Sláintecare Integration Fund 2019 - 2021 Operational Manual - Version 2
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Sláintecare Integration Fund
2019 – 2021
Operational Manual
Version 2Contents
1. Introduction........................................................................................................................ 4
2. Overview ........................................................................................................................... 5
2.1 Overview ..................................................................................................................... 5
2.2 Programme Oversight.................................................................................................. 6
2.3 Impacts of COVID-19 .................................................................................................. 6
3. Grant Agreement ............................................................................................................... 8
3.1 The Application and Decision Making Process ............................................................ 8
3.2 Overview of the Grant Agreement ............................................................................... 8
3.3 Acceptance of the Grant Agreement .......................................................................... 11
3.4 Addendum to Grant Agreements ............................................................................... 11
3.5 Project Roles ............................................................................................................. 12
4. Communications .............................................................................................................. 13
4.1 Communications Approach ........................................................................................ 13
4.2 Outputs/Outcomes..................................................................................................... 13
4.3 Open Access to Research Publications ..................................................................... 13
4.4 Project Dissemination and Communication Activities ................................................. 14
4.4.1 Visibility of Sláintecare Branding ....................................................................... 14
4.4.2 Notifying Sláintecare of own Dissemination and Communication Activities ........ 14
4.5 Sláintecare Programme Implementation Office Integration Fund Communications
Campaign................................................................................................................... 14
4.5.1 Communications Campaign .............................................................................. 14
4.5.2 Access to Organisation/Project Materials .......................................................... 15
4.5.3 Use of Project Materials .................................................................................... 15
4.5.4 Right to use Materials........................................................................................ 15
4.6 Sláintecare Integration Fund Learning Network ......................................................... 15
5. Partner Guidance ............................................................................................................ 16
5.1 Distributing Funding to Partner Organisations ........................................................... 16
5.2 Reporting Partner Expenditure .................................................................................. 17
6. Pobal Supports and Case Management .......................................................................... 18
6.1 Case Management Support from the HSE PMO for HSE/Section 38 Projects ........... 18
6.2 Case Management Support from Pobal ..................................................................... 19
6.3 Pobal Sláintecare Portal ............................................................................................ 19
7. Systems and Records...................................................................................................... 22
7.1 Audited Accounts....................................................................................................... 22
7.2 Connected Parties ..................................................................................................... 22
7.3 Governance and Decision Making .............................................................................. 22
7.4 Internal Financial Procedures and Books & Records ................................................. 22
7.5 Individual Policies and Procedures ............................................................................ 23
7.5.1Electronic Banking .............................................................................................. 23
7.5.2Timesheets ........................................................................................................ 23
7.6 Guidance Regarding Documents to Retain on File ..................................................... 23
8. Payments and Eligible Expenditure .................................................................................. 25
8.1 Payment Schedule .................................................................................................... 25
8.1.1 Drawdown Request ............................................................................................ 25
8.2 Types of Expenditure ................................................................................................. 26
8.2.1 Indicative List of Eligible Costs under SIF .......................................................... 26
8.2.2Indicative list of ineligible costs ........................................................................... 28
8.2.3 Payments to part-time lecturers/teachers/trainers ................................................ 29
8.2.4Allowances for volunteers ................................................................................... 29
8.3. Dates for Eligible Expenditure................................................................................... 29
8.3.1 HSE/Section 38 Project Expenditure during Pause Period (March – July 2020)... 29
8.3.2 Expenditure Due to Project Pause/Redeployment (August 2020 onwards) .......... 30
8.3.3 Exceptional Circumstances Due to COVID-19 .................................................... 31
8.4 Change of Budgets .................................................................................................... 31
8.4.1 Minor Budget Changes...................................................................................... 31
8.4.2 Major Budget Changes...................................................................................... 32
8.4.3 Major Budget Change Process .......................................................................... 339 Reporting Requirements (Financial and Progress Reports).............................................. 34
