Governance Framework - PRA i · This Governance Framework has been prepared in line with the principles and ... 4.3 Internal Control Framework ... framework of constitutional and

Governance Framework

in the

Property Registration Authority

April 2016

Foreword

This Governance Framework has been prepared in line with the principles and

requirements set out in the Corporate Governance Standard for the Civil Service

taking into account the particular context of the Property Registration Authority.

The effective operation of these procedures and governance practices is essential for

proper management and control within the Authority. It builds credibility with

stakeholders such as the Dáil, the taxpayer, clients, the Department of Justice and

Equality, the Department of Public Expenditure and Reform, the Comptroller and

Auditor General and other groups. In addition the adherence to well documented

procedures and controls puts staff in the Authority in a position to perform their duties

in an open and transparent manner.

The framework document is intended to act as a supplement to, and has drawn upon

material from other official material which sets a wide range of governance

requirements; Public Financial Procedures, Various Department of Finance and

Department of Public Expenditure and Reform circulars, and, of course, a range of

internal practices, procedures and controls.

Good governance is not the sole concern of designated senior managers, but must

be pervasive throughout an organisation. The document therefore seeks to provide a

key support to the management and staff of the Property Registration Authority in

pursuit of best practice in relation to good corporate governance. I welcome its

publication and indeed the opportunity it provides to review and, where necessary,

update our governance arrangements.

Frank Treacy Chief Executive Officer 28 April 2016

Contents

1. CORPORATE GOVERNANCE IN THE PRA – AN OVERVIEW ....................... 1

1.1 Purpose ............................................................................................................................ 1

1.2 Introduction ..................................................................................................................... 1

1.3 Mission ............................................................................................................................. 2

1.4 Values............................................................................................................................... 2

1.5 Standards, Behaviours and Ethics ............................................................................... 4

1.5.1 Code of Standards and Behaviour for civil servants ................................................ 4

1.5.2 Ethics and Statements of Interests .......................................................................... 6

1.6 Protected Disclosures .................................................................................................... 6

1.7 Organisational Governance Structure .......................................................................... 7

1.8 Strategic Planning, Decision Making & Performance Management ........................ 10

1.8.1 Strategic Planning Process .................................................................................... 11

1.8.2 Business Planning Process .................................................................................... 11

1.8.3 Workforce Planning ................................................................................................ 12

1.8.4 ICT Strategy ........................................................................................................... 12

1.8.5 Learning and Development Strategy ..................................................................... 13

1.8.6 Annual Report ........................................................................................................ 13

1.8.7 Performance Management and Development System .......................................... 14

1.9 Stakeholder Engagement ............................................................................................. 15

1.10 Internal Communications Strategy ............................................................................. 15

1.11 Engagement with External Stakeholders ................................................................... 18

1.11.1 Engagement with the Customer and other Stakeholders .................................. 18

1.11.2 Engagement with Other Government Bodies .................................................... 22

1.11.3 Engagement with International Bodies .............................................................. 22

2. MINISTERIAL, PARENT DEPARTMENT, AUTHORITY AND SENIOR .......... 26

MANAGEMENT ROLES & ASSIGNMENT OF RESPONSIBILITIES ..................... 26

2.1 Parent Department and Minister ................................................................................. 26

Contents

2.1.1 Role of the Minister ................................................................................................ 26

2.1.2 Departmental Oversight ......................................................................................... 27

2.1.3 Performance Agreement with Department of Justice and Equality ....................... 29

2.2 Authority ........................................................................................................................ 30

2.2.1 Meetings of the Authority ....................................................................................... 31

2.2.2 Appointments to the Authority ................................................................................ 31

2.2.3 Subcommittees of the Authority ............................................................................. 31

2.2.4 Matters specifically reserved for the Authority ....................................................... 32

2.2.5 Authorisations ......................................................................................................... 32

2.3 Rules Committee ........................................................................................................... 32

2.4 The Chief Executive and Accounting Officer Role .................................................... 33

2.4.1 Accounting Officer Role ......................................................................................... 33

2.4.2 The Accounting Officer and the Public Account Committee .................................. 34

2.4.3 Principles and Conventions .................................................................................... 35

2.5 Assignment of Management Roles and Responsibilities ......................................... 36

2.6 Leadership and Organisational Capacity ................................................................... 36

2.6.1 Leadership .............................................................................................................. 37

2.6.2 Organisational Capacity ......................................................................................... 37

3. MANAGEMENT BOARD & OTHER GOVERNANCE STRUCTURES ............ 41

3.1 Management Board Terms of Reference .................................................................... 41

3.1.1 Membership/composition ....................................................................................... 41

3.1.2 Meetings ................................................................................................................. 42

3.1.3 Shared Participation ............................................................................................... 42

3.1.4 Roles ...................................................................................................................... 43

3.1.5 Matters Appropriate for the consideration of Management Board ......................... 44

3.1.6 Relationship with the Chairman and Members of the Property Registration

Authority .............................................................................................................................. 45

3.1.7 Relationship with the Parent Department .............................................................. 45

3.1.8 Committees ............................................................................................................ 46

3.1.9 Performance and Evaluation .................................................................................. 47

4. AUDIT, ASSURANCE AND COMPLIANCE ARRANGEMENTS .................... 49

4.1 Introduction ................................................................................................................... 49

Contents

4.2 State Guarantee: Compensation Scheme .................................................................. 49

4.3 Internal Control Framework ......................................................................................... 50

4.3.1 Internal Financial Control ....................................................................................... 50

4.3.2 Appropriation Account ............................................................................................ 51

4.3.3 Statement of Internal Financial Control .................................................................. 52

4.3.4 Procurement ........................................................................................................... 52

4.4 Internal Audit ................................................................................................................. 54

4.4.1 Role of Internal Audit .............................................................................................. 54

4.4.2 Delivery of Internal Audit Function ......................................................................... 55

4.4.3 Charter for Internal Audit ........................................................................................ 55

4.4.4 Internal Audit Methodology .................................................................................... 55

4.5 Audit Committee ........................................................................................................... 56

4.5.1 Audit Committee Arrangements in PRA ................................................................. 56

4.5.2 Relationship between Audit Committee and Internal Audit Function ..................... 57

4.6 Risk Management ......................................................................................................... 57

4.6.1 Risk Management Programme .............................................................................. 58

4.6.2 Risk Management Responsibility ........................................................................... 58

4.6.3 Risk Register .......................................................................................................... 59

4.6.4 Review of Risk Management Practices.................................................................. 60

List of Appendices

Appendix 1 - Governance Principles

Appendix 2 - Overview of Compliance Framework:

Annual Governance Events Cycle

Ongoing Governance Activity

Appendix 3 - Current PRA Authorisations under Registration of Deeds and

Title Act 2006

Appendix 4 - Key Reference Documents

Appendix 5 - PRA Annual Assessment of Management Board effectiveness:

sample questionnaire

Governance Principles

1

1. Corporate Governance in the PRA – an Overview

1.1 Purpose

The purpose of this document is to set out the framework of Corporate Governance

within the Property Registration Authority (PRA), as required under the Corporate

Governance Standard for the Civil Service. Underpinning this document are the high

level principles outlined in Appendix 1 which are representative of international best

practice for civil service organisations.1 This Governance Framework is a living

document which will evolve in line with best practice and prevailing circumstances.

An Action Plan to be overseen by the PRA Management Board has now been

devised encompassing any issues identified together with associated actions, key

performance indicators and responsible senior managers to ensure its ongoing

effectiveness and completeness.

1.2 Introduction

Good governance facilitates clear lines of accountability, responsibility and reporting

and is central to the successful operation of all Government Departments and

Offices. It is vitally important for the effective discharge of their statutory and policy

obligations. Good governance ensures that a framework of structures, policies and

1 International Framework: Good Governance in the Public Sector (IFAC, CIFPA2014)

The purpose of Chapter 1 is to provide an introduction to the

central role of good governance and to provide an overview of the

mission and values of the Property Registration Authority. In

addition, the key role of standards and ethics are highlighted and

an overview of the strategic and business planning process is

provided.


2

processes are in place to deliver on these obligations and it allows for an objective

assessment of management and corporate performance.

Corporate governance measures in the PRA are applied within an established

framework of constitutional and statutory provisions, policies and authoritative

guidance. In this regard a list of relevant reference documentation is provided in

Appendix 4.

The ongoing development and implementation of the Property Registration

Authority’s Governance Frameworks is a priority at both Management Board and

Authority level. This process is reflective of both adherence to the overall common

approach to certain core governance issues which must exist and a pragmatic

approach in terms of the organisation’s own responsibilities and particular

circumstances.

1.3 Mission

The Authority’s mission is to safeguard property rights and facilitate property

transactions by maintaining and extending a comprehensive system of registration of

title in Ireland and promoting its use.

1.4 Values

The values most commonly associated with the Civil Service have been enumerated

as follows: honesty, impartiality, respect for the law, and respect for persons,

diligence, responsiveness and accountability. 2 The Property Registration Authority is

fully committed to these values as further expounded in The Civil Service Renewal

Plan3 which describes the values of the Civil Service as encompassing:

A deep-rooted public service ethos of independence, integrity, impartiality,

equality, fairness and respect;

A culture of accountability, efficiency and value for money; 2 Introduction to the Irish Civil Service (Government of Ireland 2008) available at

http://hr.per.gov.ie/files/2011/05/14_Civil_Service_Induction_Manual_2008_En.pdf

3 DPER (2014) The Civil service Renewal Plan : A Vision and Three Year Action Plan for the Civil Service available

at http://www.per.gov.ie/en/civil-service-renewal/


3

The highest standards of professionalism, leadership and rigour.

The Values developed and set out by the Authority in its Statement of Strategy,

which underpin all its actions, are as follows:

Service to customers The Authority is committed to providing its customers with an excellent service which

is readily accessible through a variety of channels.

Public interest The Authority is committed to carrying out its functions in the public interest in an

open and transparent manner.

Commitment to staff The Authority values the dedication of its staff and is committed to supporting them in

delivering a high quality service to its customers and in developing fulfilling careers

within the organisation.

Good governance and value for money The Authority is committed to compliance with high standards of governance and

probity, and to conducting its business in a cost-effective manner.

Consultation The Authority is committed to consultation with its stakeholders in the ongoing

development and delivery of its services.

Dynamism The Authority is committed to embracing and managing change, including the

development and application of technological advances and working practices, aimed

at improving efficiency, effectiveness and the customer experience.

Through adherence to this Governance Framework and other mechanisms, including

the Performance Management and Development System, and its induction training

for new recruits and ongoing learning and development strategies, the PRA

endeavours to ensure that its espoused values become in reality the lived-in values

of the organisation.


4

1.5 Standards, Behaviours and Ethics

1.5.1 Code of Standards and Behaviour for civil servants

The Standards in Public Office Commission (www.sipo.gov.ie) produces the Civil

Service Code of Standards and Behaviour4, which sets out the standards required of

all Civil Servants in the discharge of their duties and forms part of their conditions of

employment. A summary of the code’s main requirements is set out below, together

with the relevant section of the guidelines.

Civil servants must be impartial in the performance of their duties. [Section 4]

Civil servants must respect the constraints of the law. [Section 6]

Under the Freedom of Information Acts 1997 to 2014, members of the public

have a legal right to information held by Government Departments and other

public bodies. However, the requirement under the Official Secrets Act 1963

that civil servants avoid improper disclosure of information gained in the

course of their work still applies. [Section 7]

Civil servants must maintain high standards of service in all of their dealings

with the public. [Section 8]

Civil servants who are convicted of criminal offences, or given the benefit of

the Probation Act when tried for a criminal offence, must report that fact to

their Personnel Officer. [Section 9]

Civil servants are required to attend at work as required and comply with the

terms of sick leave regulations. [Section 10]

Civil servants are required to have due regard for State resources to ensure

proper, effective and efficient use of public money. [Section 11]

Civil servants should show due respect to their colleagues including their

beliefs and values. [Section 12]

The use of their official positions by civil servants to benefit themselves or

others with whom they have personal or business ties is not allowed. Civil

servants are also forbidden to seek to influence decisions on matters

pertaining to their official positions other than through established procedures.

[Section 13]

4 http://www.sipo.gov.ie/en/Codes-of-Conduct/Civil-Servants/Civil-Service-Code-of-Standards.pdf

http://www.sipo.gov.ie/


5

Civil servants may not engage in outside business or activity which would in

any way conflict with the interests of their Departments/Offices. [Section 14]

Civil servants who occupy “designated positions” for the purposes of the

Ethics Acts have certain statutory obligations in relation to disclosure of

interests. These obligations are additional to any obligations imposed by the

Code. [Section 15]

Civil servants should not receive benefits of any kind from a third party which

might reasonably be seen to compromise their personal judgement or

integrity. Departments are required to apply the rules contained in the Code

on the receipt of gifts or to make local rules deriving from them. [Section 16]

The same principle applies to any acceptance of hospitality. Within the

general framework of guidelines set out in the Code, every care must be

taken to ensure that (a) any acceptance of hospitality does not influence, or

be seen to influence, the discharging of official functions [Section 17] and (b)

that there are clear and appropriate standards in place which have been

notified to all staff in relation to payment for work on behalf of outside bodies.

[Section 18]

Civil servants must not seek contracts with Government Departments or

Offices for supply of goods or services whether for their own benefit or for the

benefit of any company with which they may have an involvement in a private

capacity. [Section 19]

Civil servants shall not within twelve months of resigning or retiring from the

Civil Service, accept an appointment, or particular consultancy project, where

the nature and terms of such appointment could lead to a conflict of interest or

the perception of such, without first obtaining the approval of the Outside

Appointments Board or the Secretary General or Head of Office as

appropriate. Additionally, civil servants who hold positions which are

“designated positions” for the purposes of the Ethics Acts must, within twelve

months of resigning or retiring, obtain the approval of the Outside

Appointments Board or the Secretary General or Head of Office as

appropriate before taking up any outside appointment. [Sections 20 and 21]

This Code is published on the PRA’s intranet and is provided to all new recruits. In

addition attention is drawn to the Code’s provisions in staff training sessions.


