report of a removals tribunal convened by either the Lord Chief Justice or the Northern Ireland Judicial Appointments Ombudsman (after consulting the other) under section 8 of the 2002 Act (as substituted by paragraph 7 of Schedule 3 to the 2009 Act). A tribunal must consist of a Lord Justice of Appeal or a judge of the High Court, a person who holds an office within section 3(6)(a) to (e) of the 2002 Act (that is, a Lord Justice of Appeal, a judge of the High Court, a county court judge, a district judge (magistrates' courts) or a lay magistrate) both of whom are selected by the Lord Chief Justice and must be judicial members of the Commission (unless the Commission agrees otherwise) and a lay member of the Commission selected by the Judicial Appointments Ombudsman.
7.12 If a removals tribunal is convened under any of the legislative provisions referred to in paragraphs 7.9 to 7.11, the person convening the tribunal will inform the Northern Ireland Minister for Justice.
8. Any difficulties experienced by the Northern Ireland Executive or Her Majesty's Government in operating these arrangements will in the first instance be raised through normal administrative channels, either at official or Ministerial level. Where a dispute or difficulty cannot be resolved in this way, a resolution will be sought in accordance with the principles and arrangements set out in the Memorandum of Understanding between Her Majesty's Government and the devolved administrations.
| Secretary of state HM Government |
First Minister Northern Ireland Executive |
| Lord chancellor | Deputy First Minister Northern Ireland Executive |
To provide direction for NICTS (paragraph 2.7).
To provide high quality, impartial and independent advice on all areas of NICTS responsibility (paragraph 2.7).
Approve draft corporate plans for submission to the Minister and Department.
To ensure business planning, corporate planning and reporting (paragraph 2.7).
To prepare annual bid for resources and develop budget and supporting plans (paragraphs 5.1.1)
Setting performance standards (paragraphs 5.4.1).
Approve Annual Report for submission to the Minister (paragraph 2.7 and 5.3).
Report to the Minister on any matters it sees fit or that it is asked to report on by the Minister (paragraph 2.14).
Consider significant issues reported to it by the Director raised by the PAC, Justice or other Assembly Committees, MLA, Chief Inspector, Minister and Dept and monitor progress on addressing such significant issues (paragraph 4.1).
Work to secure the best use of estate resources (paragraph 8.2).
Advise the Minister on the location and closure of Courts (paragraph 8.2).
Consider legislative proposals from the Department where such proposals raise significant issues for NICTS (paragraph 6.1).
Approve Annual financial statements and annual financial statements for court funds office.
Consider any delegations made by the Principal Accounting Officer and notified to it by the Director (paragraph 5.1.3).
Work with the Minister, Department, Judiciary and other relevant organisations within the aims and objectives agreed by the Minister (paragraph 5.1.1).
Establish Committees to assist it carry out its functions and consider reports from such committees at its scheduled meetings (paragraph 2.7).
To consider reports from the Audit and Risk Committee and report annually to the dept on its audit and risk programmes (paragraph 7.2).
Meet the Minister at least once per year (paragraph 5.1.2).
Review its own performance and effectiveness and the performance and effectiveness of its Committees (paragraph 2.7).
Receives reports from Finance Committee on expenditure of allocation (paragraph 5.1 and 5.1.2).
Receive any report from the Criminal Justice Inspectorate concerning the courts (paragraph 7.4).
The foregoing Standing Orders shall continue in force unless altered, amended or revoked by the Board.
1.1 The Board has established a Finance Committee as a sub-committee of the Board to assist with financial regulation and budget control.
1.2 The Membership of the Finance Committee comprises:
1.3 The quorum for the Committee is 3 members and subject to any general regulation by the Board it shall regulate its own procedures.