9.1 Reporting Timelines................................................................................................... 34
9.2 Financial Reporting Requirements ............................................................................. 35
9.3.1 HSE Projects ..................................................................................................... 36
9.3.2 Section 38 and Other Projects ........................................................................... 36
9.4 Final Financial Report ................................................................................................ 37
9.5 Progress Reporting Requirements ............................................................................. 38
9.6 Project/Grant Agreement Closure Process ................................................................ 38
9.7 Documents to Retain on File for Financial Reporting ................................................. 39
10. Recruitment and Employment ........................................................................................ 40
11. Pobal Audit and Verification Visits ................................................................................. 41
12. Procedures for Boards of Management ......................................................................... 42
12.1 Directors .................................................................................................................. 42
12.2 Company Secretary ................................................................................................. 42
12.3 Policies and Procedures .......................................................................................... 42
12.4 Reporting to the Board, Directors and Minutes ......................................................... 42
12.5 Code of Conduct...................................................................................................... 42
12.6 Disclosure of Interests and Conflict of Interest ......................................................... 43
12.7 Documents to Retain on File relating to Board of Management and Governance
Procedures................................................................................................................. 43
13. Statutory and other Compliance ..................................................................................... 44
13.1 VAT Registration ..................................................................................................... 44
13.2 Public Procurement Guidance ................................................................................. 44
13.3 Child Protection Guidelines ...................................................................................... 46
13.4 The Charities Regulator ........................................................................................... 46
13.5 Compliance with Laws and Public Requirements ..................................................... 46
Appendix 1: Documents to retain on file .............................................................................. 471. Introduction
The Sláintecare Integration Fund (SIF) (2019-2021) Operational Manual Version 2 provides
information to grantees to ensure the effective administration of the SIF and to enable
compliance with your SIF grant agreement.
This document replaces the previous SIF Operational Manual (Version 1, 19th November 2019)
with effect from 30th March 2021. Pobal will update and revise the SIF Operational Manual as
required and will notify grantees and stakeholders when a new version takes effect. Please note
that any substantive edits or changes from the previous manual are highlighted in red throughout
this document.
The manual sets out the following arrangements for the administration of the SIF:
Overview of the grant agreement;
The financial arrangements, including payments and eligible expenditure;
Monitoring and reporting on your grant; and
Statutory, regulation and other conditions placed on all recipients of public funding.
The SIF is managed and administered by Pobal on behalf of the Department of Health (DoH).
The procedures in this document reflect the standard of accounting practice required of publicly
funded organisations, combined with practical experience and lessons learnt by Pobal in the
management of publicly funded programmes. The board, managers and administrators of SIF
grantees are required to comply at all times with the rules and procedures as outlined in this
operational manual.
In addition to the requirements outlined in this document for grantees, HSE projects will also
need to comply with their own HSE internal processes and procedures as they relate to the SIF.
The Pobal Managing Better series of toolkits (available here on the Pobal Website) provide
guidance on good practice and assist in achieving high standards of organisational
governance, financial management and HR.
42. Overview
2.1 Overview
The DoH launched the SIF under the Sláintecare Action Plan 2019 and invited health and social
care providers from the not-for-profit sector to apply. The SIF is identified in the Sláintecare
Implementation Strategy under Goal 2 to ‘Provide high quality, accessible and safe care that
meets the needs of the population’ and Strategic Action 4 to ‘Expand community-based care to
bring care closer to home’.
The aim of the funding is to support the delivery of services which focus on prevention,
community care and integration of care across all health and social care settings.
The objective of the fund is to support projects which will:
1) Promote the engagement and empowerment of citizens in the care of their own health;
2) Scale and share examples of best practice and processes for chronic disease
management and care of older people;
3) Encourage innovations in the shift of care to the community or provide hospital avoidance
measures.
A total of 127 projects have been approved for funding of approximately €25m under the SIF.
This includes the following:
75 HSE projects
17 Section 38 Hospitals
35 Section 39 non-governmental organisations (NGO) and other organisations from the
community and voluntary sector.
123 projects were advised by the DoH on 9th September 2019 of their grant award under the
SIF, as part of the original application process.
In May and June 2020, four additional projects were approved for SIF funding on an exceptional
basis, to support the response to the COVID-19 pandemic.
There are a number of projects at service level that seek to address chronic disease and older
persons’ services requirements. A fundamental purpose of the SIF is that fragmentation of
service is avoided and that opportunities to maximise linkages between local services are
addressed. In this regard project ‘networks’ will be established. Oversight of project approach
will be provided by the relevant Integrated Care Programmes, National Clinical Advisors Group
Leads and will be supported by Strategy and Planning National Teams.