6

1.5.2 Ethics and Statements of Interests

The Standards in Public Office Commission publishes guidelines under the Ethics in

Public Office Acts, 1995 and 2001 (the Ethics Acts) for prescribed public servants as

well as office holders (i.e., Ministers, Ministers of State, etc.). These guidelines

provide information on the disclosure of interests and on the steps that public

servants need to take in order to comply with the requirements of the

legislation. Public servants may seek advice from the Standards Commission

concerning any provision of the legislation, or the application of any such provision, in

any particular case.

A person who occupies a prescribed position under the Ethics Acts must complete

and furnish a statement of interests, i.e. of any interest held by the person, or by his

or her spouse or civil partner, child or child of spouse, which could materially

influence the person in, or in relation to, the performance of his or her official

functions. If they have no interests to declare, they must furnish a Nil Statement. All

officers who are serving at Principal Officer (or equivalent) and upwards in the

Property Registration Authority are required to complete a statement of interests

annually. All such statements must be submitted to the Secretary General,

Department of Justice and Equality, by 31st January each year.

1.6 Protected Disclosures

The Authority is committed to compliance with high standards of governance,

accountability and probity, and to conducting its business impartially, transparently

and in accordance with best practice. Wrongdoing such as theft, fraud, corruption or

malpractice, or their concealment, can have a devastating effect on the professional

reputations of the Authority and its staff, and on working relationships and morale.

Any perception that such wrongdoing is not dealt with appropriately could ultimately

impact on the integrity of the registers with grave and far reaching consequences.

Staff, who may become aware or concerned about illegal activity, or inappropriate or

improper behaviour or practices, may be reluctant or apprehensive in regard to

reporting their concerns. There may be real and genuine fears of appearing disloyal

to colleagues or to the organisation, or that they may be subsequently victimised.

http://www.sipo.gov.ie/en/Guidelines/Guidelines-for-Public-Servants/

http://www.sipo.gov.ie/en/Guidelines/Guidelines-for-Office-Holders/


7

The Protected Disclosures Act 2014, which commenced on the 15th July 2014,

provides for the protection of persons from the taking of action against them in

respect of the making of certain disclosures in the public interest and for connected

purposes.

In accordance with Section 21 (1) of the Protected Disclosures Act 2014 the PRA has

its own policy in place with regard to the making of protected disclosures by workers

who are or were employed by it and for dealing with such disclosures. This policy is

to be reviewed by the Management Board within 12 months of implementation and

every two years thereafter.

1.7 Organisational Governance Structure

The organisational governance structure, which is subject to change and adaptation

as required over time, in response to changing circumstances and priorities, is shown

in figure 1. It reflects current assignments and responsibilities and provides clear

lines of accountability, responsibility and reporting5.

5 Public Service Management Act 1997


8

Figure 1 - PRA Governance Structure and Functional Overview

Deputy Registrar

Corporate Affairs

Deputy Registrar

Legal

Deputy Registrar

Legal

Deputy Registrar Legal

Also CEO Interim and

Accounting Officer

Human Resources

CEO and Authority

Secretariat

ICT

Finance, Procurement

and Statistics

Spatial Data /Mapping

Function

Corporate Services

Internal Audit

Committee

Casework Operations

and Productivity

(Dublin and

Roscommon Offices)

Registry of Deeds

Ground Rents

Quality Assurance and

Process Assurance

Mapping Standards:

legal aspects

Authority led

registration initiatives

Rules interpretation and

drafting

Appropriation Accounts

Rules Committee Secretary

Corporate Governance

International Stakeholder Engagement

Lobbying Act responsibilities

Merger Planning and

Rules Committee

Minister for Justice and Equality

Casework Operations

and Productivity

(Waterford Office)

Compensation

Scheme

Legal advice on

o Data

Protection

o FOI

o RE-use of

PSI

Fraud Prevention

Legislation Review

Rules Committee

Secretary

Court Procedures

eConveyancing and

eRegistration Legal

Aspects

CEO and

Accounting Officer

Property Registration Authority


9

The structures can be summarised as follows:

The Minister for Justice and Equality is accountable to the Oireachtas for

the performance of the Property Registration Authority

The Property Registration Authority (the Authority) is a statutory body

whose members, appointed by the Minister, are representative of the main

users and consumers of property registration services. In accordance with the

Registration of Deeds and Titles Act, 2006, the functions of the Authority

include the management and control of the Land Registry and Registry of

Deeds.

The CEO / Accounting Officer is responsible for implementing the decisions

of the Authority. In accordance with the Registration of Deeds and Titles Act,

2006, the functions of the CEO include managing and controlling generally

the staff, administration and business of the PRA. Under the Public Service

Management Act 1997 the CEO must prepare an outline of how specific

responsibilities are to be assigned. The CEO is also the Accounting Officer

for the Property Registration Authority (Vote 23) and in this regard has

responsibility for safeguarding the funds under the control of the PRA and for

ensuring economy and efficiency in the running of the PRA.

The Rules Committee performs certain statutory functions and, with the

agreement of the Minister, has the power to make general rules. The

committee reports to the Minister for Justice and Equality on the amendments

it considers should be made to the existing Land Registration Rules.

The key role of the Audit Committee, as part of the ongoing systematic

development of the control environment and governance procedures within

the PRA, is to act as a source of independent advice to the Chief Executive,

as Accounting Officer and members of the PRA, on matters relating to

financial management and control

The Deputy Registrars Legal report directly to the CEO. The CEO assigns

responsibility to the Deputy Registrars Legal who are responsible for, inter

alia, overall casework operations, review of rules and legislation, proposals to

the Rules Committee, administration of the compensation scheme, legal

standards and procedures, the provision of legal advice on Data Protection,

Freedom of Information and Re-use of Public Sector information, and the

legal elements of eRegistration and eConveyancing.


10

The Deputy Registrar Corporate Affairs reports directly to the CEO. The

Deputy Registrar Corporate Affairs responsibilities include Human Resources,

Information and Communications Technology, Corporate Affairs, Finance,

Spatial Data and Mapping, together with the secretariat of the CEO and

Authority. The heads of these functions report directly to this Deputy

Registrar.

The CEO is Chairperson of, and is assisted in the management of the PRA,

by the Management Board. The Management Board is a key element of the

PRA’s governance and facilitates shared leadership and responsibility for

delivery of outcomes related to the PRA’s mandate.

1.8 Strategic Planning, Decision Making & Performance Management

The Authority’s Strategic Planning process is carried out pursuant to the Public

Services Management Act, 1997, according to which each Department and Office

must publish a strategy statement every three years or within six months of the

appointment of a new Minister. This document sets out key objectives, outputs and

strategies to be achieved. The Department of Public Expenditure and Reform issued

guidelines on the preparation of such statements in 2011.6

In accordance with the Registration of Deeds and Title Act, 2006, Section 18, (the

Act) the Authority, on a three year basis, prepares a Strategic Plan which is approved

by the Minister and laid before the Houses of the Oireachtas. In accordance with the

Act, each Strategic Plan shall:

a) set out the key objectives, outputs and related strategies of the Authority,

including its use of resources,

b) comply with any directions issued from time to time by the Minister in relation

to the form and manner of the plan’s preparation, and

c) have regard to the need to ensure the most beneficial and efficient use of the

Authority’s resources.

6 Guidelines for Ministers on the preparation of Strategy Statements, DPER, 2011


11

1.8.1 Strategic Planning Process

The Strategy Statement 2016-20187 is the Authority’s current Strategy Statement.

Detailed work on the plan was completed by a Sub Committee of the Authority

appointed by the Chairman, with input from representatives of the Management

Board.

The current Statement of Strategy reflects the following key objectives adopted by

the Authority:

i. Completion of the Irish Land Register,

ii. Maintenance of a reliable and accurate system of land registration,

iii. Meeting the Needs of the customer,

iv. Delivering the Goals in a reformed public service,

v. Optimise use and value of the Register.

1.8.2 Business Planning Process

The Management Board is responsible for the annual Business Planning Process

within the Authority. This process is the basis by which the strategic goals set out in

the Statement of Strategy are reflected in the annual Corporate Business Plan which

in turn consists of the various Divisional Business Plans.

Divisional Business Plans, which are generally the responsibility of Divisional

Managers, detail work in each Division and Unit, including those of the support

functions including HR, ICT, Corporate Services and Finance, are the core element

of the Authority's Planning Framework.

Divisional Business Plans are reviewed against actual performance on a quarterly

basis throughout the year. The Management Board oversees a series of annual

business planning meetings attended by divisional and line managers who report on

previous year’s results and the setting of operational targets for the following year.

This provides an opportunity for Management Board members not only to monitor

progress, but also to reinforce organisational priorities and values.

7 http://www.prai.ie/download/publications/Strategic%20Plan%202016-2018.pdf


12

1.8.3 Workforce Planning

Following transition of transactional HR matters to PeoplePoint the HR function has

been reoriented to a more strategic basis. Workforce planning is key to this process

and essential in developing a business partner role in the PRA. All three iterations

requested by the Department of Public Expenditure and Reform to date were

completed and submitted. An evidence basis is used in identifying and deciding to fill

knowledge and skills gaps. Workforce segmentation facilitates prioritisation and

clarifies actual requirements. The data gathered has facilitated the emergence of a

greater emphasis in the HR function on staff mobility, talent management and

succession planning.

1.8.4 ICT Strategy

The PRA ICT strategy can be traced back to the ICT strategy of 1990 which has had

periodic updates to reflect emerging trends and technologies. At that point in time

there was limited technological development in the PRA so the ICT Strategy

concentrated on two matters:

Identify a series of projects (32 in all) that would bring the PRA (then the Land

Registry) forward technologically with applications and systems that would

support the day to day operation of the Registries and the services that it

provided, and

The design of an ICT organisational structure that would facilitate the design

and development of these services, including project management.

The current strategy document is ‘ICT Strategy 2013-2016’. This strategy is based on

consolidating the ICT infrastructure and applications delivered by the previous

strategies and setting a new agenda for the now enlarged ICT function taking into

consideration the changing technological environment and the national economic

climate in which the organisation operates. There have been significant technological

changes over the last 10 years which will influence the strategy for the future and

with these changes have come new opportunities for improved and innovative

services and business process improvements resulting in savings in operations to be

realised.


13

1.8.5 Learning and Development Strategy

The PRA Learning and Development Strategy has, as its overarching objective, to

ensure the necessary skills and competencies are in place to fulfil the organisation’s

strategic objectives. This strategy sets out the learning and development (L&D)

interventions being implemented by the Property Registration Authority and is part of

the strategic planning process. Its purpose is to link learning and development

activities systematically with business needs and to establish priorities and plans for

activities and resources whilst ensuring value for money. It supports the

achievement of the goals set out in the Strategic Plan and is in line with the

objectives contained in the HR Strategy and Staff Mobility Policy. It has been

developed following consultation with staff representatives and the Authority and

agreed by the members of the Management Board.

The rresponsibility for implementing this Learning and Development Strategy lies with

the HR Manager, with assistance from the L&D Oversight Committee and the L&D

Unit. The strategy is subject to 6 monthly reviews by the L&D Oversight Committee,

which in turn reports to the Management Board. The purpose and function of the L&D

Unit is to ensure that the PRA’s learning and development function operates in

accordance with best practice, maximises in-house learning capability and supports

value for money approaches which contribute to the achievement of business aims

1.8.6 Annual Report

In accordance with Section 19 of the 2006 Act8, the Authority, not later than 30 June

in each year, must make a report to the Minister on the performance of its functions

and on its activities during the preceding year. The Annual Report and outlines the

main achievements and developments during the year to advance the Authority’s

objectives, as set out in its Statement of Strategy. Material for the Annual Report is

provided by each division in the Authority. The preparation of the Annual Report is

managed by the Corporate Services Unit and overseen by a Publications Working

Group. It is translated into Irish and published in both Irish and English on the PRA’s

website.

8 Registration of Deeds and Title Act 2006


14

1.8.7 Performance Management and Development System

Another key element of the Governance Framework within the PRA is the

management and continuous improvement of staff performance through the

Performance Management and Development System (PMDS). Active management

of performance is an ongoing process which happens throughout the year. The key

elements of PMDS, i.e. setting goals, selecting competencies, learning goals and

formal reviews of performance and upward feedback, are all fundamental aspects of

managing performance.

PMDS encompasses the following core principles:

Creating a clear understanding of what is expected of staff and managers

through effective planning and goal setting

Enhancing understanding of the strategic objectives of the organisation and

individual contribution to achieving these

Regular review periods to ensure common understanding of progress towards

achieving goals

Fostering career progression through continuous learning and development

Goal Setting under PMDS is aligned with the Business Planning process. It is the

responsibility of each and every member of staff to ensure that their goal setting form

is current and complete. ePMDS has been designed to enable all Employees and

Managers to complete, revise and submit their PMDS forms online.

Managers at all levels are responsible for ensuring full adherence to the PMDS

process.

The Human Resources Unit pro-actively monitors and reports to DPER on

participation rates in PMDS in the PRA. It is the responsibility of the HR to audit

goals set for individual staff members and to ensure compliance with requirements.

Requests for training received by line managers through upward feedback from staff

are forwarded to the Learning and Development Unit for assessment and

implementation.


15

The Management Board collectively, and its members individually, are responsible

for ensuring the effective operation of performance management across the Authority

as a whole. Underperformance issues are dealt with under the guidelines published

by DPER.9

1.9 Stakeholder Engagement

In common with all public sector bodies the PRA has a multi-stakeholder base.

Stakeholders in both the internal and external authorising environment of the PRA

may be categorised under a range of headings. Figure 2 shows one such

segmentation.

Constitutional, governance and statutory stakeholders are dealt with throughout this

Governance Standard. The following section will deal with issues relating specifically

to core stakeholders both internal and external.

