Insolvency Service Ireland Performance Delivery Agreement

Performance Delivery Agreement 2020

between

The Insolvency Service of Ireland

and

The Department of Justice and Equality

1 Introduction This Performance Delivery Agreement (PDA) has been drawn up by the Insolvency Service of Ireland (ISI) in consultation with the Department of Justice and Equality (“the Department”) in accordance with the 2016 edition of the Code of Practice for the Governance of State Bodies (“Code of Practice”). It, together with the separate but related Oversight Agreement (OA), succeeds the previous Oversight/Performance Delivery Agreement 2019 between the two parties.

This Performance Delivery Agreement shall be reviewed and updated annually, and will be utilised to formalise the process through which the outputs and outcomes required from the ISI can be measured and assessed.

As per the Code of Practice, with reference to PDAs, “These agreements will act as a performance contract between the parent Department and the State body in which an agreed level of performance/service is formalised and which will ultimately result in improved efficiency and effectiveness in the delivery of public services.

The agreements allow for the adoption of both annual and multi-annual targets, and the development of output and outcome indicators, including milestones to measure performance against targets.”

To achieve this, it is necessary to set out the following:

• The key inputs, outputs and expected outcomes of the ISI’s activities, in quantitative, measurable terms; • Assessment of performance by monitoring of agreed targets, around those key outputs, inputs and outcomes.

This Agreement documents the agreed level of service between the parties in order to facilitate improved effectiveness and efficiency of relevant public services. It sets out the ISI’s key targets for 2020 and defines the output and outcome indicators on which performance should be measured. In addition it will also highlight any potential risk factors, allow for a level of flexibility and amendments of targets where necessary, and specify the monitoring arrangements between the Department and the ISI.

The Agreement ultimately seeks to (a) facilitate the ISI in carrying out its functions, (b) progress the ongoing development of output measures for its expenditure, and (c) improve the effectiveness and efficiency of public services.

The Agreement will support the ISI’s Strategic Plan 2019 – 2021.

2 Objective The purpose of this agreement is to formalise a process through which the outputs and outcomes required from the ISI can be measured and assessed. Equally, the agreement will set out the expectations of the ISI in relation to the support, guidance and information flow from the Department, which are vital in enabling the ISI to achieve its strategic and operational goals. To achieve this, it is necessary to set out the following:

• The Department’s expectations of the ISI; • The key inputs, outputs and expected outcomes of the ISI’s activities; • Assessment of performance by monitoring of agreed targets, around those key outputs, inputs and outcomes; • Support of the ISI by the Department in the delivery of its functions as set out in the Personal Insolvency Act 2012.

The Agreement seeks to: (a) facilitate the ISI in carrying out its functions, (b) progress the ongoing development of output measures for its expenditure, and (c) improve the effectiveness and efficiency of public services.

The Agreement will support the ISI in achieving its high level goals as set out in its Strategic Plan 2016 – 2019.

3 Commitments

3.1. Mutual Commitments

• Both parties agree to proactive and timely communications, cooperation and information on service delivery;

• Both parties agree to consult and to keep each other fully appraised on all matters of mutual relevance, particularly in the context of the ISI’s function to contribute to the development of policy in the area of personal insolvency; • Both parties support the effective achievement of agreed targets, as well as the promotion of partnership, responsiveness and mutual co-operation in their ongoing interactions.

The annual budgetary provision for the ISI will form part of the estimates for the Justice and Equality Vote and the requirements of the ISI will be considered in that context.

The ISI will identify, based on its business plans, its budgetary requirements to the Department as part of the budget process. When the budget is settled, consideration may have to be given to the preparation and submission of a revised Business Plan.