The majority of projects are directed at establishing, expanding or extending health and social
care services. Maintaining continuity of care for people who may require follow-up services on
project completion must be managed well and should take account of any impact of existing
services.
52.2 Programme Oversight
A SIF Co-ordination Group, consisting of representatives from the Sláintecare Programme
Implementation Office (SPIO) in the DoH, the Strategic Transformation Office (STO) in the HSE
and Pobal is responsible for supporting the overall delivery of the SIF, and the development of
solutions for issues or concerns raised as part of operational delivery.
The SPIO in the DoH has overall responsibility for the implementation of the SIF.
The STO in the HSE provides operational and case management supports, where
possible, to the HSE and Section 38 projects funded under SIF.
Pobal manages and administers the SIF on behalf of the DoH, and enters into grant
agreements with funded organisations.
Pobal also provides case management support in the context of the administration of
the grant agreement for HSE/Section 38 projects and has full case management
responsibility for Section 39/NGO projects.
2.3 Impacts of COVID-19
The COVID-19 pandemic has impacted projects funded under SIF which has resulted in some
changes to the original programme design, in particular the programme timeframe is now
extended from 31st December 2020 to 31st December, 2021.
HSE/Section 38 Projects
On 13th March 2020, 92 HSE/Section 38 SIF projects were paused due to the COVID-19
pandemic. At that time, project staff were subject to redeployment to meet the needs of the
healthcare system during COVID-19 and project governance were focused on managing the
response to the pandemic.
The force majeure clause of the SIF grant agreement (Clause 3.15) was applied in relation to
paused projects from close of business on Friday, 13th March 2020 until projects were notified
of resumption. This meant that projects were not contractually required to deliver approved
project actions while the force majeure clause applied.
As a result of the implementation of the force majeure clause, all project related staffing, direct
delivery and equipment expenditure incurred by HSE/Section 38 projects after 13th March 2020
was ineligible under the SIF until notice of project resumption.
In April/May 2020, 22 projects were subsequently exempted from the pause. On 22th July 2020,
remaining paused projects were notified of SIF project resumption. A change to grant agreement
process was undertaken to enable project changes and extensions into 2021.
Section 39/NGO Projects
A similar pause was not applied to Section 39/NGO projects and projects largely continued.
However, COVID-19 impacted on the capacity of a number of projects to deliver actions as set
out in their grant agreements. A change to the grant agreement process was also undertaken
with Section 39/NGO grantees to enable project changes and extensions into 2021.
6Further Project Extensions
In December 2020, a cohort of approximately 45 projects were offered a timeframe extension
up to end of June 2021, with an associated additional funding allocation.
As a result of the 2020 project change process and subsequent extensions, project timeframes
and end-dates are not uniform across the SIF projects. Project timeframes vary with projects
ending at different points throughout 2020 and 2021. Each project has a unique end-date,
specified in their Grant Agreement or addendum.
73. Grant Agreement
3.1 The Application and Decision Making Process
Application submitted via e- Sláinte Implementation Final decision by the Minister
mail to Department of Health Advisory Committee for Health
Administration Check and Notifications to the all
Recommendations to the PO
Categorisation of Applications applicants
Submission of
Appraisal, Scoring and
Eligibility Check Pre-Contract Checklist
Recommendations
Document to Pobal
Pobal issues grant agreement
confirming approved budget,
Feasibility and Suitability
Specialist Comment actions and related
Check
milestones, outputs and
expected outcomes.
Successful applicants were advised by the DoH on 9th September 2019 of their grant award for
the SIF (2019 – 2021). Subsequently, each grantee was required to submit a completed Pre-
Contract Checklist template to Pobal prior to a grant agreement being issued confirming the
approved budget, actions and related milestones, expected outputs and outcomes.
3.2 Overview of the Grant Agreement
The grant agreement is the legal contract between Pobal and an organisation, which sets out
the terms and conditions of funding.
Your grant agreement is divided into 5 sections.
Part 1 of your grant agreement contains the key details of your grant including the contract
holders name, project lead (for HSE projects), project partners, grant awarded, details of posts
funded (if applicable), project actions and milestones, project specific outputs and outcomes and
the agreed budget (Section 1.11 of your grant agreement).