1.10 Internal Communications Strategy

While there is not, as yet, a fully documented Internal Communications Strategy,

there are a number of arrangements in place to facilitate effective internal

communications within the Property Registration Authority.

9 Underperformance Guidelines, DPER available at http://hr.per.gov.ie/dealing-with-unsatisfactory-performance/


16

Figure 2 - PRA Stakeholder Groupings

Management fora The Management Board recognises the importance of communicating effectively and

cascading information to staff at all levels. An emphasis is placed on the critical role

of team meetings as an integral part of the responsibility of the Management Board to

communicate effectively with staff at all levels. To that end, the divisional managers'

forum receives briefings on Authority and Management Board meetings and other

key developments that need to be brought to their attention and ultimately

communicated to all staff. Briefing notes relating to all meetings of the divisional

management forum are published on the intranet and accessible to all staff.

There are also fora relating to legal and mapping functions within the PRA. The Chief

Examiner of Titles and Examiner of Titles forum provides legally qualified staff with

an opportunity to discuss all developments pertaining to legal practice, while the

Senior Mapping Managers Network provides a similar forum for all mapping

managers.

In addition to the fora at management level, there are a number of active Working

Groups with staff representation within the Authority.

•PRA staff

•Cutomer base incluingPublic Sector bodies

•General Public

•Interested bodies

•International Affiliations

•Minister for Justice & Equality

•Authority Members

•LR Rules Commitee

•Internal Audit Committee

•Merger Project Groups

•Ombudsman

•Data Commissioner

•CPSA

•DPER

•Oireachtas

•PAC

•C&AG

•Courts

Constitutional Statutory

Core Governance


17

Working Together Forum The Working Together forum comprises representatives of Staff, Unions and

Management. The overarching aim of this Forum is to foster staff engagement and

promote collaborative and participative approaches to problem solving in the PRA.

Underpinning this aim is an acknowledgement that as civil servants, we all share the

responsibility to ensure that renewal, and the actions to achieve it, are implemented.

The main objectives of Working Together outlined in its Statement of Intent are:

To build effective internal communications that keep all staff fully informed of

organisational developments, including those relating to the merger

To facilitate meaningful voice for forum partners and opportunity for open

constructive feedback

To enhance organisational capability to respond to employee views

To foster trust and inculcate mutual respect among all forum partners,

irrespective of pay stream or function

To support workforce well-being and morale by reflecting on, learning from

and acting on engagement initiatives

To reinforce the purpose of the organisation and improve the customer

experience

To assist in developing greater organisational agility, responsiveness and

value for money

To participate effectively in civil service renewal

Industrial relations matters are dealt with in other forums, including Departmental

Council.

Conciliation and Arbitration Scheme: Departmental Council The purpose the scheme of conciliation and arbitration is to provide means,

acceptable both to the State and to its employees, for dealing with claims and

proposals relating to the conditions of service of civil servants and to secure the

fullest co-operation between the State, as employer, and civil servants, as

employees, for the better discharge of public business. In line with the scheme a


18

Departmental Council, consisting of representatives of Staff, Management and

unions meets on quarterly basis. 10

Intranet There is an internal Intranet page, which is updated on an ongoing basis and is an

information rich resource for staff. This facility displays details of key news items that

may impact on staff and also contains links to key reference points for staff in the

completion of their duties, including inter alia policy documents, Practice Directions,

Office Notices and relevant DPER circulars and publications.

1.11 Engagement with External Stakeholders

1.11.1 Engagement with the Customer and other Stakeholders

The PRA carries out some 3 million online transactions each year and has a varied

and significant customer base. This customer base for PRA services is shown in

Figure 3.

Figure 3 - PRA Customer Base

The Property Registration Authority is fully committed to providing a professional,

efficient and courteous service to all its customers in accordance with the 12

Principles of Quality Customer Service11, as originally agreed in 2010.

10 The Operation of Department Councils, Letter dated 19 July 2012, issued by DPER 11 http://www.per.gov.ie/en/qcs-initiative/

PRA Solicitors

Law Searchers

Re-users of PSI

Surevyors

Architects

Engineers

Auctioneers

General public Financial

Imstitutions

Local Authorities

Government Depts.,State

Agencies, utilities


19

A Customer Charter, Complaints Procedure and associated Policy on dealing with

Unreasonable Complaints are all published on the PRAI.ie website. The Customer

Charter sets out the standard of service the PRA aims to provide including service

delivery targets for its main services. In addition, the Authority complies with the

Official Languages Act 2003 and can accommodate persons who wish to conduct

their business through the medium of Irish. Details of its Irish language scheme are

also available online.

From time to time customers are consulted by way of online surveys. The Authority

engages with external stakeholders through a further range of activities which

include:

Customer Information Unit The Information Unit, located in Waterford, provides a first point of contact for

Customers who contact the office by telephone. The staff in the Unit have been

trained to provide, in so far as is possible, a responsive and direct service for our

customers who have queries without the need to further transfer the calls to other

staff in the PRA. Obviously, some queries, which might be more complex or case

specific, will have to be transferred to other staff with more specialist skills or

experience in specific casework, but in excess of 75% of the calls are dealt with

directly by the Information Unit. This Unit also manages an online mailbox to deal

with general email queries.

Freedom of Information Requirements The Freedom of Information Act 2014 seeks to enable members of the public to

obtain access to the greatest extent possible, consistent with the public interest and

the right to privacy, to information in the possession of public bodies.

Under this legislation the PRA may refuse to grant a request for a record that is

available for inspection or a copy of which is available either for a fee or free of

charge e.g. copy folios maps of the Register.

In addition the PRA shall refuse to grant an FOI request where non-disclosure is

authorised by any enactment in certain circumstances e.g. access to instruments

under Rule 159 of LR Rules [Section 41(1)(b) of the 2014 Act]


20

All other PRA records are open to requests under the Act..

The PRA is compliant with Section 8 of the Act and has made its FOI Publication

Scheme readily accessible and prominently published in the FOI part of its website.

It is the policy of the PRA to proactively publish as wide a range of information as

possible. A records management review is also underway internally.

Data Protection: Internal PRA Policy

Data protection is the means by which the privacy rights of individuals are

safeguarded in relation to the processing of their personal data. The Data Protection

Acts 1988 and 2003 confer rights on individuals as well as placing responsibilities on

those persons processing personal data. The PRA as a data controller has certain

key responsibilities in relation to the information which it processes.

Any use or disclosure of information must be necessary for the purpose(s) or

compatible with the purpose(s) for which the PRA collects and keeps the data. The

test is whether the data subject would be surprised to learn that a particular use of or

disclosure of their data is taking place. A key test of compatibility is whether the data

is used only in ways consistent with the purpose(s) for which they are kept and

disclosed only in ways consistent with that purpose(s)

The PRA fully respects the right to privacy of its customers in their interactions with

its websites. A privacy statement appears on the website relating to the collection

and use of personal information specifically in respect of its websites www.prai.ie,

www.landdirect.ie and www.eregistration.ie only. A series of Office notices have been

published setting out the Data Protection policy of the PRA. To ensure compliance

with the law the PRA makes its staff aware of their responsibilities through its data

protection policy and appropriate induction training with refresher training as

necessary.

http://www.prai.ie/

http://www.landdirect.ie/

https://www.eregistration.ie/edischarges/home.aspx


21

Personal data contained in the register and registry maps is public information and

therefore exempt from the data protection acts12. Any person may obtain a copy

folio/map on payment of the appropriate fee.

The PRA is obliged by statute to put the public on notice that a dealing (i.e. an

application for registration) is pending on a folio. However, the deeds, documents

and correspondence lodged in pending dealings are not public records and are

therefore subject to the Data Protection Acts as they may comprise the “personal

data” of the applicants etc. Staff are trained not to inadvertently disclose personal

data of customers contained in dealings.

Rule 188 of the Land Registry Rules defines the categories of persons who are

entitled to inspect specific types of instruments (documents related to completed

dealings) and also apply for copies13. Staff may apply for Instruments for official

purposes only.

The PRA endeavours to ensure full compliance with data protection legislation

through its internal policy by appropriate supervision, regular review and audit.

Customer Focus Group This forum meets on at least an annual basis. Meetings of this group, representative

of the PRA’s main stakeholders (legal practitioners, financial institutions, local

authorities, law searchers), provide a continuing opportunity for consultation on a

range of issues and the dissemination of information on any changes planned or

being introduced.

Project Engagement In the context of the reform and modernisation agenda, the PRA have successfully

implemented a wide range of initiatives since it commenced its modernisation

program in 1999. Throughout this time there has always been a strong emphasis on

customer involvement. All change implementations are overseen by an appropriate

12 (Section 1(4) (b) of the DP Acts).

13 See also Practice Direction entitled ”Inspection of Documents (published 1 December 2009)”, under “Legal &

Professional Customers” on the website

http://www.prai.ie/eng/Legal_Professional_Customers/Legal_Practices_Procedures/Practice_Directions/46_Inspection_Of_Documents/


22

steering group which includes significant representation from external stakeholders

including the legal and banking professions.

Outreach programme A growing area of activity in recent years has been the involvement of staff from the

PRA in organising seminars, conferences and training courses for key stakeholder

groups. PRA officials regularly participate in, and make presentations on, a range of

topics at a number of seminars and training courses for solicitors, bar associations

and other customers. There is also a programme of engagement with third level

institutions, in particular Waterford Institute of Technology and Dublin Institute of

Technology. In addition, the PRA maintains a presence, where appropriate, at trade

events including the National Ploughing Championships and the Ideal Home Show to

increase its profile and raise public awareness of its services.

1.11.2 Engagement with Other Government Bodies

The PRA engages with a wide spectrum of public sector bodies with the objective of

using this organisation’s resources to provide assistance and support in the timely

delivery of major infrastructural projects.

The use of Spatial Data has allowed the PRA to assist Government Departments,

Local Authorities and State Agencies in the identification of the registered owners of

properties affected by proposed initiatives and project management of property folio

updates and first registrations. We have also been able to assist other Government

Departments in compliance with statutory functions and in relation to the identification

and regularisation of titles of State owned properties.

1.11.3 Engagement with International Bodies

In addition to engagement with other Government bodies, the PRA is also fully

committed to participating in a number of relevant international bodies to ensure that

the organisation’s policies and priorities are represented on important issues which

have an impact on land registration and land administration generally. Participation

also provides the opportunity to keep up to date with international developments and

trends in land administration. Dialogue and communication with relevant international


23

bodies also provides an important platform for sharing ideas and understanding

progress achieved both within the EU and the wider international community.

World Bank Doing Business Rankings14 The aim of these rankings is to provide an objective basis for understanding and

improving the regulatory environment for business globally. Property registration is

one of the criteria benchmarked across 189 economies. The methodology used

entails measuring the time, cost and number of procedures to transfer property in a

capital city between two companies. In addition the quality of land administration is

measured using four dimensions: reliability of land administration, transparency of

information; geographic coverage and land dispute resolution.

As well as quantitative data, feedback provided by government officials, academics,

practitioners (Solicitors) and reviewers is also used for assessment. In April annually

relevant data must be provided by the PRA in response to the World Bank

questionnaire on property registration.

The Management Board and the Authority members are mindful of and share

Government concerns regarding external perceptions of Ireland and the role of the

public sector, as a whole, in progressing economic development and job creation. A

particular priority, therefore, is given to ensuring that the number of days taken to

register simple sales is minimised.

European Land Information Services (EULIS) The development of world class ICT systems in recent years has enabled the PRA to

participate in international developments, such as EULIS which is an initiative by

various land registration authorities across Europe to provide cross-border access to

their respective online databases and electronic services (www.eulis.eu). The EULIS

service provides land registry professional customers such as banks, other lenders,

solicitors, estate agents, law searchers and public authorities with reliable, direct and

easy access to land and property information in member European countries. Irish

customers can access EULIS through their landdirect.ie account.

14 http://www.doingbusiness.org/rankings

http://www.eulis.eu/


24

European Land Registry Association (ELRA)

The primary aim of the ELRA is the development and understanding of the role of

land registration in real property and capital markets in EU member states. ELRA

seeks to promote the mutual knowledge of the different land registry systems in

member states and provides a very useful forum for discussion and information

exchange on developments in land registry systems across Europe. It also has a

significant role in keeping members informed on relevant developments at EU level.

Since its creation in 2004, ELRA has grown rapidly, and currently its membership is

made up of 24 associations representing the land registries of 20 EU member states.

The PRA is an active participant of this Association, engaging as part of the ELRA

network in various projects funded by the European Commission to encourage

efficiencies in cross border registration and provide legal and potential IT solutions

for future access to standardised registry information through the eJustice portal.

United Nations Economic Commission for Europe (UNECE) - Working Party on Land Administration (WPLA) The Property Registration Authority is an active participant in the UNECE’s Working

Party on Land Administration. The Working Party was established in 1999 with the

aim of promoting land administration through security of tenure, developing real

estate markets and modernising land registration systems in countries in transition.

The WPLA has developed into an effective network of land administration officials in

Europe and North America. It operates by sending independent experts to the ECE

countries to provide policy advice and recommendations in relation to national

programmes on land market development and real estate registration.

Five Registers The Five Registers Forum, comprising Registrars and Chief Executives of the Land

Registries of England and Wales, Scotland, Northern Ireland, Ireland and the Isle of

Man, meets twice a year. Issues of common interest are discussed and information

exchanged on a wide range of matters pertinent to property registration.

INSPIRE The INSPIRE Directive of the European Parliament which seeks to establish an

‘Infrastructure for Spatial Information in the European Community’ (INSPIRE) was

transposed into Irish law through Statutory Instrument No. 382 of 2010. This directive


25

aims to create an EU-wide Spatial Data Infrastructure (SDI) based on member states

SDIs which can enable the sharing of environmental spatial information among public

sector organisations, improved environmental policy making and better public access

to spatial information across Europe.