3.2. Department of Justice and Equality Commitments The Department will provide the following supports to the ISI to enable it deliver on its objectives:

• Liaise with the Department of Public Expenditure and Reform to ensure as far as possible, timely sanction for expenditure and staffing in line with Public Financial Procedures and Public Service Numbers policy; • Provide updates on Public Financial Procedures and Civil Service HR Policy Guidelines; • Provide a Human Resource Management service including, but not limited to, recruitment, employee relations, workforce development and performance management; • Provide the ISI with sufficient staff in accordance with its Work Force Planning. The current Work Force Plan was submitted to the Department from 2016. This is due to be revised during the course of 2020. Summary table in Section 6. Any subsequent reductions in staff numbers from agreed allocation will be discussed in relation to business impacts and ability to meet previously agreed targets. Where possible, the Department will provide at least two weeks’ notice before a member of staff is transferred;

• Provide high quality ICT services via the Shared Service in accordance with the Service Level Agreement currently in place; provide advice in relation to proposed IT projects and resulting expenditure and ensure prompt review (by ICT Governance Group) of the sanctioning of project related expenditure; • Provide guidance on Government Accounting and Governance; • Provide financial services (e.g. invoice payment and accounting services) through the Department’s Financial Shared Services; • Provide internal audit services to the ISI; • Provide assistance to the ISI in meeting its obligations under the Code of Practice for the Governance of State Bodies, including letters of assurance covering certain services provided to the ISI in areas such as IT; • Provide data protection support to the ISI through the Department’s Data Protection Support and Compliance Office; • Provide a networking and information service to the ISI, to ensure that staff of the organisation, who are civil servants attached to the Department of Justice and Equality, are kept fully informed of developments, career opportunities, staffing changes and policies in the parent Department; • Inform and involve the ISI in any activities related to the role that the ISI plays or may be required to play within the Department; • Work with the ISI in the regular reporting processes under the Public Sector Reform and Civil Service Renewal Programmes; • Provide monthly financial reports, processing of mobile phone bills, asset tracking and general financial advice via the Department’s Financial Management Unit (FMU); • Keep under review, in collaboration with the ISI, the effectiveness of the Personal Insolvency Acts and Bankruptcy Act 1988, drafting amending legislation, as necessary and in a timely manner; • Provide timely responses to request for changes to secondary legislation.

4 Inputs

4.1. Financial Inputs The Department is responsible for determining the overall allocation of funding to the ISI i.e. the annual grant, while the ISI is responsible for the allocation of its current expenditure within agreed budgetary parameters.

The Department will provide an annual grant to the ISI, which in 2020 will be as follows:

Expenditure 2020 Budget Allocation

Pay €4,710,000

Non-Pay €2,800,000

Total €7,510,000

ISI has also budgeted for Fee Income of €1,000,000 in 2020 which will be remitted to the Department.

In the context, inter alia, of the forecast expenditure required to complete its new Case Management System (“Project Phoenix”) and its commitment to meeting its obligations under the Personal Insolvency Act 2012 (as amended) to promote public awareness and understanding of the available personal insolvency solutions, ISI’s budget for 2020 is currently forecast to be quite tight.

The ISI has been in correspondence with Department, since its formal submission in January 2019, with regard to the shortfall which has arisen in the Unclaimed Dividend Account (“UDA”), which has been used for many years, with High Court approval, by the Official Assignee in Bankruptcy (“OA”) to fund his statutory functions in bankruptcy cases where there are insufficient, or no available, funds to do so.

The ISI has committed to attempt to supplement the shortfall between the OA’s costs for 2020 and the remaining balance in the UDA by seeking to achieve savings across certain expenditure headings in its existing budget. This may include, subject to permission by the

Department’s Governance unit / DPER, to utilise any potential payroll savings for this purpose.

4.2. Staff Resources Grade Headcount (as at) FTE (as at)

Director 1 1

Principal Officer 3 3

Assistant Principal 12 12 Officer

Higher Executive 14 Officer / 14 Administrative Officer

Executive Officer 23 22.5

Clerical Officer 27 26.75

Total 80

Current Vacancies: 7.25 Current shortfall: 8.4%

The ISI has a resourcing requirement of 86.5 staff. The ISI’s 2019 pay budget contains sufficient scope to recruit the required additional staff. Efforts are underway within the HR Division of the Department of Justice and Equality and the Public Appointments Service to fill the vacancies.