1.4 The Committee may invite other members of the Board or NICTS staff to attend a meeting as it thinks necessary.
2. The role of the Finance Committee is to:
| Description |
| NICTS Capital Projects up to £1,000,000 |
| Contract Variations up to 10% of project cost IT Projects up to £300,000 |
| Use of Consultants by NICTS up to £40,000 |
| Internal CPD Procurement Authority Levels up to £750,000 |
| Maintenance costs for NICTS buildings up to £750,000 |
| Enter into Service Level Agreements on behalf of NICTS up to £100,000 |
| Individual extra-contractual and ex-gratia payments up to £75,000 |
| Individual Compensation claims up to £75,000 |
| where the legal advice is that the NICTS will not win the case if contested in court. Individual extra-contractual and ex-gratia payments up to £75,000 |
| Legal Fees incurred by NICTS up to £10,000 |
| Special Payments up to £10,000 |
| Recoupment of overpayments of pay, pensions and allowances up to £10,000 |
| Losses/Write Offs up to £5,000 |
| Write Off of irrecoverable costs in legal aid up to £5,000 |
| Gifts up to £100. |
| Description |
| Fees and changes to fees |
| Chairman’s salary etc
Staff Budget and Statement of Accounts |
| Expenses of Public Enquiries |
| Disposal of Land |
| Description |
| All PFI/PPP projects |
| Unless other delegations specifically allow:
All other expenditure on Capital Projects over £1m |
| IT projects over £500,000 |
| Extra Statutory and extra-regulatory payments above £100,000 |
| Non-statutory guarantees and liabilities in excess of £100,000 |
| Waived or Abandoned claims above £100,000 |
| Individual extra-contractual and ex-gratia payments above £100,000 |
| Individual compensation claims above £100,000 where the legal advice is that the department will not win the case if contested in court |
| Use of consultants by departments and agencies over £75,000. NB: Ministerial approval to be cleared with DOJ Minister |
| Recoupment of overpayments of pay, pensions and allowances over £20,000 |
| Individual compensation claims over £10,000 (except where made under legal obligation) |
| Consolatory Payments over £500 |
| Losses due to failure to make adequate charges for the use of public property or services |
| Economic appraisals for spending proposals above delegated limits |
| Payments – advance payments |
| Receipts – repayment of CFERs from the Northern Ireland Consolidated Fund |
| Chargeable Services – as set out in existing guidance on fees and charges |
| Letters of comfort & general statements of support |
| Reporting a contingent liability in confidence |
| Reporting a liability outside Assembly sessions |
| Uninsured losses – where expenditure to replace or repair an asset or meet a claim falls outside the department’s delegated limits |
| Recoupments of overpayments of grants |
| Waiving recovery of a collective overpayment |
| All expenditure over £500,000 under the EU Programmes for which the Special EU Programmes Body is responsible – currently Peace II and Interreg IIIa |
| Consultancy assignments co-sponsored by the Strategic Investment Board over £150,000 |
| All gifts in excess of £250,000 and all not covered by delegated authorities. |
| Description |
| Provision of new or additional courthouse accommodation |
| Acquisition of land or buildings for use as courthouse accommodation or for the improvement of courthouse accommodation |
| Disposal of courthouse accommodation |
| Disposal of Land |
| District Judge (Magistrates’ Courts) Expenses |
| Remuneration of interpreters |
| Remuneration of persons appointed as assessors by a county court judge |
| Remuneration and allowance paid to members of the Pensions Appeal Tribunals |
| Changes to travel and subsistence allowances paid to jurors and witnesses |
| Grants/Awards |
| Form of Accounts |
| Rules made by the DoJ prescribing the form of criminal aid certificates, the manner in which counsel and solicitors are assigned and rates and scales of payments |
| DoJ determinations as to the manner in which sums are paid to the Northern Ireland Legal Services Commission for legal aid |
| DoJ directions as to the times at which estimates of other receipts are required for the legal aid fund |
| Description |
| Economic appraisals for spending proposals above delegated limits |
| Estimates – form and content of main and supplementary estimates and virement |
| Assets - Transfer of assets at less than best consideration reasonably obtainable |
| Assets – to appropriate any sums realised as a result of selling an asset |
| Liabilities – Depts seeking statutory authority to accept liabilities should consult DFP |
| Banking – Proposals to open foreign currency accounts |
| Banking – Requests for indemnities from a bank other than “formal undertakings” |
| Fraud – any departure from immediate reporting |
| Insurance – decision to use commercial insurance |
| Interdepartmental Transactions – where the transaction may require legislative procedures or where DFP agreement is required under statute |
1.1 The Board has established an Audit & Risk Committee as a sub-Committee of the Board to support it and the departmental Accounting Officer in their responsibilities for issues of risk, control and governance.