The Land Registry (Property Registration Authority) is the Legally Mandated

Organisation (LMO) in Ireland for the Annex 1 Cadastral Parcels Theme and, as

such, is obliged to provide discovery, view and download services through INSPIRE

and Irish Spatial Data Infrastructure (ISDI) geoportals. Cadastral Parcels are lands

that are registered in the Land Registry, excluding multi-storey registrations.

Ministerial and Senior Management Roles & Assignment of Responsibilities

26

2. Ministerial, Parent Department, Authority and Senior

Management Roles & Assignment of Responsibilities

2.1 Parent Department and Minister

The Property Registration Authority is a public body operating under the aegis of the

Department of Justice and Equality. Subject to the Registration of Deeds and Title

Act 2006 15 (the Act) the Authority is independent in the performance of its duties and

has its own legal, operational, internal management and governance structures. It is

categorised, under the Governance Standard for Justice and Equality Sector Bodies,

as a statutory body part of the Justice Sector.

The Minister for Justice and Equality (the Minister) is accountable to the Oireachtas

for the performance of bodies under the aegis of his/her Department, including the

PRA. The Minister is responsible for bringing matters requiring action to the attention

of Government. The Minister also has responsibility to provide leadership through

setting the strategic direction and the policy framework, within which each of the

Justice & Equality Bodies operate.

2.1.1 Role of the Minister

The role of the Minister, as set out in the Act, includes the following provisions:

15 Registration of Deeds and Title Act, 2006; No. 12 0f 2006

http://www.irishstatutebook.ie/eli/2006/act/12/enacted/en/pdf

The purpose of this chapter is to provide an overview of senior

management governance roles and responsibilities, including

those relating to the Minister, Parent Department, Authority

members and Chief Executive.


27

It is the role of the Authority to keep the Minister informed of progress in relation to

the registration of ownership of land and to assist him/her in the development of

policy in relation to such registration [Section 10].

It is the role of the Minister to appoint the members of the Property Registration

Authority and to designate one of the members as Chairperson. One of the

members appointed shall be a representative of the Minister [Section 11].

Subject to the approval of the Minister, the Authority may, from time to time, appoint

such and so many advisory committees and such and so many consultants or

advisers, as it may consider necessary, to assist it in the performance of its functions

[Section 17].

The Minister shall be furnished with a Strategic Plan every three years. On approval

by the Minister, the Strategic Plan is laid before each house of the Oireachtas. A

report on progress against this plan is presented to the Minister on an annual basis

[Sections 18-19].

The Minister may, from time to time, as occasion requires, issue to the Authority such

general directives in writing in relation to policy concerning registration of deeds or

ownership of land, or any other function of the Authority, as he/she considers

necessary However, it should be noted that nothing in the Act is to be construed as

enabling the Minister to exercise any power or control in relation to any particular

case with which the authority is or may be concerned [Section 20].

It is the role of the Minister to fix the fees to be charged by the PRA for registration

and other services [Section 21].

2.1.2 Departmental Oversight

As the parent Department, the Department of Justice and Equality is responsible for

oversight of the Property Registration Authority. The Department allows appropriate

distance and autonomy to the PRA to manage its operational business, whilst and

holding it to account. The role and responsibilities of both the Department and the

PRA are set out in more detail in the Governance Standard for Justice and Equality


28

Bodies16. This standard classifies Justice & Equality Bodies into the 4 main

categories as set out in Figure 4. Categories are based on certain structural and

operational characteristics in place for each body (e.g. own Votes, own Accounting

Officer, own board etc.) which affect the level of governance/oversight/responsibility

already in situ within the body. Categorising the bodies provides for a minimum level

of governance activities for each category based on their individual characteristics.

Figure 4 - Department of Justice and Equality Governance Model

As a statutory body with its own Vote and Accounting Officer, the PRA falls into

category 1, Public Bodies of the Justice Sector. As such, the following governance

arrangements are in place:

Department of Justice and Equality has a Responsible Officer to liaise with

the PRA

16 Governance Standard for Justice and Equality Bodies, Department of Justice and Equality 2016


29

A Performance Agreement (or Multi Year Governance Framework) between

the Department and the PRA

At least two structured Accountability and Performance meetings each year

If considered appropriate, annual meetings with the Secretary General may

be a requirement

Compliance Statement is completed annually by CEO (or equivalent)

Periodic effectiveness reviews of the Authority

2.1.3 Performance Agreement with Department of Justice and Equality

There is a fully documented Performance Agreement in place. The purpose of this

agreement is to put in place a process where the expectations the Department has,

in respect of the outcomes required from the PRA, can be measured and assessed.

Equally the expectations that the PRA has, in relation to the support, guidance and

information flow from the Department of Justice and Equality, which are vital in

enabling the Authority to achieve its strategic and operational goals, are identified

and delivered upon.

Agreed Commitments

The Performance Agreement sets out the commitments on the part of both the

Authority and the Department.

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

Both parties agree on the effective realisation of this agreement and the

agreed targets that will come about.

In reciprocation the Department of Justice and Equality will provide the following

supports to the PRA to enable it deliver on its objectives:

Support the PRA, where necessary, in any sanction requests to the

Department of Public Expenditure and Reform

Assist the PRA in the annual estimates campaign


30

Inform and involve the PRA in any activities related to the role that the PRA

play within the Department

Work with the PRA in the regular reporting processes under public sector

reform

Work with the PRA in providing information under the various national and

international measurement processes.

2.2 Authority

The Property Registration Authority (PRA) was established on 4 November 2006

under the provisions of the Registration of Deeds and Title Act 2006. As a statutory

body its members, are appointed by the Minister and are representative of the main

users and consumers of property registration services. The PRA replaced the

Registrar of Deeds and Titles as the “registering authority” in relation to property

registration in Ireland.

Whilst operationally independent, the PRA is accountable to the Minister, who is

ultimately responsible to the Oireachtas for the actions and performance of the PRA.

The functions of the Authority as set out in Section 10 of the Act are as follows:

(a) to manage and control the Registry of Deeds and the Land Registry,

(b) to promote and extend the registration of ownership of land,

(c) to deal with applications under Part III of the Landlord and Tenant (Ground

Rents) (No. 2) Act 1978 ,

(d) to undertake or commission, or collaborate or assist in, research projects

and activities relating to the registration of ownership of land, including the

compilation of statistical data needed for the proper planning, development

and provision of services related to such registration,

(e) to perform any additional functions conferred on it

(f) to keep the Minister informed of progress in relation to the registration of

ownership of land and to assist him or her in the development of policy in

relation to such registration.

In carrying out its functions the Authority shall have regard to:

http://www.prai.ie/pra-members/

http://www.irishstatutebook.ie/1978/en/act/pub/0016/index.html

http://www.irishstatutebook.ie/1978/en/act/pub/0016/index.html


31

the resources of the Property Registration Authority for the purposes of such

performance and the need to secure the most beneficial, effective and

efficient use of such resources;

any policy or objective of the Government insofar as it may affect or relate to

a function of the Authority; and

any direction by the Minister.

2.2.1 Meetings of the Authority

The members of Authority meet not less than once in each three month period, retain

full and effective control over the Property Registration Authority and monitor the

executive management and performance by reference to the Strategic Plan of the

Authority.

2.2.2 Appointments to the Authority

Arrangements for appointment to the Authority, similar to that of all State Boards,

(commercial and non-commercial) are set out in the 'Guidelines on Appointments to

State Boards' (2014). According to the Guidelines, all vacancies (subject to limited

and specified exceptions including the role of the Chair) are advertised openly on the

State Boards portal (www.stateboards.ie), operated by the Public Appointments

Service (PAS). Applications are then processed by way of a transparent assessment

system designed and implemented by the PAS to support the Minister in making

appointments to State Boards under his/her remit. Appointments meet specific and

detailed criteria determined in consultation with key stakeholders (such as the current

Chair of the State Board concerned and the Public Appointments Service) as

necessary for the effective performance of the relevant role(s).

2.2.3 Subcommittees of the Authority

Subject to the approval of the Minister, the Authority may from time to time appoint

such and so many advisory committees and such and so many consultants or

advisers as it may consider necessary to assist it in the performance of its functions.

http://www.per.gov.ie/en/howlin-publishes-state-board-guidelines/

http://www.per.gov.ie/en/howlin-publishes-state-board-guidelines/

http://www.stateboards.ie/


32

2.2.4 Matters specifically reserved for the Authority

The Authority has a formal schedule of matters specifically reserved to it for decision

to ensure that the direction and control of the Property Registration Authority is

undertaken by it in accordance with its statutory remit.

2.2.5 Authorisations

In accordance with Section 26 of the Act, the functions of the Authority may be

performed by any member or members of staff who is or are authorised to do so. All

authorisations pursuant to this provision must be formally adopted by the Authority. A

list of current authorisations of the PRA pursuant to the provisions of the Registration

of Deeds and Title Act 2006 -2014 is given in Appendix 3.

2.3 Rules Committee

The Registration of Deeds and Title Rules Committee performs certain statutory

functions and with the agreement of the Minister has the power to make general rules

[Sections 126 and 74 of the 1964 Act].

Membership of the Committee comprises:

1) Chairperson: A High court Judge assigned by the President of

the High Court

2) Secretary: Chief Executive of the Authority

3) Chairperson of the Authority

4) A practising Barrister nominated by the Bar Council

5) A practising solicitor nominated by the Law Society

The Secretary of the Committee must summon a meeting at least once a year to

consider practice, procedure and administration under the Acts of 1964 and 2006

and the operation and effect of those acts. The Committee reports to the Minister for

Justice and Equality on the amendments it considers should be made to the existing

Land Registration Rules.


33

2.4 The Chief Executive and Accounting Officer Role

In accordance with Section 22 of the 2006 Act, the Chief Executive is responsible for

implementing the decisions of the Authority and for managing and controlling its staff,

administration and business. Furthermore in accordance with Section 23 of the Act,

the Chief Executive is the Accounting Officer for the Property Registration Authority

and, as such, carries all of the responsibilities of that role. The Chief Executive

reports to the Authority in relation to the performance of these functions.

2.4.1 Accounting Officer Role

The Comptroller and Auditor General (Amendment) Act, 199317 defined the term

Accounting Officer in legislation for the first time. The Accounting Officer is described

in this Act as the "Officer referred to in Section 22 of the Exchequer and Audit Departments

Act, 1866 to whom the duty of preparing the Appropriation Accounts of a Department is

assigned…"

The constitution provides that Dáil Éireann votes funds annually for Government

Departments and certain offices, including the Property Registration Authority, to

spend on the provision of public services. After the end of the year, the PRA must

prepare an account of its expenditure and receipts under its Vote, called the

Appropriation Account. This Account must be signed by the Accounting Officer who

is responsible for having it prepared and presented for audit to the Comptroller and

Auditor General before 1 April of the year following that to which it relates.18

The key feature of the Accounting Officer role is the personal responsibility of the

most senior official for

the regularity and propriety of the transactions in the accounts for which s/he

is answerable;

the control of assets held by the Authority;

economy and efficiency in the use of the Authority’s resources and

for systems, practices and procedures used to evaluate the effectiveness of

its operations.

17 No 8 of 1003 18 Articles 11, 21, 28 and 33 Bunreacht ha hÉireann


34

Accounting Officers cannot be familiar with every financial transaction on the

accounts and for that reason there is a particular responsibility to ensure that the

financial management and control systems in place in the Authority are adequate to

enable the discharge of this accountability. Such systems are outlined in detail in

Chapter 4.

2.4.2 The Accounting Officer and the Public Account Committee

Accountability is exercised by means of rigorous examination of the manner in which

Accounting Officers have discharged their responsibilities by means of independent

audit and examinations by the C&AG and of scrutiny by the Dáil Committee of Public

Accounts (PAC).

In appearing before the PAC the Accounting Officer appears in his/ her own right

rather than as a representative of the Minister as part of the Minister’s constitutional

responsibility. The duties of the Accounting Officer before the PAC are thus outside

the normal system of civil service delegation where, in general, civil servants act in

the name of the Minister.

Under section 19 of the 1993 Act Accounting Officers are required to give evidence

to the PAC of

a) the regularity and propriety of the transactions recorded or required to be

recorded in any account subject to audit by the Comptroller and Auditor

General which s/he or the Department concerned is required by or under

statute to prepare,

b) the economy and efficiency of the Department in the use of its resources,

c) the systems, procedures and practices employed by the Department for the

purpose of evaluating the effectiveness of its operations, and

d) any matter affecting the Department/office referred to in a special report of the

Comptroller and Auditor General under Section 11(2) or in any other report of

the Comptroller and Auditor General (in so far as it relates to a matter

specified in paragraph (a), (b) or (c)) that is laid before Dáil Éireann.

The 1993 Act broadened the statutory duties of Accounting Officers to cover

economy and efficiency in the use of resources and the systems, practices and

procedures to evaluate effectiveness of the operations of Departments and Offices.


35

Since the introduction of the Act the Office of the C&AG, therefore, has been

devoting considerable resources to carrying out Value for Money examinations which

result in stand- alone reports dealing with these issues.

The 1993 Act also provides a statutory basis for the accepted convention that

Accounting Officers should not express an opinion on the merits of any policy when

giving evidence to the PAC. This provision is the same as that imposed on civil

servants generally in appearing before Oireachtas Committees. Likewise, under its

Standing Orders the PAC may not enquire into the merits of a policy or policies of the

Government or a member of the Government or the merits of the objectives of such

policies.

2.4.3 Principles and Conventions

Apart from the statutory provisions, Accounting Officers operate within established

principles and conventions that are derived mainly from the Constitution and from the

institutional and financial relationships that have been developed between the

Oireachtas and the Government over the years. The reports and recommendations

of the PAC are one of the main sources of these principles. They are set out in the

guide "Public Financial Procedures"19.