Part 2 of your grant agreement outlines special conditions and programme specific requirements
8which must be adhered to. Some of the programme-specific requirements have been highlighted
below for your information. It is also important to consider the specific pre-payment and post-
payment conditions for your project, which if applicable, will be noted at the end of Part 2 in your
grant agreement.
The programme-specific requirements are noted in Part 2 of your grant agreement and include
the following areas:
The grantee shall comply with all Pobal audit recommendations and information
requirements within the timescales stipulated.
The grant shall be used solely for the purposes as outlined in the grantee’s application
(and any subsequent information provided) to Pobal under the Programme, including
the decision and any recommendations from the DoH and the activities, outputs and
outcomes contained in this agreement or in any subsequent written agreements with
the Pobal during the delivery period.
The profile of expenditure can only be changed with the agreement of Pobal and the
DoH. Any significant changes to the project (actions, activities, indicators or budget),
must be notified to Pobal and the DoH in writing and agreed in advance. Pobal and the
DoH are not obliged to agree to any revision of the grant agreement and any
continuation of assistance will be subject to the written approval of Pobal.
If all of the funds allocated are not spent on agreed eligible costs within the delivery
period (according to incurred and actually paid costs) the unspent balance will be
unavailable to the Grantee and if required, will be recouped by Pobal.
The grant shall be used solely for the purposes of carrying out the project. Any income
generated by the organisation from activities relating to the Project should be spent on
activities relating to the Project.
The grantee shall contribute to and participate in any meetings, information, training or
workshops, evaluations and networking activities with the grantor (Pobal), the DoH, or
their nominees as may be requested.
The Grantee should not dispose of publicly funded assets e.g. vehicles or equipment
without the prior approval of the DoH as per DPER circular 13/2014.
Part 3 of your grant agreement outlines general conditions which must be adhered to such as:
Insurance and Indemnity
Please note the requirement outlined in your grant agreement clause 3.6 in terms of insurance
and indemnification. You are required to indemnify Pobal and the DoH on all insurance policies
throughout the lifetime of your Pobal contact.
This must be retained on your files in the event of an inspection. Pobal recommends that you
leave a note on file with your current insurance policy to ensure that the indemnification is
continued when you renew your policy or change insurers.
Data Protection
The data controller for the collection and processing of personal data for the Sláintecare Grant
Agreement and related reporting requirements is the DoH. Pobal is a data processor for the
purposes of managing the Sláintecare Grant Agreement and related reporting requirements. A
data processing agreement has been put in place between the DoH and Pobal.
Under the Irish Data Protection Acts 1988-2018 and the EU General Data Protection Regulation
(GDPR) (EU 2016/679), individuals have a right to request a copy of their personal information
at any time from the data controller. As noted in the Sláintecare Integration Fund Privacy
Statement, individuals who are referenced in the Sláintecare grant agreement can obtain a copy
9of their personal information by contacting Pobal at dataprotection@pobal.ie or the DoH at
dpo@health.gov.ie
Please note all requirements outlined in your grant agreement clause 3.14 in terms of Data
Protection. The grantee is a Data Controller in respect of personal data and special categories of
personal data which is collected for the purpose of delivering your Sláintecare project. Therefore
you must have a robust data protection policy and appropriate procedures in place to ensure full
compliance with data protection legislation, including determining the purposes and means of
processing personal data from project participants. Pobal reserves the right to seek evidence
from the grantee in respect of data protection compliance.
You must ensure that the appropriate data protection policies and consents (if relevant) are in
place for your project. Grantees must have a Privacy Statement which informs participants as to
how their personal data is to be used and for what purpose, who has access to it and with whom
it may be shared. The Privacy Statement should comply with Articles 13 and 14 of the GDPR
[General Data Protection Regulation EU No 2016/679] and should refer to the Sláintecare
Integration Fund Privacy Notice. Where relevant, explicit consent must be obtained from project
participants regarding the processing of special categories of personal data within the meaning
of Article 9 of the GDPR. Further information is also available at
https://www.hse.ie/eng/services/yourhealthservice/info/dp/
Each project is different and therefore each project will need to determine the means and
purposes of collecting this data under Article 6 and Article 9 of the GDPR. Refer to Section 2. of
the Sláintecare Integration Fund Privacy Notice for more information on the main purposes for
which the personal information of participants is likely to be collected by grantees.