5 Outputs and Targets The following section sets out the Key Performance Indicators which will be used to assess the ISI’s progress towards achieving its key targets and core function; the restoration of insolvent individuals to solvency under the provisions of the Personal Insolvency Acts.

The ISI has identified five key strategic goals in its draft Strategic Plan 2019 – 2021 which are the focus of its current work programme, to:

5.1. Strategic Priority 1 Goal 1 To manage and process the timely resolution of bankruptcy and insolvency solutions

Objectives As from Headline Key Performance Indicators From Key Actions to Achieve Due Date Strategic Plan Strategic Plan Headline KPI’s Monitor the operation Develop key metrics to ensure effective 1. Review and revise current statistics pack biannually. 30/7/20 of the ISI Arrangements management of the administration of 2. Monthly report to Head of Case management for review. Monthly relating to personal insolvency Arrangements (including volumes, Any key trends in activity to be discussed with SMT. insolvency. turnaround times, courts documents posted 3. Any underperformance in key metrics on internal Ad Hoc correctly and on time). performance to be reported to Director along with proposed resolution. Assess the performance of the ISI against these key metrics biannually.

Ensure timely and Ensure adequate staff resources are in place 1. Review current timeline and re-assess progress. Implement 31/1/20 successful to deliver the implementation and operation any corrective measures required. implementation of the of the new case management system. 2. Report to Project Board Regularly with updates and seek Monthly new Insolvency Case guidance. Management System by Implementation of the new case management 3. Review project staff and tester requirements monthly. Monthly Q2, 2020. system for insolvency by Q2, 2020. 4. Complete training manual and agree training schedule. 30/4/20 5. Go Live by end Qtr 2. 30/6/20 Ensure documented processes and procedures are in place to support the operation of the new system.

Review, evaluate and Undertake an externally led and independent 1. Review current procedures and statistics in the context of 30/6/20 continue to improve the evaluation of the ISI’s case management the functionality of the new Case Management System. ISI’s performance in performance by Q4, 2020. 2. Implement new work practices and statistical reports once 30/9/20 meeting case processing item 1 and training in new CMS complete. requirements. Implement recommendations of this 31/12/20 independent review. 3. Conduct a review of the efficiencies of the new system and work practices.

Review, evaluate and Review and amend, within a change control 1. Review, update and document all policies and procedures 31/3/20 continue to ensure process, all bankruptcy policies and and roll out to staff. efficient administration procedures to optimise their efficiency and 2. Review and update all key metrics to ensure we are 30/6/20 of bankruptcy estates effectiveness. catching key trends. Agree report format for presentation and uphold the integrity to monthly SMT. of the bankruptcy Develop innovative digital solutions where 3. Review funding mechanism for administration of system 31/3/20 system. possible to improve service to all and maintenance of compliance. stakeholders. 4. Review compliance under BPOs and other bankrupt Quarterly obligations by Bankruptcy SMT on a quarterly basis Review and develop the key metrics ensuring fairness and flexibility as required. monitoring bankruptcy operations, using the 5. Survey staff on a bi-annual basis for feedback around 30/6/20 case management system to the maximum system from debtors and Creditors. Report to monthly extent possible. SMT. 6. Ensure we manage estates effectively and efficiently and 15/3/20 Continue to demonstrate equal respect and obtain and follow best advice from professionals advising 15/9/20 fairness to debtors and creditors in the and acting for us. investigation and administration of 7. Report on asset realisations on a quarterly basis to SMT. Quarterly bankruptcy estates. 8. Dividends issued on all cases that meet criteria at least Q2 & Q4 twice yearly. Continue to ensure compliance by bankrupts 9. All key metrics from the division reported annually. Annually with their statutory obligations and uphold the integrity of the bankruptcy process.