The responsibilities of Accounting Officers are set down in Section A5 of Public

Financial Procedures which is brought to the attention of each Accounting Officer on

appointment. In addition to the preparation of the Appropriation Accounts the main

responsibilities of Accounting Officers as laid down in this guide are as follows:

The safeguarding of public funds and property under his or her control.

Ensuring that all relevant financial considerations are taken into account and,

where necessary, brought to the attention of the Minister where they concern

the preparation and implementation of policy proposals relating to expenditure

or income for which s/he is Accounting Officer.

Economy and efficiency in the administration of the Department/Office. This

includes ensuring that there are adequate financial management systems in

place to support the proper administration of the Department/Office in an

economic and efficient way.

19 http://govacc.per.gov.ie/public-financial-procedures-booklet-by-section/


36

The adequacy of arrangements within the Department/Office to ensure the

correctness of all payments under his/her control and the prompt and efficient

recovery and bringing to account of all receipts connected with the Vote, or

with any fund for which the Department is responsible.

Ensuring that Department of Finance sanction for expenditure has been

obtained and for the maintenance of a central record of both delegated and

specific sanctions.

Responsibilities for internal audit, including reviewing the internal audit

function to ensure there is the desired quality of assurance on the adequacy,

reliability and efficiency of the Department’s/Office’s internal control system.

2.5 Assignment of Management Roles and Responsibilities

The assignment of responsibility for the performance of functions by individual

officers are made on the basis of the personal (or team) work objectives identified

under or associated with the Statement of Strategy and Business Plans. The Chief

Executive, as Head of the office, assigns specific responsibilities to managers at

other levels, in line with the provisions of the Public Service Management Act, 1997.

Assignments can be amended on an ongoing basis by the Chief Executive.

Under Action 21 of the Civil Service Renewal Plan, all Government Departments and

Offices are obliged to publish a Framework of Assignments. This Framework covers

such assignments of responsibilities under the 1997 Act. This information in relation

to the Property Registration Authority is located at

http://whodoeswhat.gov.ie/root/pra/.

2.6 Leadership and Organisational Capacity

According to the OECD, effective leadership is a critical component of good public

governance.20 In a recent study on leadership in the civil service the lowest scoring

for all senior managers related to human capital development21. A focus on staff

development, therefore, can be seen as a leadership strength focusing on

20 OECD (2004) Public Governance and the Role of the State. Paris: OECD.

21 Mc Carthy, A, Grady, G. and Daly, G. (2011) Leadership in the Irish Civil Service: A 3600Review of Management

Capability available at http://www.nuigalway.ie/cisc/documents/leadership_in_the_irish_civil_service.pdf

http://whodoeswhat.gov.ie/root/pra/


37

organisational capacity and ensures that the right talent will be in place to achieve

the longer term strategic objectives of the organisation.

2.6.1 Leadership

Each individual member of the Management Board has a responsibility to show

leadership, to contribute to the management of the Authority as a whole and to

actively support colleagues in meeting their objectives. Leadership and management

must therefore set the tone for effective governance from the top while showing

example to staff of good governance behaviours and demonstrating a commitment to

achieving Government objectives through an accountable process.

2.6.2 Organisational Capacity

The Management Board seeks to ensure that there is a strategy in place to achieve

the goals established in the Statement of Strategy. To that end, there are a number

of key operational strategies in place including a Workforce Action Plan, Staff Mobility

Policy and a Learning and Development Strategy. Together these strategies support

the development of new skills and behaviours, continuous professional development

and ensure that staff can access the appropriate mix of training and development

opportunities.

Workforce planning is based on the premise that an organisation operates most

effectively when the right people with the right knowledge, skills and competencies

are deployed appropriately. It promotes organisation appropriate succession planning

and talent management. Workforce planning in the Property Registration Authority is

the primary responsibility of the HR Manager. In carrying out this role, the HR

Manager works closely with the other members of the Management Board, together

with Divisional Managers.

2.6.2.1 ICT Governance and Security

The core business of the PRA is the maintenance and dissemination of information

relating to the registration of property and deeds in Ireland. The PRA is a unique

source for much of the information that it holds and its customer base, drawn mainly

from the legal, law searching and financial services professions and public authorities

is very heavily dependent on the availability, reliability and integrity of such


38

information. The land register itself, including the spatial component, exists only in

electronic format which means ICT governance and security are of critical

importance.

ICT governance is informed by the ICT strategy documents, Arrangements for Digital

and ICT-related Expenditure in the Civil and Public Service issued by the Department

of Public Expenditure and Reform22 and various ICT usage policy documents signed

by all staff. The alignment of ICT projects and operations to business requirements is

ensured by the ICT Steering Committee and the ICT Manager who is also a member

of the Management Board.

In order to meet the expectations of its customers, and to fulfil its legal and statutory

obligations, it is essential for the PRA to have a well-developed information security

policy and access control regime in place which accords with best industry practice

and which provides appropriate safeguards. Network and system security is not, of

course, a static exercise. It is, by its nature a 'work in progress' and it is, therefore,

equally essential that the security policies, measures, activities, services and

products are kept constantly under review as new threats come to light.

In recognition of this evolving landscape, the information security policy is

underpinned with the following measures:

Use of 'best-of-breed' security procedures and security technology.

Deployment of technical staff, to a dedicated ICT security section within the

ICT Unit, trained to the required level reporting to an Information Security

Manager who, in turn, reports to the ICT Manager on security matters.

External expertise is also engaged, where appropriate.

An ongoing programme of training and development for technical staff on

security and related issues, relevant to the PRA’s technical and infrastructural

environment.

An ongoing programme of information and awareness for the staff of the

PRA.

22 DPER Circular 02/16 Arrangements for Digital and ICT-related Expenditure in the Civil and Public Service


39

2.6.2.2 Records Management

The Property Registration Authority has a “print to file” policy. There is a standard

classification system for all administration files, and all new files are opened within

this classification. Manual files are recorded and assigned a reference number on an

electronic recording system based on category and sub-category.

A records management review is currently underway with a view to developing a new

electronic records management system to manage larger electronic files which are

not amenable to printing.

2.6.2.3 Financial Management and Procurement

The role of the Finance and Procurement Unit is to assist with the overall

management of the financial and procurement affairs of the Authority.

This includes -

embedding a system of financial delegation;

segregation of duties and accountability;

monitoring, analysing and reporting on expenditure against agreed budgets;

managing the receipt of fees collected on behalf of and paid over to the

Exchequer on an ongoing basis;

preparing accounts at the end of each financial year for audit by the

Comptroller and Auditor General;

ensuring that the Department’s procurement policy, procedures, practices and

templates comply with EU law and National Guidelines;

providing support and advice as and when required to staff and to ensure

procurement is compliant with EU law and National Guidelines.

Fees Fees received in respect of Land Registry and Registry of Deeds services are

remitted weekly to the Exchequer. Under section 21(2) of the Registration of Deeds

and Title Act 2006 fees which are set by the Minister, shall not be fixed at a level

calculated to produce an amount which is less than that sufficient to discharge the


40

salaries, remuneration and other expenses payable under and incidental to the

working of the 2006 Act.

Management Board & Other Governance Structures

41

3. Management Board & other Governance Structures

3.1 Management Board Terms of Reference

The Authority has adopted the following key objectives in its Statement of Strategy

2016-201923:

Completion of the Irish Land Register,

Maintenance of a reliable and accurate system of land registration,

Meeting the Needs of the customer,

Delivering the Goals in a reformed public service,

Optimise use and value of the Register.

The purpose of the Management Board of the Property Registration Authority is to

provide for shared participation and responsibility for the operational success of the

entire organisation in meeting these key objectives. This includes accountability for

the effective management of the organisation and ensuring it has the capacity to fulfil

this role by developing the capability of the leadership team, management and staff.

The Terms of Reference for the Management Board are outlined over the course of

this Chapter.

3.1.1 Membership/composition

The Management Board is chaired by the Chief Executive Officer. The membership

comprises those officers at Principal Officer and above who hold responsibility for the

following functions in the Property Registration Authority:

Deputy Registrar – Corporate Affairs

Deputy Registrars Legal Services (x 3) 23Available at http://www.prai.ie/publications/

The purpose of this chapter is to set out the role, responsibilities

of the Management Board.


42

Corporate Services

Human Resources

Operations and Casework Management

Information and Communications Technology

Registration Mapping/spatial Data

Financial Control

3.1.2 Meetings

The Management Board meets at regular intervals, as the Chief Executive deems

necessary. In the absence of a Chief Executive convening of meetings will be

agreed by MB members.

To form a quorum, there must be at least half the members of the Board plus one in

attendance at each meeting.

Members of the Management Board may submit items for inclusion on the agenda

prior to meetings. Prioritisation is decided by the Chief Executive.

All members of the Management Board attend meetings. Other Officers of the PRA,

or external experts, as deemed necessary by the Chief Executive, may attend for the

full board meetings, or for particular agenda items.

3.1.3 Shared Participation

The principle of shared participation and responsibility applies to decisions made by

the Management Board. The role of members includes participating proactively on

the Management Board using their experience to challenge and critically examine

items under discussion. It is expected of members that in providing leadership and

strategic direction, they do not focus solely on their own functions.


43

3.1.4 Roles

The role of the Chief Executive Officer in respect of Management Board comprises:

a. Scheduling, convening and chairing regular meetings;

b. Ensuring the Management Board considers any matters that threaten the

propriety or value for money with which the Authority carries out its business;

and

c. Ensuring the Management Board considers any significant issues which may

impact on the Authority’s medium term capacity and capability or significant

risks to delivery on its goals, together with details of mitigating actions

proposed or taken.

The role of chair is complementary to and does not conflict with the existing statutory

roles of the Chief Executive or Accounting Officer.

The role of all members of the Management Board encompasses both corporate and

functional responsibilities and includes the following:

a. Regular attendance and active participation at meetings;

b. Specific responsibilities arising from their individual roles as Board members;

c. Participating proactively in the management of the Board and not focusing

only on their own functions in providing leadership and strategic direction, and

driving and overseeing the implementation of strategies;

d. Showing leadership, contributing to the management of the PRA, as a whole,

and actively supporting colleagues in meeting organisational objectives;

e. Using their experience to challenge and critically examine items under

discussion by the Management Board;

f. Notifying the Management Board of any matters that threaten the propriety or

value for money with which the PRA carries out its business; and

g. Notifying the Management Board of any significant issues which may impact

on the Authority’s medium term capacity and capability or significant risks to

delivery of its goals, together with details of mitigating actions proposed or

taken.


44

3.1.5 Matters Appropriate for the consideration of Management Board

Matters appropriate for consideration by the Management Board, include, but are not

limited to:

a. Implementation of Government Policy;

b. Achievement of the goals as set out in the Statement of Strategy;

c. Operational strategies, as appropriate, to best implement the goals

d. Monitoring performance against targets;

e. The Business Plans as agreed with all Divisional Managers;

f. Risk management;

g. Discussion of major strategic challenges confronting the PRA and strategies

affecting the long term interests of the PRA (including technological

developments, financial and Human Resource allocation, Human Resources

strategies);

h. Workforce Planning

i. Ensuring the integrity of the Register is forefront;

j. Ensuring that cross-cutting and longer term issues are fully accounted for in

resource planning, policy formulation and advice;

k. Developing services to meet customer demand;

l. Developing future strategy in collaboration with the Authority;

m. Budget allocation and performance;

n. Ensuring effective communication throughout the organisation including

dissemination of information on the role and decisions of the Management

Board where appropriate, driving engagement with staff and communication

with external stakeholders;

o. Considering and debating major policy issues and wider external issues of

significance;

p. High-level consideration of significant management and investment decisions

made;

q. Ensuring Strategic Human Resources and Organisational Capacity and

Capability Reviews are conducted periodically;

r. Ensuring that all opportunities are examined that will exploit and embrace

technology and innovation to transform how services are delivered;

s. Appropriate Governance arrangements and clarity on roles and

responsibilities

t. Participation at national and international fora.


45

3.1.6 Relationship with the Chairman and Members of the Property Registration Authority

The Management Board, through the Chief Executive reports formally to the

meetings of the members of the Property Registration Authority. The Chief

Executive’s Report consists of the following standing items:

Financial Situation

Workflow Situation

Information Technology

Other Developments

HR Updates

Legislative Developments

The Management Board, through the Chief Executive reports to the Chairman and

the members of the Property Registration Authority on an ongoing basis as the need

arises.

3.1.7 Relationship with the Parent Department

A formal Service Level Agreement is in place between the PRA and the Department

of Justice and Equality. The Management Board undertakes to return relevant and

appropriately detailed performance information to allow for monitoring of this Service

Level Agreement. This may include:

Relevant and appropriately detailed performance information for inclusion in

the Revised Estimates for Public Services volume; and

Performance information in line with the set of such indicators, and in keeping

with the timeframe, agreed with the Department of Justice and Equality.


46

3.1.8 Committees

The Chief Executive, when considered appropriate, may establish committees,

whose role to examine key strategic issues facing the PRA and to make their findings

known to the Management Board. Such Committees shall be comprised of selected

members of the Management Board, together with other Officers of the PRA as

considered appropriate. PRA standing committees include:

Budgetary Committee

ICT Steering Committee

Learning and Development Oversight Committee

Health and Safety Committees

Project Boards

Tailte Éireann Implementation Working Groups

It is the role of the Management Board to ensure that each such committee has clear

Terms of Reference which identify and set out the purpose, structure and formal

reporting lines and reporting frequency. All ongoing governance activity, including

committee meetings, is outlined in Appendix 2.

Health and Safety Committee In accordance with Section 20 of the Safety, Health and Welfare at Work Act 2005, a

Safety Statement outlining the policy of the Property Registration Authority has been

prepared and is posted on the Intranet. Overall and final responsibility is that of the

Property Registration Authority which delegates responsibilities as set out in the

Safety Statement. The management of safety, health and welfare in each building is

delegated to Divisional Managers and appointed persons. The Corporate Services

Unit has responsibility for Chancery Street, in so far as it relates to building

maintenance and carrying out safety inspections. Local Safety, Health and Welfare

Committees consisting of management and staff have been set up in Dublin,

Roscommon and Waterford. Meetings are held quarterly and act as a two-way

exchange of information in relation to relevant issues. Staff use this mechanism to

make representations to management while management keep staff informed of any

developments regarding the arrangements for safety, health and welfare, taking

account of representations.