You must endeavour to safeguard and protect all personal data from unauthorised or unlawful
processing, including (but not limited to) accidental loss, destruction or damage and ensure the
security of the processing through the demonstration and implementation of appropriate technical
and organisational measures. Information may only be retained for as long as the purpose for
which it was collected remains. If that purpose ceases, the personal data should be deleted, or
made anonymous to remove any identifying characteristics, if it is desired to use the information
for another purpose such as research etc. An excellent source for information is the Data
Protection Commission. Please visit its website: www.dataprotection.ie for further information.
Freedom of Information
Please note all requirements outlined in your grant agreement clause 3.3.13 in terms of Freedom
of Information. Pobal is an FOI body under the legislation of the Freedom of Information (FOI)
Acts 1997, 2003 and 2014. These Acts impose various duties on Pobal and give certain rights
to individuals to access the records of the public body concerned and reasons for decisions
made by the body. Pobal will hold records about your company and these will be subject to
FOI requests. Please refer to the Pobal FOI Policy on our website. As a matter of courtesy,
Pobal will inform you if records pertaining to your company are being released. If, at
the time of providing information to Pobal, your company considers certain information
to be commercially sensitive, confidential or of a personal nature and should not be subject
to FOI, there is a need to identify the relevant information and specify the reasons for its
sensitivity. The Freedom of Information Act 2014 states that companies in receipt of large
amounts of public funding will be subject to compliance with the legislation. Please visit the
Freedom of Information website: https://foi.gov.ie/, for more information.
Further details of the key areas to note in Part 4 and Part 5 of your grant agreement are provided
in Section 3.3 below.
103.3 Acceptance of the Grant Agreement
It is essential that your organisation reads the grant agreement thoroughly when received
(including any addendums), understands its provisions and addresses any pre-contract
conditions, before signing and returning to Pobal. You must also submit the following on return
of your signed grant-agreement and in order to facilitate payments:
Complete Part 4 Declarations of the grant agreement, which includes 4.1 Public
Procurement Declaration, 4.2 Declaration of Bank Details (non-HSE projects only) and
4.3 detailing a minimum of two authorised signatories:
HSE & Section 38 Organisations: The Chief Officer of a CHO or CEO of
Hospital/Hospital Group or equivalent and the Primary Project Contact as
indicated on the Project Pre-Contract Checklist Template are authorised to sign
and submit documents to Pobal in relation to the funding awarded.
Section 39 and Non HSE Agencies: Signatories can include Chairperson of
your Board of Directors and one other Director of the Board or staff member
(e.g. CEO), who are authorised by the Board to sign and submit documents to
Pobal in relation to the funding awarded.
Complete Part 5 Acceptance of the Grant Agreement, which must be signed by two
authorised signatories who are noted in Part 4.3 of your Grant Agreement.
Return one full scanned PDF copy of your signed grant agreement by the date
specified in your cover letter. You are reminded to retain a signed copy of the grant
agreement for your records.
During project delivery you will be required to comply with the financial, monitoring, reporting
and publicity requirements of Pobal and the DoH. Failure to comply with your grant agreement
will result in the withdrawal of funding.
3.4 Addendum to Grant Agreements
From time to time, projects may need to make changes that, if approved, will lead to an
addendum to the grant agreement being issued. Examples of changes that may result in the
issuance of an addendum to the grant agreement include major budget changes or extensions
to project timeframes.
When an addendum is issued, the contractual obligations as per the original grant agreement
must also be fulfilled.
113.5 Project Roles
There are a number of roles associated with SIF projects and varying terminology is employed
across organisations to describe project personnel and their associated responsibilities.
It should be noted that each SIF project is unique and has different personnel configurations
with varying titles and roles, some unique to specific organisations and governance structures.
While, it is not possible to define all of the roles associated with SIF projects, the table below
sets out general definitions for some of the key project roles.
Table 1: SIF Project Roles
Authorised Primary Authorised Primary Project Project Lead(s)
Signatories: User: Contact:
HSE and Section 38 The Primary For all projects, the The Project Lead(s)
Organisations: Authorised User Primary Project is the individual(s)
Authorised (PAU) is the key Contact is indicated responsible for
signatories include Sláintecare Portal on the Project Pre- managing the project
the Chief Officer of a user. Contract Checklist on a day-to-day
CHO or CEO of Template. basis.