Work with the Hold biannual meetings with the Civil Law 1. Follow up on implementation of Recommendations in As required Department of Justice Division of the Department. S.141 Submission. and Equality to amend the bankruptcy and 9 personal insolvency Continue to work jointly to progress 2. Meet and keep updated the Governance and Civil Law 30/6/20 legislation, streamline legislative changes: (i) required to allow the reform sections of DOJE to discuss trends and current administrative implementation of an online portal for issues. processes3 and bankruptcy applications; (ii) identified in the 3. On-Line portal project not a priority for 2020. implement relevant ISI’s section 141 submission from 2017. Consultative Forum recommendations, Ensure the Department is updated on where appropriate. changing social and economic conditions that may require a legislative response.

Submit consolidated legislative amendments to the Department to ensure continued efficient and effective operation of bankruptcy and personal insolvency policy.

Ensure Bankruptcy and Develop quantifiable measures of systems’ 1. Work with stakeholders via User Acceptance Testing phase 30/6/20 Insolvency case performance. to include system’s performance. management systems 2. Draft and agree Service Level Agreement for Phoenix 30/6/20 deliver optimal Identify weaknesses and areas for system maintenance post Go Live with relevant targets and performance and improvement. measures. efficiency returns, and 3. Review system post Go Live to identify further 31/12/20 provide appropriate Prioritise and implement the required enhancements. management improvements. 4. All staff to manage their workflow via dashboards and Monthly information. reports to improve efficiency and enable future enhancements to be documented and introduced. 5. New tender being prepared in 2020, in advance of 2021 30/12/20 requirement. Any areas that can be improved will be identified as part of the process.

Evaluate the potential Establish a feasibility project to identify 1. Not a priority for 2020. for implementing an benefits of an integrated portal for ISI and its 2. Establish an inter-Divisional working group to examine 31/12/20 integrated bankruptcy stakeholders. efficiencies and synergies between the two systems and insolvency online acknowledging that at present, there is a marked applications portal to Implement the recommendations of this difference in terms of required functionality between the support the receipt of feasibility study. two systems. information from debtors/bankrupts, their representatives and creditors and providing limited access to records as required.

5.2. Strategic Priority 2

Goal 2 To regulate and monitor the performance of PIPs and AIs

Objectives As from Headline Key Performance Indicators From Key Actions to Achieve Due Date Strategic Plan Strategic Plan Headline KPI’s Continue to authorise, Monitor fitness and probity of PIPs and AIs by 1. Risk-based Inspection Plan in place and procedures Complete supervise and regulate implementing associated inspection implemented in 2019. PIPs and AIs. arrangements by Q4, 2019. 2. Complete renewal of authorisations as they fall due. Ad-Hoc 3. Authorise new PIPs as required. Ad-Hoc 4. Review PIP and AI Registers Quarterly 5. Agree programme of inspections for 2020. 31/1/20 6. Respond to formal complaints against PIPs as they arise. Ad-Hoc

Ensure proactive, Further develop ISI regulatory framework. 1. Revise and implement updated regulatory model. 31/3/20 effective and proportionate regulation Implement, by Q2, 2020, a revised of practitioners. sustainable regulatory model that protects the integrity of practitioners and the broader framework for personal insolvency.

Develop and agree Undertake a consultation exercise with 1. Active consultation with stakeholders through fora such as Ad-Hoc performance standards stakeholders. the Debt Protocol Committee and associated working for PIPs. groups, CPD events (including meetings of the Association Identify areas for improvement in standards. of Personal Insolvency Practitioners (APIP) and creditor dialogue meetings. Identify effective standards and objective 2. Ensure performance standard expectations are agreed with Ad-Hoc measurements of these standards. and communicated to PIPs (including compliance requirements in respect of the Abhaile PIP panel). Pursue the implementation of these 3. Incorporate agreed standards into our monitoring and Ad-Hoc standards with PIPs and their supervisory activities. representatives.

