Due Diligence

Due Diligence handover documentation

(To be used when services are in transition/transferring between areas.)

Guidance notes „ Evidence must be provided of input into the Due Diligence process from senior
„ This template contains a list of questions/prompts that are designed to ensure management.
all salient issues are raised as part of the Due Diligence handover. It is not an „ Evidence must be provided of input into the Due Diligence process from relevant
exhaustive list and can be added to. specialists/clinical leads as appropriate to the service. Specialists/clinical leads
„ The Due Diligence should be completed by the transferring service to assist the for example can give an overview of key issues for the client group to the lead
managers in the receiving service to undertake an impact assessment and to manager.
jointly plan appropriately for the transfer. „ Each template must be signed off by the relevant managers at the appropriate
„ It is suggested that once the initial decision based on early scoping is made to levels.
progress the transfer, the Due Diligence process is completed as it will assist in
determining the detail of the change. It should be revisited and updated prior to
the final transfer taking place.
„ The information should as appropriate be crosschecked and signed in consultation
with Finance, Quality & Patient Safety, HR, ICT, Estates, Communication and
any other shared/relevant services. It is important that this part of the process is
carefully attended to in order to minimise risk of key information not being formally
handed over.
„ A date should be agreed from which relevant activity and resource data is used
for the purpose of this Due Diligence exercise.
„ High level information only is required initially; however, on matters which currently
or may in the future require more significant management focus, greater detail
should be provided. This may be referenced and attached in the form of additional
supplementary information (reports and spreadsheets).
„ In the event that Due Diligence is undertaken in respect of a service transfer from
one geographic area to another, boundary/geographic analysis will be required from
a population-impact perspective.

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Area:

Service Area:

Section 1: Background information

Please provide the following information:
1.1 Date of establishment of service

1.2 Purpose of the service

1.3 Service/client profile

1.4 Referral/access eligibility criteria

1.5 Key service dependencies and relationships

relevant to the client group, i.e. access to respite
services, day hospital services, preschool
services, etc.

1.6 Identify shared care arrangements/protocols if in

place

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Section 1: Background information

Please provide the following information:
1.7 Identify the boundaries of the transferring service
and assess for population and geographic impact
for service delivery

Section 2: Responsibilities
2.1 Name of manager

2.2 Position held

Contact details

Address

Email

Phone

2.4 Currently reports to

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Section 3: Budget/financial information

3.1 What is the current overall budget and planned
budget for next year for the service?

3.2 Specify suballocations

3.3 Is overall budget on target?

3.4 Specify any cost containment measures

3.5 Specify any major risk issues with cost

containment implications

Section 4: Human Resources

Staffing and whole time equivalent information
4.1 Staff ceiling Confirm approved staff ceiling for the service (provide relevant breakdown per discipline, etc.)

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Section 4: Human Resources

4.2 Recruitment/business cases List any priority posts for recruitment

List any posts currently in process of recruitment

4.3 Employee relations Outline any major or potentially major staff relations issues/disputes

Are there any staff on administrative leave or suspended from duty? If so provide details

4.4 Attendance management

Include current level of sick leave and measures

taken to address high absenteeism if relevant

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Section 4: Human Resources

4.5 Education and training

Provide information regarding skill capacity,

management and staff development, including
clinical skills development

4.6 Administrative/clerical supports

Outline current level of administrative support to

the service/team and any deficits in this regard

Section 5: Service issues

Service activity

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Section 5: Service issues

5.1 Service activity Reference Service Activity as per Service Plan or relevant Comp Stat returns.

Please list for all relevant parts of the service

including caseload numbers, waiting lists, activity
data, etc. Provide relevant Comp Stat or other similar
returns

5.2 Eligibility

Describe current eligibility criteria for the service and

plans to address any eligibility issues that will arise in
the receiving service

5.3 Service level agreements (SLAs) in place with the

non-statutory sector or other agencies

Include any element of service provision/care

provision provided by contract to another external
agency/organisation, i.e. respite services, home help
services

Outline SLAs and their status (signed/outstanding)

and indicate performance monitoring arrangements

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Section 5: Service issues

5.4 Interdependencies with other services

i.e. clinical care pathways relevant to the client

group (e.g. interface with preschools, schools, other
service teams, CAMHS, day hospital services, respite
services)

5.5 Current status of service planning process or service

development proposals

i.e. business cases

5.6 Specific service issues of concern

i.e. requiring review or investigation

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Section 6: Governance
6.1 Organisational structure

Provide details of staff, grade and reporting line.