47

3.1.9 Performance and Evaluation

A mechanism for performance evaluation annually of the Management Board will be

decided in due course by the members. All PRA Management Board members are

expected to be open to constructive feedback on their individual performance.

One option for such evaluation is individual completion of a relevant questionnaire by

all Management Board members to assess compliance with governance

requirements and the general performance and effectiveness of the board. The

Chair or an external facilitator could then collate the responses and lead discussion

on the key issues arising from the responses. The main focus will be on key areas

which require improvement and corrective action and relevant action items can be

progressed as required. Another option is to complete such a questionnaire and /or

hold a general discussion on management board performance every alternate year.

In evaluating overall Management Board Performance priority will be given to the

following issues incorporating both internal and external perspectives:

PRA strategies and risk assessments

Compliance with Governance standards

Outcomes of previous Management Board evaluations

Enhancing Management Board processes, quality of discussion, group

dynamics, and relationships

Potential Management Board development needs and improving individual

and team effectiveness

Highlighting best practice as it relates to Management Boards

Views of stakeholders in the PRA’s authorising environment , including the

Authority and parent Department , on corporate governance performance

Current and emerging factors in the external environment

A sample questionnaire is provided in Appendix 5. This draws inter alia on certain

recommendations of the Wright Report24 and the Toland Report25 on organisation

24 Strengthening the Capacity of the Department of the Department of Finance: Report of the Independent Review

Panel December 2010 available at http://www.finance.gov.ie/sites/default/files/deptreview.pdf


48

structures and embedding clear lines of ownership of issues, responsibility and

accountability. It has been tailored, as appropriate for a civil service executive

Management Board setting, from the Audit Committee Institute checklist26 for

assessment of non-executive boards generally.

To make the process most effective the Management Board may opt to adapt any

such questionnaire on a regular basis, as required.

25 Report of the Independent Review Group on the Department of Justice and Equality July 11th , 2014 Available at

http://www.justice.ie/en/JELR/Independent%20Review%20Accessible.pdf/Files/Independent%20Review%20Accessi

ble.pdf 26 Audit Committee Institute available at

http://www.kpmg.ie/aci/documents/101878_Board_Effectiveness_Quest_Flyer_Feb12%20(2).pdf

Audit, Assurance & Compliance Arrangements

49

4. Audit, Assurance and Compliance Arrangements

4.1 Introduction

The Accounting Officer cannot, of course, be fully acquainted with every detail of the

accounts for which they are responsible, so they must have a range of audit,

assurance and compliance arrangements in place to assist them.

These arrangements include:

internal controls

internal audit

audit committee

Risk management

It is the purpose of this section to outline how these arrangements are in place and

working within the PRA.

4.2 State Guarantee: Compensation Scheme

The core business of the PRA involves examining legal documents and related maps

submitted as applications for registration, interpreting the legal effect of such

documents and recording their legal impact on the registers and maps. Since the

Irish land register is a public record, any person may inspect the folios and maps, on

payment of the prescribed fees.

The title shown on the folio is guaranteed by the State .Compensation provisions

may therefore apply where a person suffers loss as result of an error, fraud or forgery

arising from an entry or omission in the register or map [Section 120 of the 1964 Act].

This chapter contains an overview of audit and assurance

arrangements together with a description of the key role of

internal controls in the overall governance framework.


50

In furtherance of the strategic objective to maintain a reliable and accurate system of

land registration, there is in place a range of measures to safeguard the integrity of

the register and its maps. These include inter alia strict adherence to Practice

Directions and Office Notices, a comprehensive training regime, a Process

Assurance Group and a Quality Assurance Unit. Collectively these arrangements

represent the key internal controls governing casework operations.

4.3 Internal Control Framework

A key element in any corporate governance framework is an effective system of

internal control. Internal control has been defined by the Auditing Practices Authority

as:

“The whole system of controls, financial and otherwise, established by management

in order to carry on the business of the enterprise in an orderly and efficient manner,

ensure adherence to management policies, safeguard the assets and secure, as far

as possible, the completeness and accuracy of the records ... it is the responsibility of

management to decide the extent of the internal control system which is appropriate

to the enterprise”.27

4.3.1 Internal Financial Control

The following represents the key elements of internal financial control in operation

within the Property Registration Authority -

A system of delegation and accountability

Proper authority for the making of payments (e.g. Department of Public

Expenditure sanction)

Segregation of duties, particularly where the processing of transactions is

involved

27 quoted in Role and Responsibilities of Accounting Officers, published by the Department of Finance 2003.


51

Careful selection of officers with responsibility for money, including ensuring

that they have the skills commensurate with their responsibilities and that they

are appropriately monitored.

Documentary and physical controls to safeguard assets.

Information and reporting arrangements to Management Board, Authority,

Parent Department and Department of Public Expenditure and Reform.

Documented financial policies and procedures, including ensuring that they

are available throughout the Department/Office.

Systems to ensure budgetary control.

Systems to review and evaluate controls, including Internal Audit and Audit

Committee.

4.3.2 Appropriation Account

After the end of the year the Accounting Officer must prepare an account of their

expenditure and receipts (any moneys received as appropriations-in-aid during the

year), known as the Appropriation Account. The Accounting Officer of the Property

Registration Authority is responsible for having the Appropriation Account for Vote

23, for which he/she is responsible, prepared and presented for audit to the

Comptroller and Auditor General (the C&AG) by 1 April of the year following that to

which it relates.

The C&AG then audits each Appropriation Account, testing whether the receipts and

expenditure recorded are supported by documentation, whether the expenditure was

applied for the purposes intended by the Oireachtas and whether the transactions

recorded conform with the authority for them. The C&AG then lays the Account

before the Dáil, together with his certificate that it properly records the receipts and

expenditure of the Department or Office concerned (if he considers that the Account

does not in fact do so: he may qualify his certificate.) and with such report as he

considers appropriate on foot of his audit of the Account. The C&AG is precluded by

law from expressing an opinion about policy

in his report.


52

4.3.3 Statement of Internal Financial Control

In the role as Accounting Officer, the CEO of the Property Registration Authority must

also sign, on an annual basis, the Statement of Internal Financial Control. The

Statement of Internal Financial Control, which is a preface to the Appropriation

Account, is a written acknowledgement on the part of the Accounting Officer of the

role he/she has in ensuring that an effective system of internal financial control is in

place within the Office.

The statement must contain confirmation that the control environment contains the

following elements:

Financial responsibilities have been assigned at management level with

corresponding accountability

Reporting arrangements have been established at all levels where

responsibility for financial management has been assigned

Formal procedures have been established for reporting significant control

failures and ensuring appropriate corrective action

There is an Audit Committee to advise him/her in discharging his/her

responsibilities for the internal financial control system

The Statement goes on to describe the arrangements in place in respect of, inter alia,

administrative controls, management reporting and internal control. In addition, the

Statement contains details of the Letters of Assurance provided to the Accounting

Officer by the Accounting Officers of the Department of Public Expenditure and

Reform and the Accounting Officer of the Department of Justice and Equality in

respect of controls in place for shared services28 supplied to the PRA.

4.3.4 Procurement

A further key element of internal control is that of adherence with procurement

guidelines. The Property Registration Authority must adhere to strict procurement

guidelines in all matters pertaining to the purchase of goods and services.

28 (1) HR Shared Services Centre - PeoplePoint and (2) Payroll Shared Services Centre- PSSC


53

Implementation of these guidelines is the remit of the Procurement Manager and the

Finance and Procurement Unit.

Different procurement procedures apply depending on what is being procured and

the value of a contract. Contracts must not be artificially split in order to avoid a

formal compliant procurement process. Different EU thresholds apply depending on

the nature of the contract being procured. These thresholds are revised every two

years by the EU Commission. Summary procedures for each procurement threshold

are set out in the table below, but before conducting any procurement, the full

internal procedure document should be read and understood.

Value of contract (excl. VAT) Procurement procedure

Up to €500 Purchase directly

Over €500 and less than €5,000

Issue a Request for Quotation (RFQ) to

one or more suppliers (check to see if

the OGP can procure directly or have

an existing suitable contract/framework

agreement in place)

Between €5,000 and €25,000

Issue a RFQ to a minimum of three

suppliers (check to see if the OGP can

procure directly or have an existing

suitable contract //framework

agreement)

Over €25,000 to EU threshold

€135,000

In accordance with DPER Circular

10/14 issue a formal RFT on eTenders

(check to see if the OGP can procure

directly or have an existing suitable

/framework agreement).

Over EU threshold €135,000

Issue a formal RFT pursuant to a

Notice in the Official Journal of the EU

via the website: www.etenders.gov.ie


54

4.4 Internal Audit

4.4.1 Role of Internal Audit

The primary role of the Internal Audit Function is to give assurance to the Chief

Executive as Accounting Officer and to the Audit Committee on the adequacy and

effectiveness of the Property Registration Authority’s system of internal controls. The

Internal Audit Function discharges this responsibility by critically and objectively

examining on a risk focused basis -

the adequacy and reliability of systems (including the relevant technology)

and procedures

the compliance with management controls

the compliance with corporate objectives and strategies

the compliance with laws and regulations

the reliability and integrity of management information

the arrangements for the acquisition, custody and disposal of assets and for

verifying their existence

and by identifying deficiencies or weaknesses in systems and making appropriate

recommendations.

Comprehensive records are maintained to demonstrate that audit work has been

performed to best practice standards. Internal Audit is responsible for ensuring the

confidentiality and safekeeping of all records and information accessed in the course

of internal audit work. Should the internal audit function, during the course of its work,

discover evidence of fraud it may bring this to the attention of the Chief Executive as

Accounting Officer and the Audit Committee, without prior reference to local

management.

The internal audit function may also, at the request of Chief Executive as Accounting

Officer and with the agreement of the Audit Committee, engage in specific fraud

investigation work.


55

4.4.2 Delivery of Internal Audit Function

The PRA relies upon an external delivery model for the provision of Internal Audit Services.

Amongst the key areas which are regularly subject to internal audit reviews are:

Financial Control

Casework; compliance with procedures

ICT Security

Human Resources: compliance with legislation and DPER circulars

Risk Management

4.4.3 Charter for Internal Audit

The internal audit function has a formal charter, including terms of reference, which

has been approved by the Authority. The charter deals with inter alia the

independence of the audit function, its reporting responsibilities, and proposed audit

methodologies.

4.4.4 Internal Audit Methodology

The Internal Audit Function carries out audit work in accordance with standards and

guidelines issued by Department of Public Expenditure and Reform and has regard

to best practice of organisations such as the Institute of Internal Auditors.

In carrying out its duties, internal audit works constructively with management and

staff. During the course of an audit, management and staff will be required to co-

operate fully with internal audit team’s requirements. Internal Audit will normally notify

line management at least two weeks prior to the commencement of an audit. In the

course of each audit, the audit team will discuss its findings with the line

management concerned. Normally, an exit meeting will be held with the appropriate

Head of Division.

Draft internal audit reports will subsequently be issued to management for response.

Management do not amend draft internal audit reports or cause them to be amended.

Management are afforded an opportunity to address findings. Where Internal Audit


56

and management fail to reach agreement on issues/recommendations considered to

be of material importance by Internal Audit, the final audit report will reflect the

positions of both.

The attention of the Chief Executive as Accounting Officer and the Audit Committee

will be drawn specifically to these issues/recommendations, so that appropriate

action may be taken by senior management.

4.5 Audit Committee

The PRA has an Audit Committee in place. The role of the Audit Committee, as part

of the ongoing systematic development of the control environment and governance

procedures within the PRA is -

To act as a source of independent advice to the Chief Executive, as

Accounting Officer and members of the PRA, on matters relating to financial

management and control;

To oversee the internal audit function and advise the Chief Executive as

accounting officer and the Authority in relation to the operation and

development of that function

To assess whether appropriate action is taken to deal with key issues

identified by the internal audit unit and by external audit

To examine and monitor the implementation of the Authority’s risk

management strategy

To facilitate improvements in internal audit and internal control through the

exchange of information

4.5.1 Audit Committee Arrangements in PRA

The Audit Committee -

Operates under a written charter.

Has significant external representation (at least 2 members), including, in the

normal course, representatives from the private sector with appropriate

expertise.

Prepares an annual report to the Accounting Officer reviewing its operations.


57

Invites the Comptroller and Auditor General, or his nominee, to meet the

Committee at least once a year.

4.5.2 Relationship between Audit Committee and Internal Audit Function

There is a clearly defined relationship between the Audit Committee and the Internal

Audit Function within the PRA. It is important to note that the Committee’s role is

advisory rather than supervisory. The Audit Committee is engaged on the following:

Reviewing and advising on the programme of work for Internal Audit within

the PRA

Approving and periodically reviewing a charter for Internal Audit which clearly

defines the purpose, authority, role, responsibility and reporting relationships

of the Audit Committee, Internal Audit Unit and relevant management of the

PRA

Assessing the results of completed internal audit reports, evaluating the

effectiveness of internal control and advising the Chief Executive as

Accounting Officer and the Authority of its conclusions thereon

Advising the Chief Executive, as Accounting Officer, and the members of the

Property Registration Authority on the effectiveness of the internal audit

function.

Monitoring the implementation of the audit plan

Requesting special reports from internal audit as considered appropriate

Fostering the development of best practice in the internal audit function

4.6 Risk Management

Risk may be defined as the possibility of the Authority failing to achieve its objectives,

as set out in its Statement of Strategy, due to any internal or external event. The

Property Registration Authority implements a Risk Management policy as

recommended by Department of Public Expenditure and Reform.