Increase number of Conduct regular scheduled supervisory visits 1. Agree risk based supervisory visit schedule for 2020 based 31/1/20 scheduled supervisory with PIPs: on current resources. visits. 2. Review alternative supervisory/oversight procedures to 30/6/20 increase frequency/efficiency of audits. - at least once throughout their 3 year

authorisation period; - within the first year for newly authorised PIPs.

Conduct follow up visits to ensure recommendations are implemented.

Using a risk based Identify any practitioners who are 1. Track the performance of individual PIPs via their error Quarterly approach, target underperforming, engaging in ambiguous counts on the CMS and compliance with annual case supervisory visits to practices, or are subject to complaints. review requirements. reflect quality 2. Internal mechanisms in place between the Regulation team Quarterly compliance and ensure Conduct timely supervisory visits of identified with both the CM and Bankruptcy Divisions to enable the appropriate compliance practitioners. escalating of issues encountered from a PIP compliance processes are in place. perspective. Assess conduct of PIP against agreed criteria and form a view on whether improper conduct has occurred or is occurring.

Systematically identify Undertake consultation with PIPs, AIs and 1. Ongoing consultation re training needs. Ad-Hoc practitioner CPD other stakeholders to identify training needs. 2. Publish revised Bankruptcy online module through IOB 30/6/20 requirements for PIPs. portal. Develop programmes internally to meet 3. Ongoing development of Personal Insolvency programme Ad-Hoc identified needs. in association with City Colleges.

Develop programmes/courses in collaboration with external providers to meet identified needs.

5.3. Strategic Priority 3

Goal 3 To be recognised as the leading authority on personal insolvency in Ireland

Objectives As from Headline Key Performance Indicators From Key Actions to Achieve Due Date Strategic Plan Strategic Plan Headline KPI’s Continue to review and Proactively engage with international best 1. Seek to implement further legislation change in line with Semi-Annual apply international best practice through: (i) continued participation comparable jurisdictions e.g. removing debtor applications 13 practice to support the on international fora; and, (ii) in from Court - online applications, introduce no automatic on-going development of collaboration with agencies in other discharge if non - cooperation (links in with exchequer insolvency debt jurisdictions. funding issues). solutions. 2. Attendance at IAIR. Annually Identify, disseminate and apply best 3. Attendance at Home Nations annual meetings to discuss Annually international practice as appropriate to an issues of mutual concern and benefit. Irish context. 4. Implement change of foot of best practice reviews. Ad Hoc

Use data, statistics and Ensure that the ISI’s IT systems are leveraged 1. Submit monthly internal and external stakeholder report of Monthly evidence to inform and to provide relevant statistics for research case processing activity to SMT. drive decision-making. purposes, and to inform policy and legislative 2. Provide relevant monthly statistics to Personal Insolvency Monthly development. Practitioners and Approved Intermediaries. 3. Bring test DRN cases to Court for direction on issues, that Ad-Hoc Ensure policy positions are informed and once resolved, will provide clarity and drive applications supported through available information until amending legislation enacted. /data. 4. Create new statistical reports leveraging the functionality 31/12/20 of the new Phoenix Case Management System. Continued implementation of evidence- 5. Utilise system data via reports and dashboards to develop Monthly based decision-making. optimum asset realisation strategy. 6. Utilise system data via dashboards to proactively manage Quarterly dividend payment process. 7. Utilise system data via reports to form macro decisions Monthly around developing and improving insolvency solutions e.g. type of employment more affected by Insolvency etc.

Work to ensure that Ensure RLE guidelines are reviewed regularly 1. Engage with Vincentian Partnership for Social Justice (VPSJ) 30/6/20 Reasonable Living and remain appropriate. to review our RLE Guidelines. Expenses (RLEs) are set 2. Formal communication to relevant Ministers to agree the 30/6/20 RLEs.

14 at levels accurately Ensure broad stakeholder support and 3. Following agreement, publish RLEs on ISI website and issue 31/7/20 reflecting costs of living. confidence in the RLEs used in bankruptcy notification to all stakeholders. and insolvency.