Hospital/Hospital The PAU has
Group or equivalent oversight of all the The Primary Project The Project Lead is
and the Primary other user roles on Contact is generally generally responsible
Project Contact as the Portal (e.g. the PAU and an for project reporting
indicated on the operational and authorised signatory. and operational/day-
Project Pre-Contract secondary users). to-day inquires.
Checklist Template,
who are authorised The PAU has control The Project Lead is
to sign and submit of who accesses the generally the
documents to Pobal Portal and the level Operational User for
in relation to the of access they have. the Portal.
funding awarded.
The PAU is generally
Section 39 and Non an authorised
HSE Agencies: signatory/Primary
Authorised Project Contact.
signatories include
Chairperson of your Please refer to
Board of Directors Section 6.3 for more
and other Directors information.
of the Board or staff
members (e.g.
CEO), who are
authorised by the
Board to sign and
submit documents to
Pobal in relation to
the funding awarded.
124. Communications
4.1 Communications Approach
During the lifetime of the SIF Programme, a number of communications will issue from Pobal to
grantees. Communications will vary from formal communications that require action/decision-
making from project governance and/or authorised signatories (e.g. approval and sign-off on
addendums to grant agreement); to day-to-day operational queries; to more generic
communications about support events or resources.
Pobal will adopt a pragmatic approach to communication and will endeavour to keep
communications to a minimum and only as necessary.
The SIF Co-ordination Group consisting of the DoH, HSE and Pobal will work collaboratively to
ensure coordination of stakeholder communications.
As noted above, each SIF project is unique and will have different personnel configurations. As
a result, the communications approach may vary from time-to-time due to the specific
configuration of a project. However, in the main, when issuing communications to SIF grantees,
Pobal will endeavour to employ the following approach:
Formal communications (e.g. changes to Grant Agreements/addendums or where
project governance input is required) will be sent to the authorised signatories (one of
which is also the PAU and primary project contact). Other members of the project team
will be copied (e.g. projects leads) and PMOs (for HSE/Section 38 projects).
Operational/day-to-day communications or queries will be sent to the Project Lead(s) or
the individual(s) that have been identified as the day-to-day contact(s) on the project.
Pobal will ensure that HSE PMOs are included on all correspondence to HSE/Section
38 grantees.
4.2 Outputs/Outcomes
Each grantee must take measures to ensure an outputs and outcomes-led approach to their
project. The expected outputs and outcomes will be used in initial communications and learning
activities and final outputs and outcomes will be used in communicating, evaluating and learning
from the results of the projects.
4.3 Open Access to Research Publications
Projects must ensure, where possible, open, free-of-charge access to the end-user to any peer
reviewed scientific publications relating to their project and results. ‘Peer-reviewed publications’
means publications that have been evaluated by other scholars (e.g. articles in scientific
journals).
Open access means ensuring that, at the very least, such publications can be read online,
downloaded and printed — via a repository for scientific publications, a publication platform or
publisher site.
Where providing open access to peer-reviewed scientific articles is not possible, working papers,
or a summary paper of the research should be freely available to Sláintecare, according to the
notification schedule outlined below in Section 4.4.2.
134.4 Project Dissemination and Communication Activities
4.4.1 Visibility of Sláintecare Branding
Any dissemination or communication activities around the funded projects, carried out by
grantees, must acknowledge the support of Sláintecare and the Integration Fund with a text
acknowledgement* and the logos of Sláintecare, Government of Ireland and Pobal which are
available to download from the Pobal website.
*This project has received funding from the Government of Ireland’s Sláintecare Integration
Fund 2019 under Grant Agreement Number xxxxx
Funded projects must — during the project and afterwards — ensure the visibility of SIF
funding for any communication activity related to the action (including in electronic form, via
social media, etc.) and on any large equipment funded by the grant.
Where specifically approved, vehicles or mobile assets funded by the SIF, require a clear mark
of ownership and the SIF logo. Assets purchased using this funding should be recorded on your
Fixed Asset Register as being purchased using funds provided through the SIF.
The acknowledgement and logo must be displayed in a way that is easily visible for the public
and with sufficient prominence.