It is important to also include/identify staff who
input into the service as part of their job/role – this
will apply to specialists/clinical leads, staff from
education sector, etc.

6.2 Decision-making process

Describe management processes, team and

membership, meetings, frequency, etc.

6.3 Identify clinical governance issues, if any, that

need to be addressed

6.4 Performance management/supervision processes

(Provide details and how these operate,

frequency, etc., e.g. Comp Stat, Performance
Management meetings, clinical supervision/
clinical governance)

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Section 6: Governance
6.5 Identify core skills and competencies required to
deliver the service

6.6 Number and name of committees in place

(Please provide backup information re:

membership, terms of reference)

Section 7: Quality, standards and risk

7.1 HIQA, Mental Health Commission or other

List any ongoing reviews in the service or any

other relevant information

7.2 Health & Safety (H&S)

(Is there an up-to-date H&S statement, nominated

H&S representative, date of last H&S audit, etc.)

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Section 7: Quality, standards and risk

7.3 Risk Register

Is there an up-to-date Risk Register, nominated

person, etc.?

7.4 Incident management including serious incident

reports/alerts

List any ongoing serious incident reviews

(Risk Register to be submitted as supporting
document)

7.5 Service developments or reviews which are

ongoing including any impact assessments

List any other service initiatives or reviews such

as service/demand capacity reviews, etc.

7.6 Log of recent service reviews commissioned and

completed in the area

7.7 ‘Customer’/service user compliments or

complaints

Similar information required as with incidents

above

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Section 7: Quality, standards and risk

7.8 Quality improvement initiatives

List ongoing initiatives including service user/

advocacy involvement in service developments

7.9 Standard Operating Procedures/PPPGs

List all relevant service policies and procedures or

where to source same

Section 8: Information management and communication

8.1 Describe information management plans

including systems interface issues, processes

for transfer of confidential information and
arrangements for sharing information

Note any data protection issues that need to be

addressed

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Section 8: Information management and communication

8.2 Media

Detail any positive/negative local publicity in past

year

8.3 Detail communication plans and details of how

legacy issues will be dealt with

8.4 Status of any relevant FOI requests

Section 9: Legal matters

9.1 Provide copy and back-up information relating to
all delegated functions under relevant legislation
to your office/service

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Section 9: Legal matters

9.2 List of all current or pending litigation including
parties involved, nature of legal action and
remedies sought

9.3 Any previous judgements which have resulted in

ongoing financial obligations

Compliance with legislation, e.g. Children’s First,

disability legislation

9.4 Outline plans for transfer of warrants, indemnity

issues, etc.

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Section 10: Technology

10.1 List all IT systems in place (including email,
financial & HR reporting, systems used for data
collection, etc.)

10.2 Specify any risk issues in relation to current IT

systems, deficits or supports

Section 11: Capital/accommodation

11.1 Capital plans

Ongoing or planned initiatives completed

11.2 Minor capital plans

Ongoing or planned initiatives completed

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Section 11: Capital/accommodation

11.3 Other accommodation priorities

Infrastructural works not listed above which

require attention

11.4 List deficits in core service equipment/aids and

appliances

11.5 Any ongoing procurement issues

Specify ownership of contracts shared with other

sites, etc.

11.6 Outline current accommodation arrangements

including both clinical and office space – identify

any concerns/deficits in this regard

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Section 12: Service arrangements in place with non-statutory sector or other agencies
12.1 Include any element of service/care provision
provided by contract to another external agency/
organisation (see also 5.3 above)

Section 13: Transfer arrangements

13.1 Identify transfer arrangements planned or agreed
including negotiated timeframes

13.2 Outline arrangements for existing clients/service

users and for new clients/service users

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Section 14: Other information/areas of responsibility

This template is intended as a guide. Please ensure that any relevant information which does not fit into the headings above is included in an appended sheet. Please ensure that
any other critical documents, reports or known information relevant to internal enquiries, service reviews/audits, etc. are also provided.
14.1 Contact details of relevant manager

14.2 Confirm relevant managers have been involved in contributing to the Due Diligence process

14.3 Outline the key issues at local/area level, proposed plans and next steps to address/escalate

14.4 Any other high level issues

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Section 15: Due Diligence sign off process

Prepared by: Date:

Manager of service

Approved by: Date:

Manager (oversight responsibility)

This template was based on Due Diligence documentation developed by Leo Kinsella, HSE and adapted for use by Caitríona Heslin and Anne Ryan, HSE (February 2014).
People’s Needs Defining Change – Health Services Change Guide

People’s Needs Defining Change Health Services Change Guide