Continue to support the Contribute to the evolution and 1. Revise Terms and conditions for new Abhaile PIP Panel and 31/1/20 Abhaile scheme and enhancement of the Personal Insolvency seek agreement of Steering Board. other cross- Framework. 2. Invite expressions of interest from PIPs in new Abhaile PIP 31/2/20 Departmental and cross- panel with revised T&Cs and provide training event. Agency initiatives to Actively participate in projects across 3. New Beginning report released to media under information 31/3/20 assist those with home Government Departments and Agencies. request. mortgage arrears. 4. Compile and present suggested enhancements to Steering Complete Group on Abhaile Scheme. 5. Complete 2020 Deep Dive. 31/12/20 6. Further develop relationship with MABs including the Ad-Hoc agreement of an updated triage for referral from MABS to a PIP.

Contribute to insolvency Proactively contribute to policy / legislation 1. Participate at all EU meetings required to develop EU As scheduled related EU regulations required within the national context. legislation. by the EU and implement as 2. Assist Department in drafting of all legislation and SIs to Ongoing appropriate. Participate in relevant EU fora. implement same. 3. Assist Courts Service Rules Making Committee in drafting As required of any Court Rules to implement EU Insolvency changes eg EU Insolvency Portals. 4. Create links to EU Portals to give effect to Article 25 of the Commence Q4 EU Insolvency Regulation 2020

5.4. Strategic Priority 4

To design, plan and implement an effective external communications strategy, raising awareness of bankruptcy and insolvency solutions Goal 4 amongst our target audience

Objectives As from Headline Key Performance Indicators From Key Actions to Achieve Due Date Strategic Plan Strategic Plan Headline KPI’s Develop and Consult with external experts and other State The key action implemented as part of this Objective is our Complete implement a dedicated bodies/ agencies with similar remits. annual National Awareness Campaign. 3-year communications 1. Implement 2020 campaign using learnings from 2019 31/3/20 and awareness Identify resources required to implement and campaign. strategy. operate 3-year integrated communications 2. Increase level of exposure through other media channels Ad-Hoc strategy. 3. Implement any recommendations from Debtor Research 30/9/20 Project Ensure that ISI communication and awareness 4. Implement findings of independent mid-term review. 30/9/20 campaigns are appropriately funded and 5. Manage budget to ensure maximum effectiveness of 30/9/20 resourced, carefully designed and targeted to Awareness Campaign. key audiences. 6. Agree co-ordination of insolvency and other financial Ad-Hoc management services awareness campaigns with other Undertake mid-term review of the Agencies. effectiveness of the strategy. 7. Create a Bankruptcy Consultancy Forum. 30/9/20 8. Discuss with MABS and agree a joint media strategy. 31/12/20 Identify areas for improvement and implement required changes. Use all research Develop a programme of work for the cross- 1. Action the agreed programme from the 3 year 31/3/20 findings from across divisional communications group. Communications Strategy. the ISI and external to 2. Hold monthly meetings with the Communications Project Monthly the ISI to inform Hold regular meetings with transparent Group. targeted information, sharing of data and information.

16 communication and 3. Use analytics to improve the effectiveness of our future Ad-hoc awareness campaigns. Continue to implement an evidence-based campaigns. approach to information campaigns. 4. Use data to direct campaign plans and maintain a digital media presence for Q3 and Q4. 30/6/20

Improve creditor and Conduct research into creditor and debtor 1. Commission a research project into how Debtors process 31/3/20 debtor engagement behaviour with a view to identifying how to and use ISI messaging and to determine its effectiveness with bankruptcy and ensure greater engagement. and provide enhancements recommendations. insolvency solutions. 2. Conduct series of meetings with Creditors and Creditor Ad-Hoc Enhance awareness of the ISI, demystify Representatives to canvass views and influence behaviour. terminology, address misconceptions and use 3. Review our publications and website to ensure Ad-Hoc case examples to ensure that communications communications are clear and example based. resonate with key stakeholders. 4. Continually canvass the views of PIPs and other Ad-Hoc stakeholder organisations.