58

4.6.1 Risk Management Programme

Risk management is a process of clearly defined steps which support better decision-

making by contributing a greater insight into risks and their impacts. Risk

management within the PRA is not a stand-alone activity that requires special skills

and resources that add to the administrative burden. Rather the focus is at all times

on successfully managing risk rather than on the system of risk management.

The key elements of the risk management programme within the Authority are

Identification and assessment of the risks

An evaluation of the likelihood of the risk occurring

Ensuring that comprehensive controls are in place to prevent, detect and

recover from any incidents

Monitoring and reporting to the Authority

Putting in place an effective communication, learning and awareness

campaign to ensure that risk management is embedded in staff’s everyday

responsibilities.

4.6.2 Risk Management Responsibility

The Authority of the Property Registration Authority has overall responsibility for

ensuring that a risk management policy is defined and in operation within the

organisation.

The Chief Executive manages and directs the overall risk management process. A

Risk Register is presented on a quarterly basis to the Management Board and put

before the members of the Authority.

Members of the Management Board are responsible for

Implementing the Authority’s risk management process in their Division;

Identifying, evaluating and signing off on risks at Divisional level;

Owning and managing the risks within the Division’s organisational or

functional remit on a day to day basis;

Ensuring clear roles and responsibilities for risk identification, management

and reporting are defined within their areas using PMDS and business

planning;


59

Ensuring compliance with the formal risk reporting requirements on an

ongoing basis;

Ensuring risk management awareness throughout the Division.

Staff: individual members of staff are responsible for

Operating and monitoring the system of internal control;

Proactively identifying risk issues and bringing these to the attention of

management;

Ensuring that all risks are identified and reported in a timely and effective

manner.

The Authority’s Audit Committee reviews and advises upon the processes for

managing risk in the Authority. The Audit Committee have a standing agenda item on

risk at its meetings and receive feedback from the Authority’s management on the

implementation and performance of the risk management process.

On a day to day basis, primary responsibility for risk management lies with line

management within the Authority.

4.6.3 Risk Register

The Authority maintains its own centralised records about its risks in a risk database

or register. This register is the primary tool for risk tracking, containing the overall

system of risks and the status of any risk mitigation actions.

The details contained in the risk register pertaining to each individual risk include:

A description of the risk

Business area responsible for managing the risk

The relevant strategy impacted

The likelihood of the risk occurring

The impact of the risk

The control effectiveness

The overall risk rating

The consequences of the risk

Measures to address the risk


60

Additional action necessary

The Owner of the risk

4.6.4 Review of Risk Management Practices

In accordance with Department of Public Expenditure and Reform guidelines issued

in February 201629, the PRA will carry out a review of its risk management processes

to ensure adherence to recent developments in the area of Risk Management. It is

expected that this review will take place in Quarter 2, 2016.

29 Risk Management Guidance for Government Departments and Offices DPER February 2016 available at

http://govacc.per.gov.ie/files/2016/02/Risk-Management-Guidance-February-2016.pdf

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61

Appendix 1 Governance Principles30

Good governance supports a culture and ethos which ensures behaviour

with integrity, a strong commitment to ethical values, and respect for the

rule of law.

Good governance helps to define priorities and outcomes in terms of

sustainable economic and societal benefits and to determine the policies

and interventions necessary to optimise the achievement of these

priorities and outcomes. It means implementing good practices in

transparency, reporting, communications, audit and scrutiny to deliver

effective accountability.

Good Governance means developing the Department’s capacity,

including the capability of the leadership team, management and staff.

Good governance means managing risks and performance through

robust internal control systems and effective performance management

practice.

Good governance ensures openness, effective public consultation

processes and comprehensive engagement with domestic and

international stakeholders.

30 International Framework: Good Governance in the Public Sector (IFAC, CIFPA 2014)

1

2

3

4

5

Appendices

62

Appendix 2 Overview of Compliance Framework

Annual Governance Events Cycle

January

-PMDS Goal Setting

-Statements of Interests to DJE

-Evaluation of effectiveness of Management Board

31 March

-Appropriation Accounts sign off by Accounting Officer and submitted to Comptroller and Auditer General

April

-World Bank submission June

-Annual Report

-PMDS Mid-year reviews

-Compliance Statement to DJE

-L&D REview

Dec

-Annual Review of Governance Standard

-Compliance Statement to DJE

-PMDS annual Reviews

-Annual Business Planning process

-L&D Review

-Management Board Performance Evaluation

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63

Ongoing Governance Activity

Role/Function Forum To be Convened Direction and Control of the Property Registration Authority

Authority meetings At minimum 6 times per year

LR Rules

Rules committee Annual Meeting

Internal Audit

Internal Audit Committee Quarterly

Departmental Oversight

Organisational Accountability and

Performance meetings with DJE

Twice yearly

Executive Responsibility

Management Board Monthly, at minimum

Operational Oversight Casework Managers Forum

Mapping Managers

Legal Services Division Managers

As convened

As convened

As convened

ICT Oversight ICT Steering Committee Annually, or as required

Budgetary Oversight Budgetary Committee Quarterly

Learning & Development Oversight

L&D Oversight Committee Quarterly

Conciliation and Arbitration Scheme

Departmental Council Quarterly

Staff Engagement Working Together Forum Quarterly

International Affiliations ELRA

EULIS

WPLA

5 Registers Forum(England

&Wales,

Scotland, Ireland, Northern Ireland

and Isle of Man

As convened

Twice yearly

Customer Engagement Customer Focus Group Annually

Safety, Health and Welfare Local Committees Quarterly

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64

Appendix 3 Current Authorisations of the PRA pursuant to the provisions of the

Registration of Deeds and Title Act 2006-2014 Date of

Authorisation Description

4th Nov. 2006

Authorisations HR Matters (Item one) [under S22(5)c & S 22(7) of the 2006 Act] [part [S 22(7)] rescinded and replaced 21.1.2011 – part of this was

subsequently replaced and rescinded (on 2nd April 2012 (re HR Manager) and

remainder 18th October 2012 (Re DRs)] 4th Nov. 2006

Authorisations Contract Matters - (item three ) for CEO to enter contracts on

behalf of the Authority to the value of not more than €1M in value [also see Authorisation of 27th April 2012 – appointment of Interim CEO]

25th April 2007 Authorisations Human Resource Matters (appointment, performance and

discipline of staff)

[For the HR Manager and Deputy Registrars - individuals not named]

21st Jan 2011 Authorisation pursuant to Section 22(8) of the 2006 Act for staff while the post of

Chief Executive is vacant

22nd July 2011

Authorisation for the exercise and performance of the duties of the HR Manager until otherwise directed [For Enda McElvaney Divisional Manager,

HR]

2nd April 2012

Authorisation for HR Matter [S. 22(7)] for Aileen McHugh HR Manager _

rescinds and replaces part of Authorisation of 21st Jan 2011 re the HR Manager.

Also se Authorisation of 4th November 2006

27th

April 2012

Authorisation for Frank Treacy Deputy Registrar to perform the functions of the

CEO w.e.f. 30 April 2012 while the post of CEO is vacant

Appendices

65

18th Oct. 2012

Authorisation for HR Matters - [(S. 22(7) of the 2006 Act] for DRs. rescinds and

replaces the remainder of the Authorisation of 21st January 2012.

Also see Authorisation of 4th November 2006

18th Oct. 2012

Authorisation for Human Resource Matters (suspending authorities) which

rescinds and replaces the Authorisations for HR matters (suspending authorities)

of the 21st January 2011

18th Oct. 2012

Authorisation for Contract Mattes (value under €200,000) which rescinds and

replaces the Authorisation for Contract Matters of the 21st January 2011

12th June 2014

Authorisations for Property Registration Matters which rescinds and replaces

the Authorisation as to Registration Matters of 21st January 2011

Appendices

66

Appendix 4 Key Reference Documents

Relevant Legislation

Property Registration Registration of Title Act 1964 No. 16 of 1964 Registration of Deeds and Title Act 2006 No. 12 of 2006 Land and Conveyancing Law Reform Act 2009 No. 27 of 2009 Land and Conveyancing Law Reform Act 2013 No. 30 of 2013 Land Registry and Registry of Deeds (Hours of Business) Order 1964 No. 164 of 1964 Land Registry and Registry of Deeds (Hours of Business) (Amendment) Order 1967 No. 75 of 1967 Land Registry and Registry of Deeds (Hours of Business) (Amendment) Order 1973 No. 358/1973 Land Registration (Fees) Order 2012 S.I. 380 of 2012 Land Registration (Fees) (Amendment) Order 2013 S.I. 21of 2013 Registry of Deed Fees Order 2008 S.I. 51 of 2008 Rules Registry of Deeds Rules 2008 S.I. 52 of 2008 Registry of Deeds Rules 2009 S.I. 350 of 2009 Registry of Deeds Rules (No. 2) 2009 S.I. 457 of 2009 Registry of Deeds Rules 2013 S.I. 387 of 2013 Land Registration Rules 2012 S.I. 483 of 2012 Land Registration Rules 2013 SI 389 of 2013 Civil Service Civil Service Regulations Acts 1956 to 2006 No. 46 of 1956 Comptroller and Auditor General (Amendment) Act, 1993 No. 8 of 1993

Appendices

67

Ministers and Secretaries Acts 1924 to 2011 Payment of Wages Act, 1991 No. of 1991 Prompt Payments of Accounts Act 1997 No. 31 of 1997 Public Service Management Act, 1997 No. 27 of 1997 Public Service Management (Recruitment and Appointments) Act 2004 No. 33 of 2004 Public Service Management (Recruitment and Appointments)(Amendment) Act 2013 No. of 2013 Public Service Management (Sick Leave) Regulations 2014 SI 124 of 2014 Public Service Management (Sick Leave) (Amendment) Regulations 2015 SI 384 of 2014 Equality Employment Equality Act 1977 No. 16 of 1977 Employment Equality Act 1998 No. 21 of 1998 Equality Act 2004 No. 24 of 2004 Equal Status Acts 2000 to 2012 Disability Act 2005 No. 14 of 2005 Miscellaneous Comptroller and Auditor General (Amendment) Act, 1993 No. 8 of 1993 Data Protection Acts 1988 and 2003 Official Languages Act 2003 No. 32 of 2003 Official Secrets Act 1963 No. 1 of 1963 Ombudsman Acts 1980 to 2012 Organisation of Working time Act 1997 No. 20 of 1997 Regulation of Lobbying Act 2015 No. 5 of 2015 Prevention of Corruption (Amendment) Act 2001 No. 27 of 2001 Regulation of Lobbying Act 2015 (Designation of Public Officials) Regulations 2015 SI 367/2015

Appendices

68

Safety, Health and Welfare at Work Act 2005 No. 10 of 2005 Workplace Relations Act 2015 No. 16 of 2015

Miscellaneous Legislative Measures and Policy Documents

Ethics Standards in Public Office Acts 1995 and 2001 (the Ethics Acts).

Civil Service Codes of Conduct 2008 Standards in Public Office Commission available at http://www.sipo.gov.ie/en/Codes-of-Conduct/Civil-Servants/Civil-Service-Code-of-Standards.pdf (As drawn up and promulgated by the Minister for Finance on 9 September 2004 pursuant to Section 10(3) of the Standards in Public Office Act 2001 and published by the Standards in Public Office Commission (revised edition) in September 2008 pursuant to Section 10(11) of the Standards in Public Office Act 2001.)

Guidelines on Compliance with the Provisions of the Ethics in Public Office Acts 1995 and 2001 Public Servants (10th Edition) updated November 2015 available at http://www.sipo.gov.ie/en/Guidelines/Guidelines-for-Public-Servants/

Introduction to the Irish Civil Service (Government of Ireland 2008) available at http://hr.per.gov.ie/files/2011/05/14_Civil_Service_Induction_Manual_2008_En.pdf

Financial Procedures and Risk Management The Role and Responsibilities of Accounting Officers September 2011 published by Government Accounting Section, Department of Public Expenditure and Reform available at http://govacc.per.gov.ie/files/2014/06/Accounting-Officers-Memo.pdf

Statement of Internal Financial Control available at http://govacc.per.gov.ie/files/2014/06/Statement-on-Internal-Financial-Control-for-website.pdf Public Financial Procedures Booklet available at http://govacc.per.gov.ie/public-financial-procedures-booklet-by-section/ Department of Finance Circular 01/2011 3 March 2011 Revised Instructions for Preparing Material for Inclusion in Minutes of the Minister for Finance on Reports of the Committee of Public Accounts (PAC) available at http://circulars.gov.ie/pdf/circular/finance/2011/01.pdf

http://www.sipo.gov.ie/en/Codes-of-Conduct/Civil-Servants/Civil-Service-Code-of-Standards.pdf

http://www.sipo.gov.ie/en/Codes-of-Conduct/Civil-Servants/Civil-Service-Code-of-Standards.pdf

http://www.sipo.gov.ie/en/Guidelines/Guidelines-for-Public-Servants/

http://hr.per.gov.ie/files/2011/05/14_Civil_Service_Induction_Manual_2008_En.pdf

http://govacc.per.gov.ie/files/2014/06/Accounting-Officers-Memo.pdf

http://govacc.per.gov.ie/files/2014/06/Statement-on-Internal-Financial-Control-for-website.pdf

http://govacc.per.gov.ie/files/2014/06/Statement-on-Internal-Financial-Control-for-website.pdf

http://govacc.per.gov.ie/public-financial-procedures-booklet-by-section/

http://govacc.per.gov.ie/public-financial-procedures-booklet-by-section/

http://circulars.gov.ie/pdf/circular/finance/2011/01.pdf

Appendices

69

Internal Audit Standards revised 2012 available at http://govacc.per.gov.ie/files/2012/11/Revised-Internal-Audit-Standards-2012-Final-Version-FOR-WEB.pdf