1.2 The Audit & Risk Committee will operate in accordance with the Good Practice Principles Guidance for audit committees issued by HM Treasury in March 2007. The Committee will review the comprehensiveness of assurances provided to the Board and the Accounting Officer and review the reliability and integrity of these assurances. The scope of assurance will include all aspects of reporting on, and suggestions for improvement with regard to, governance, internal control and risk management.
1.3 This terms of reference will be approved by the Board and the role of the Audit & Risk Committee, and the delegation given to it by the Board, will be made available publicly.
1.4 The Board will report annually, within the departmental report, on the work of the committee in discharging its responsibilities.
1.5 The Audit & Risk Committee will confine itself primarily to consideration of matters within the Agency. However the NICTS Audit & Risk Committee will ensure that the interrelationships between it and other such audit committees is documented and agreed, particularly where assurance is taken from such committees on matters which properly support the Agency's Statement of Internal Control.
2.1 The members of the Audit & Risk Committee are:
Chair (Non-executive lay member of Board)
The appointments will be confirmed for a fixed time, after which the appointment will end or become eligible for renewal up to a maximum of five years.
2.2 The Chair of the Committee will regularly review membership so as to ensure that an appropriate skills mix is maintained to enable the committee to continue to carry out its duties.
2.3 Committee members will be appointed formally in writing and will be offered appropriate training.
2.4 The role of the Chair will be to ensure that the work of the Audit & Risk Committee is conducted effectively and efficiently, that the committee has access to the resources it requires, and that effective communication is maintained with key stakeholders.
2.5 Members of the committee will individually be responsible for bringing to the attention of the Chair any potential conflicts of interest that arise as a result of the work of the committee. Such declarations will be formally recorded in the minutes of the meeting together with the action that the Chair decides to take to mitigate the conflict of interest.
2.6 The Audit & Risk Committee may:2.7 The Audit & Risk Committee will be provided with secretariat functions by Internal Audit Service (Audit) and Finance Branch (Risk Management).
3.1 The Chair will act as a direct link between the Audit & Risk Committee and the Board and will provide a briefing to the Board in accordance with its Standing Orders. Additionally, the Chairman will provide the Board with an Annual Report of the Audit & Risk Committee's activities at the end of each financial year to support finalisation of the accounts and the Statement on Internal Control, summarising the Committee's conclusions from the work it has done during the year.
3.2 The Audit & Risk Committee secretary will circulate the minutes of all meetings to the members of the Committee; members of the Management Board and the NIAO.
4.1 The Audit & Risk Committee will advise and support the Board and Accounting Officer. In doing so it will review the provision of all assurances provided and constructively challenge and test assurance providers as to whether the scope of their activity fully meets the assurance need, and that the assurances are founded on sufficient reliable evidence and that the conclusions reached are reasonable in the context of the evidence provided.
4.2 The Audit & Risk Committee will report on:
4.3 The Audit & Risk Committee will also periodically review its own effectiveness and report the results of that review to the Board.
5.1 The Head of Risk & Assurance Branch and the representative of External Audit will have free and confidential access to the Chair of the Audit & Risk Committee.
6.1 The Audit & Risk Committee will meet at least four times a year. The Chair of the Audit & Risk Committee may convene additional meetings, as is deemed necessary.
6.2 A minimum of two members of the Audit & Risk Committee will be present for the meeting to be deemed quorate.
6.3 Audit & Risk Committee meetings will normally be attended by the Head of Finance, the Head of Risk & Assurance Branch, the Finance Division Risk Manager and a representative of External Audit.
6.4 The Audit & Risk Committee may ask the Accounting Officer, or any other NICtS officials to attend to assist it with its discussions on any particular matter. This may also include representatives of related bodies and members of their respective audit committees.
6.5 The Audit & Risk Committee may ask any or all of those who normally attend but who are not members to withdraw to facilitate open and frank discussion of particular matters.
6.6 The Board or the Accounting Officer may ask the Audit & Risk Committee to convene further meetings to discuss particular issues on which they want the Committee's advice.
7.2 As and when appropriate the Committee will also be provided with:
7.3 Copies of risk management reports, Internal Audit assignment reports, and significant management reports may be provided to the Audit & Risk Committee upon request by the Chair.