Continue innovation to Identify new channels for communication. 1. Meet with other agencies to learn how they access multi- Ad-Hoc increase reach and media to increase awareness and canvass messaging impact of all ISI Identify how new technologies can be used for 2. Work with our media company to understand how Ad-Hoc external enhanced communications. consumers use emerging and evolving technologies. communications. 3. Include alternative communication channels in annual 31/3/20 Identify areas for leveraging off and awareness campaign participating with debtor advisory services (e.g. MABs).

Continue to consult, Identify relevant stakeholders. 1. Regular E-briefs issued to all stakeholders to report on Ad-Hoc engage and ongoing work of the ISI communicate with Develop a stakeholder engagement plan. 2. Meeting of the Protocol Oversight Committee Q4 2020 stakeholders to provide (meetings/con information on the Regular bilateral meetings with Stakeholders ference calls operation of the to identify issues of concerns. for work

Bankruptcy and groups – as Insolvency Acts – Compile, analyse and disseminate information required) offering informed and statistics to address stakeholder issues insights to enhance identified and follow up. effectiveness. Regular meetings of the Protocol Oversight Committee.

5.5. Strategic Priority 5

Goal 5 To ensure effective corporate governance, develop our staff and enhance organisational capability

Objectives As from Headline Key Performance Indicators From Key Actions to Achieve Due Date Strategic Plan Strategic Plan Headline KPI’s Continue to implement SMT to undertake biannual reviews of 1. SMT will carry out a progress review of divisional business Quarterly the KPI reporting divisional business plans to ensure KPIs are plans on a quarterly basis. system to drive and being achieved and remain relevant. 2. Strategic Plan progress review meeting will be scheduled 31/12/20 track ISI performance. for December. SMT to review annual progress of the Strategic 3. Monthly review of Strategic Plan actions, performance Monthly Plan 2019 to 2021 against the Key delivery agreement actions, and the oversight agreement Performance Indicators set out in the plan. KPIs to be carried out by Divisional heads.

SMT to conduct biannual meetings with the Governance Division of the Department to ensure KPIs agreed in the Oversight Agreement with the Department are being achieved and to identify any areas of underperformance.

Continue to work with Annual Oversight Agreement with the 1. Complete. 2019 the Department of Department. This has been agreed on a three- 2. Meet with Governance Division of the Department Q2 & Q4 Justice and Equality to year basis with the Department. biannually and implement any agreed recommendations. support the delivery of 3. Update procedures to reflect the new contact and 2019 strategic objectives. Biannual meetings with the Governance reporting structure in the Department. Division of the Department.

Continued participation in the Department’s Transformation Programme.

Continue to ensure Annual letter to Minister from the Director 1. SMT to strategically review existing ISI Risk Register to 30/6/20 compliance with the confirming the review of the effectiveness of update risk measurement and mitigation measures. ISI’s corporate the ISI’s system of internal control. 2. Agree, review and implement any recommendations from 31/5/20 governance obligations our internal audit and C&AG reviews. as set out under the Review and update the ISI’s risk register to 3. Review internal controls around Bankruptcy Accounts. 30/9/20 Code of Practice for the systematically identify, monitor and mitigate 4. Complete Data retention Project. 30/6/20 Governance of State risks. 5. Carry out GDPR review and issue guideline to staff as 30/9/20 Bodies 2016. appropriate. Ensure ISI compliance with GDPR and related 6. Submit an Annual Report to the Minister on the ISI 30/4/20 obligations – taking necessary precautions in performance of its functions. the storage, updating, retrieval and deletion of 7. ISI approved accounts submitted to the C&AG. 31/3/20 personal data. 8. Copy of ISI accounts and C&AG report presented to the 31/6/20 Minister. Promote and monitor commitments relating to the Customer Charter and Complaints process.