Risk Management Guidance for Government Departments and Offices published by Department of Public Expenditure and Reform February 2016 available at http://govacc.per.gov.ie/files/2016/02/Risk-Management-Guidance-February-2016.pdf

FOI Freedom of Information Acts 1997- 2014 No. 30 of 2014

Freedom of Information Act 2014 (Fees) (No. 2) Regulations 2014 S.I. 531 of 2014 FOI Model Publication Scheme published by FOI Central Policy Unit DPER October 2015 Available at: http://www.per.gov.ie/en/freedom-of-information-act-2014/

FOI Model Publication Scheme Guidance published Central Policy Unit DPER October 2015 available at: http://www.per.gov.ie/en/freedom-of-information-act-2014/

PRA FOI Publication Scheme available at http://www.prai.ie/

Governance Corporate Governance Standard for the Civil Service November 2015 available at: http://www.per.gov.ie/en/corporate-governance-standard/ Governance Standard to provide Oversight of Justice and Equality Bodies Strengthening Civil Service Accountability and Performance: Consultation Paper on Programme for Governments commitments, Government Reform Unit, DPER, 9th January 2014 available at http://www.per.gov.ie/en/civil-service-accountability-consultation-process/ Report of the Panel on Strengthening Civil Service Accountability and Performance 30th May 2014 available at http://www.per.gov.ie/en/civil-service-accountability-consultation-process/ Protected Disclosures Protected Disclosures Act 2014 No. 14 of 2014

Protected Disclosures Act 2014 (Disclosure to Prescribed Persons) Order 2015 SI 448 of 2015 Draft guidance for public bodies on the performance of their functions under section 21(1) of the act

http://govacc.per.gov.ie/files/2012/11/Revised-Internal-Audit-Standards-2012-Final-Version-FOR-WEB.pdf

http://govacc.per.gov.ie/files/2012/11/Revised-Internal-Audit-Standards-2012-Final-Version-FOR-WEB.pdf



http://www.per.gov.ie/en/freedom-of-information-act-2014/



http://www.prai.ie/

http://www.per.gov.ie/en/corporate-governance-standard/

http://www.per.gov.ie/en/civil-service-accountability-consultation-process/




Appendices

70

Draft of Sample protected Disclosures Procedures PRA Protected Disclosures Policy December 2014 PMDS Performance Management and Development System 2013 Phase 2 Changes Overview of Revised System November 2012 DPER available at http://hr.per.gov.ie/pmds-2013/ PMDS 2013: Phase 2 Changes Overview of Revised System: Goal Auditing for HR Units: Guide for HR available at http://hr.per.gov.ie/pmds-2013/ Guidelines for Managing Underperformance in the Civil Service Department of Public Expenditure and Reform May 2011 available at http://hr.per.gov.ie/files/2011/04/Guidelines-Managing-Underperformance-in-Civil-Service1.pdf Public Sector Reform DPER (2015) Annual Progress Report on the Public Service Reform Plan 2014-2016 available at: http://reformplan.per.gov.ie/ The Civil Service Renewal Plan: A Vision and Three Year Action Plan for the Civil Service October 2014 available at: http://www.per.gov.ie/civil-service-renewal/ Report of the Independent Group on the Department of Justice and Equality July 11th /, 2014 (Toland Report) available at: http://www.justice.ie/en/JELR/Independent%20Review%20Accessible.pdf/Files/Independent%20Review%20Accessible.pdf Public Service Agreement 2010-2014 (Croke Park Agreement) available at http://per.gov.ie/wp-content/uploads/Public-Service-Agreement-2010-2014-Final-for-print-June-2010.pdf Public Service Stability Agreement 2013-2016: The Haddington Road Agreement, May 2013 available at http://per.gov.ie/wp-content/uploads/Haddington-Road-Agreement.pdf Public Service Stability Agreement 2013-2018: the Lansdowne road agreement Public Service Reform Plan November 2011) Integrated Reform Delivery Plans available at http://reformplan.per.gov.ie/files/2012/01/Public-Service-Reform-28112011.pdf Government Statement: Progress on the implementation of the Government's Public Service Reform Plan, September 2012 available at http://per.gov.ie/wp-content/uploads/Statement-on-Public-Service-Reform-Plan-6th-Sept-2012.pdf Comprehensive Review of Expenditure Justice Vote Group (June 2011) available at:http://www.budget.gov.ie/Budgets/2012/Documents/CER%20-20Estimates%20Final.pdf

http://hr.per.gov.ie/pmds-2013/

http://hr.per.gov.ie/pmds-2013/

http://hr.per.gov.ie/files/2011/04/Guidelines-Managing-Underperformance-in-Civil-Service1.pdf

http://hr.per.gov.ie/files/2011/04/Guidelines-Managing-Underperformance-in-Civil-Service1.pdf

http://reformplan.per.gov.ie/

http://www.per.gov.ie/civil-service-renewal/

http://www.justice.ie/en/JELR/Independent%20Review%20Accessible.pdf/Files/Independent%20Review%20Accessible.pdf

http://www.justice.ie/en/JELR/Independent%20Review%20Accessible.pdf/Files/Independent%20Review%20Accessible.pdf

http://per.gov.ie/wp-content/uploads/Public-Service-Agreement-2010-2014-Final-for-print-June-2010.pdf

http://per.gov.ie/wp-content/uploads/Public-Service-Agreement-2010-2014-Final-for-print-June-2010.pdf

http://per.gov.ie/wp-content/uploads/Haddington-Road-Agreement.pdf

http://per.gov.ie/wp-content/uploads/Haddington-Road-Agreement.pdf

http://reformplan.per.gov.ie/files/2012/01/Public-Service-Reform-28112011.pdf

http://reformplan.per.gov.ie/files/2012/01/Public-Service-Reform-28112011.pdf

http://per.gov.ie/wp-content/uploads/Statement-on-Public-Service-Reform-Plan-6th-Sept-2012.pdf

http://per.gov.ie/wp-content/uploads/Statement-on-Public-Service-Reform-Plan-6th-Sept-2012.pdf

http://www.budget.gov.ie/Budgets/2012/Documents/CER%20-20Estimates%20Final.pdf

http://www.budget.gov.ie/Budgets/2012/Documents/CER%20-20Estimates%20Final.pdf

Appendices

71

Supporting Public Service Reform: eGovernment 2012-2015 (April, 2012) available at http://egovstrategy.gov.ie/

ICT Public Service ICT Strategy January 2015 Available at http://ictstrategy.per.gov.ie/ Statement of Common Purpose: Programme for Government (February 2011) available at http://per.gov.ie/wp-content/uploads/ProgrammeforGovernmentFinal.pdf Circular 02/16: Arrangements for Digital and ICT-related Expenditure in the Civil and Public Service issued by the Dept. of Public Expenditure and Reform

Conciliation and Arbitration Scheme Date: 01/06/50 01/06/1950 G: - Scheme of Conciliation and Arbitration for the Civil Service SCHEME OF CONCILIATION AND ARBITRATION FOR THE CIVIL SERVICE available at http://circulars.gov.ie/pdf/letter/finance/1950/1.pdf Reference No: E157/9/9; Date: 08/08/83 Circular 17/1983:- Conciliation and Arbitration for Certain Highers Grades available at: http://circulars.gov.ie/pdf/circular/finance/1983/17.pdf Reference No: E138/1/83; Date: 13/04/84 Circular 10/1984:- Conciliation and arbitration scheme for certain higher grades available at: http://circulars.gov.ie/pdf/circular/finance/1984/10.pdf Strategic Plans Guidelines for Ministers on the Preparation of Strategy Statements, DPER 2011

Workforce Planning Guidelines: A Workplace Planning Framework for the Civil Service and Non-Commercial State Bodies March 2012 available at http://hr.per.gov.ie/files/2012/03/A-Workforce-Planning-Framework-for-the-Civil-Service-and-Non-Commercial-State-Bodies1.doc

A Workforce Planning Framework for the Civil Service and Non-Commercial State Bodies: Guidelines 2015-2017, Workforce Planning Unit, Civil Service Directorate, Department of Public Expenditure and Reform. Internal Documents Irish Language Scheme PRA Staff Mobility Policy (revised 2016) Learning and Development Strategy Protected Disclosures Policy (December 2014)

http://egovstrategy.gov.ie/

http://ictstrategy.per.gov.ie/

http://per.gov.ie/wp-content/uploads/ProgrammeforGovernmentFinal.pdf

http://circulars.gov.ie/pdf/letter/finance/1950/1.pdf



http://hr.per.gov.ie/files/2012/03/A-Workforce-Planning-Framework-for-the-Civil-Service-and-Non-Commercial-State-Bodies1.doc



Appendices

72

Report by sub-committee of the Authority on the Functions of the PRA (2013) Report on the Staff Climate Survey (2012) Safety Statement Workforce Action Plan 1st Iteration, August 2012 (internal document) Workforce Action Plan 2nd Iteration, November 2013 (internal document) Workforce Action Plan 3rd Iteration, April 2015 (internal document)

Appendices

73

Appendix 5 PRA Annual Assessment of Management Board Effectiveness31

A. Creating an Effective Management Board

More satisfied - Less satisfied

1 2 3 4 5

What could the Management Board do better or differently?

1. Are you satisfied that the Management Board has

clearly documented its role and responsibilities in

the PRA Corporate Governance Standard?

2. Are you satisfied that Management Board

members both individually and collectively

understand what is expected of them?

3. Are you satisfied with the succession plans in

place?


members, as a whole, have sufficient skills

experience, time and resources to undertake their

duties?

5. Are you satisfied with the level of secretarial

support at the Management Board’s disposal?

31 Adapted from Audit Committee Institute available at http://www.kpmg.ie/aci/documents/101878_Board_Effectiveness_Quest_Flyer_Feb12%20(2).pdf

Appendices

74

B. Running an Effective Board More satisfied - Less satisfied

1 2 3 4 5


1. Are you satisfied that the Management Board

has in place a set of objectives that seek to

enhance its effectiveness?

2. Are you satisfied with the Chair’s leadership

style (e.g. are they decisive, open-minded and

courteous; do they set a good example, allow

members to contribute and hold members to

high standards; do they relate well to other

members/attendees, deal effectively with dissent

and work constructively towards consensus)?

3. Are you satisfied that the Management Board’s

workload is dealt with effectively?


members work together constructively as a

team?


meetings are conducted in a manner which

encourages open discussion, healthy debate

Appendices

75

and allows each board member to clearly add

value to discussion and decisions?

6. Are Management Board meetings conducted in

an atmosphere of creative tension?


schedule of matters/ table of action items is up

to date and regularly reviewed?


meeting arrangements (e.g. frequency, timing,

duration, venue and format) enhance its

effectiveness?


meeting agenda has sufficient input from all

Board members?


meetings allow sufficient time for discussion of

substantive matters?


meeting agendas and related background

information are circulated in a timely manner to

enable full and proper consideration to be given

Appendices

76

to the important issues?


meeting minutes are clear, accurate, consistent,

complete and timely?

13. Are you satisfied that outstanding actions arising

from the Management Board meetings are

properly followed up?

C. Professional Development More satisfied - Less satisfied

1 2 3 4 5


1. Are you satisfied with timelines and

appropriateness of ongoing professional

development received by the Management

Board?

2. Are you satisfied with the Executive coaching

programme delivery?

3. Are you satisfied that all Management Board

members are afforded equal opportunity to

attend formal courses and conferences?

Appendices

77

D. Strategic foresight More satisfied - Less satisfied

1 2 3 4 5


1. Are you satisfied that the Management board

devotes significant time to determining the

emerging issues that could affect the organisation

in the future?


a good understanding of the organisation’s key

drivers of performance?

3. Are you satisfied that the majority of the

Management Board’s time is spent on issues

relating to the strategic direction and not day-to-

day management responsibilities?

4. Are you satisfied that the PRA’s organisational

purpose (mission) and vision has been defined

and clearly communicated to all levels within the

organisation?

Appendices

78

E. Stewardship More satisfied - Less satisfied

1 2 3 4 5



understands and fulfils its stewardship role?

2. Are you satisfied that the Organisation’s risk

management processes provide a full

understanding of the high risk issues that could

impact the organisation?


appreciates the details of the control assurance

framework including reporting scope and

timelines?

Appendices

79

F. Performance Evaluation More satisfied - Less satisfied

1 2 3 4 5


1. Are you satisfied that our existing range of financial and

non-financial performance measures are broad enough

to monitor organisational performance?

2. Are you satisfied that our existing performance measures

are linked to the organisation’s strategy?

3. Are you satisfied that the organisation’s performance is

adequately benchmarked against its peers?

4. Are you satisfied that the Management Board has in

place an appropriate process for regular board,

committee and individual board member evaluation?

5. Are you satisfied that all actions arising from

performance evaluation are followed up?


performance assessment process enhances

Management Board effectiveness?

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G. Managing Management More satisfied - Less satisfied

1 2 3 4 5



is appropriately engaged in succession

planning?

2. Are you satisfied that there is appropriate

assignment of functions in place and that they

are regularly reviewed?

3. Are you satisfied that bad news is

communicated to the Management Board as it

arises?

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81

H. Value Creation More satisfied - Less satisfied

1 2 3 4 5



clearly identified the organisation’s major

stakeholders and the ‘value’ each requires?

2. Are you satisfied that there are systems in place to

allow the Management Board to measure whether

the organisation is creating or destroying major

stakeholder ‘value’?

3. Are financial and non-financial value drivers in

place to focus on the enhancement of value?

4. Is our existing decision making process (including

the present structure of management proposals )

adequate to properly assess whether proposals

create major stakeholder value?

5. Is the PRA creating major stakeholder value?

6. Does the Management Board have adequate

mechanisms for communicating with major

stakeholders?

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82

I. Corporate culture More satisfied - Less satisfied

1 2 3 4 5



comprehension of the organisation’s purpose,

vision and strategic plan is reflected in actions

taken?


plays an appropriate pro-active role in

communicating change?


members are accessible to staff?