Due Diligence
Due Diligence handover documentation
(To be used when services are in transition/transferring between areas.)
Guidance notes
This template contains a list of questions/prompts that are designed to ensure
all salient issues are raised as part of the Due Diligence handover. It is not an
exhaustive list and can be added to.
The Due Diligence should be completed by the transferring service to assist the
managers in the receiving service to undertake an impact assessment and to
jointly plan appropriately for the transfer.
It is suggested that once the initial decision based on early scoping is made to
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 nal 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 signicant 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.
Evidence must be provided of input into the Due Diligence process from senior
management.
Evidence must be provided of input into the Due Diligence process from relevant
specialists/clinical leads as appropriate to the service. Specialists/clinical leads
for example can give an overview of key issues for the client group to the lead
manager.
Each template must be signed off by the relevant managers at the appropriate
levels.
People’s Needs Defining Change Health Services Change Guide
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 prole
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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
Stafng and whole time equivalent information
4.1 Staff ceiling Conrm approved staff ceiling for the service (provide relevant breakdown per discipline, etc.)
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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 decits in this regard
Section 5: Service issues
Service activity
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
Section 5: Service issues
5.1 Service activity
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
Reference Service Activity as per Service Plan or relevant Comp Stat 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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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 Specic service issues of concern
i.e. requiring review or investigation
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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)
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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.)
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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 condential information and
arrangements for sharing information
Note any data protection issues that need to be
addressed
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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 ofce/service
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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 nancial obligations
Compliance with legislation, e.g. Children’s First,
disability legislation
9.4 Outline plans for transfer of warrants, indemnity
issues, etc.
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
Section 10: Technology
10.1 List all IT systems in place (including email,
nancial & HR reporting, systems used for data
collection, etc.)
10.2 Specify any risk issues in relation to current IT
systems, decits 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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
Section 11: Capital/accommodation
11.3 Other accommodation priorities
Infrastructural works not listed above which
require attention
11.4 List decits 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 ofce space – identify
any concerns/decits in this regard
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
Section 14: Other information/areas of responsibility
This template is intended as a guide. Please ensure that any relevant information which does not t 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 Conrm 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
People’s Needs Defining Change Health Services Change Guide
Due Diligence (continued)
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
Due Diligence (continued)
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