Ensure effective Implement the recommendations of the 1. ISI to initiate an Innovation Network. 31/3/20 internal internal communications project. 2. Quarterly staff update meetings to be held. Quarterly communication, 3. Programme of 10:1 meetings to be initiated. 31/3/20 knowledge sharing and 4. Storyboard/Infographic in prominent places. Quarterly 19 operational Continue to encourage cross-divisional 5. Staff newsletter to be issued quarterly. Quarterly collaboration between projects and team working. 6. Document membership and terms of reference of all ISI 31/3/20 all ISI divisions. internal working groups and committees. Continue to inform staff of developments at all staff meetings and to ensure that Heads of Divisions hold regular meetings with staff in their divisions.

Ensure staff are fully aware of the work of the SMT and internal working groups.

Explore options to enhance current internal knowledge management procedures and systems.

Develop an integrated Undertake a skills audit of all staff. 1. Complete organisational review of the induction process. 31/3/20 workforce plan to 2. Implement recommendations. 30/6/20 address resourcing, Identify skills gaps and skills complements. 3. Carry out exit interviews to assess employee’s experience Ad-Hoc skills, learning and of the ISI. development, Proactively identify “best fits” across the ISI. 4. Survey all staff to identify relevant skills and experience. 31/12/20 induction and 5. Review the way in which the organisation is structured, 31/12/20 succession Develop and implement a training needs identifying any changes to create increased efficiency and requirements, ensuring analysis for staff. effectiveness. all personnel are equipped to meet role requirements.

6 Flexibility and Amendment of Targets The ISI is committed to deliver on the established work plan for 2020. However, the achievement of the targets in the ISI work plan 2020 will be impacted on by a range of factors including available resources and in some cases external factors beyond the ISI’s control such as the business impacts associated with the Covid-19 pandemic. Where delays arise the timeframe for delivery may need to be extended including carrying into 2021 where appropriate. The ISI will report on progress on targets at governance meetings with the Civil Governance Function, and in between where appropriate.

7 Potential Risk Factors The ISI operates a formal Risk Management policy and maintains a Risk Register and this is updated on an ongoing basis. The maintenance of the Register ensures that risks are identified and assessed and necessary mitigating actions are, where resources allow, put in place.

Reflecting the key priorities of the organisation, the following potential risks were identified as the main areas that could negatively impact on the ISI in 2020:

Risks Controls & Mitigants

Delivery Of Project Phoenix • Project review to be completed. • Vision Blue on-boarded at request of ISI. • MOU agreement on project completion being progressed. • Project Board meeting more frequently and revised programme approved. • DOJE kept apprised of developments and aware of budget implications. • Additional staff reallocated for testing and training purposes.

Funding of Bankruptcy Function given • Budgetary implications review completed for depleted Unclaimed Dividends Account 2020 • Provision made in ISI Budget for potential temporary 2020 requirement subject to DPER approval Long term funding proposal made to DOJE Business Continuity during Covid-19 • Maximise access to remote working Pandemic • Amend and enact Disaster Recovery Plan • Agree revised logistical arrangements with Stakeholders • Consider emergency legislation requirements.

8 Monitoring Arrangements The implementation of this Agreement will be monitored twice yearly, or more frequently if required, through governance meetings between the ISI and the Civil Governance Function in the Department to provide an update on developments and achievement of targets set out in this agreement.

The ISI undertakes to return:

(a) all relevant and appropriately detailed performance information to allow for monitoring of this Agreement; (b) relevant and appropriately detailed performance information for inclusion in the Revised Estimates for Public Services volume; and (c) performance information in line with the set of such indicators, and in keeping with the timeframe, agreed with the Department.

The ISI will provide at the Minister’s request any information on any matter concerning its policy and actives generally or any specific matter or account prepared by it.

9 Duration and Review of the Oversight and Performance Delivery Agreement

The arrangements as set out in this Agreement will apply with effect from the date signed hereunder until 31st December 2020.

10/07/2020