4.4.2 Notifying Sláintecare of own Dissemination and Communication Activities
Grantees are free to disseminate and communicate their projects as they wish through, for
example, online communications including website/newsletters and social media.
Multi-media communications may take place through the production of videos and other audio-
visual materials.
Media relations such as a press release to local online, print or broadcast media may be
appropriate for project launch or a significant project output or result.
Projects may choose to disseminate their project objectives/activities/expected outcomes at
conferences/seminars/workshops/exhibitions.
Leaflets/branding/presentations/pop-up stands must all carry the Sláintecare logo, and the
wording as outlined in Section 4.4.1.
Any dissemination and / or communications activities carried out by projects must be notified
to the SPIO in the DoH, with as much notice as possible. The SPIO can be contacted at:
Slaintecare@health.gov.ie
4.5 Sláintecare Programme Implementation Office Integration Fund
Communications Campaign
4.5.1 Communications Campaign
The SPIO in the DoH will carry out a communications campaign focusing on the Integration
Fund projects. This will be mutually beneficial for grantees as well as Sláintecare. The DoH
will engage a third-party contractor to gather audio visual footage of the projects, their staff
and possibly service-users. The DoH will give projects at least two weeks’ notice of any
videography/photography that will take place. The details of any communications activities
14featuring projects will be agreed between DoH and the grantees.
4.5.2 Access to Organisation/Project Materials
The DoH will need access to project organisation logos and any other relevant branding
materials for the production of communications materials.
4.5.3 Use of Project Materials
The DoH may use any (non-confidential and non-classified) information, documents and
materials received from the projects, for its own communication and publicising activities.
Examples may include: summaries for publication (submitted as part of the reports), and any
other material, such as pictures or audio-visual material, provided by projects.
4.5.4 Right to use Materials
Grantees may ask the DoH to include a copyright notice (e.g. by including such a notice in the
material). The projects must ensure that the Sláintecare/ Department of Health can use the
documents or materials by making arrangements with any third parties that could claim rights
to them.
4.6 Sláintecare Integration Fund Learning Network
Sláintecare aims to create learning networks among the Integration Fund projects in order to
support and mentor the projects, to allow the projects to support one another, to create
synergies between the projects, to identify challenges and solutions among the projects, and
to identify best practice and case studies among the projects.
The DoH will organise Learning Network events during the lifetime of the projects, as an
opportunity to bring projects together under either their original SIF categories, or the clinical
themes the projects are addressing, e.g. arthritis, asthma, COPD etc.
The objective of the Learning Network events is for support and mentoring to be available to
the projects from the SPIO team, and from a peer-to-peer perspective.
Secondly, the Learning Networks will enable projects to share key learnings from their
projects, share experiences while addressing challenges and provide case studies for other
projects with key learnings on implementation, evaluation and scaling.
Since the commencement of the SIF, a number of Learning Network events have taken place,
including a series of webinars in 2020 and spring 2021. Further events will take place in 2021.
155. Partner Guidance
Collaboration and partnership working is very much welcomed under the SIF. A written
agreement is required where funding is transferred and/or the delivery of actions is through a
partner organisation. This agreement should include roles, responsibilities and governance
arrangements between the “contract holder” and each delivery partner in the project. A partner
organisation may be an internal or external body, who is in receipt of project funding from the
grantee and/or who is playing a significant role in project delivery. A copy of all partnership
agreements must be retained on file.
The grantee is the contract holder, on behalf of the consortium of partners and is accountable
and responsible for the following:
(a) The delivery of the contract (grant agreement) in its entirety.
(b) Reporting for and accounting to Pobal for all the expenditure in relation to the grant
awarded.
(c) Reporting to Pobal on progress and outcomes of the entire project as outlined in the
contract (grant agreement).
(d) Putting in place written agreements with each partner involved in the project.
(e) Attending events and participating in any evaluations as outlined in the grant
agreement, on behalf of the partner or consortium.
A partnership agreement should be reviewed and signed by all parties. Pobal recommends that
partnership agreements should contain the following:
Identify the lead organisation and its responsibilities in relation to reporting to Pobal for
all financial and non-financial reporting.
The governance and financial arrangements in relation to the delivery of the actions and
expenditure of the budget outlined in the contract (grant agreement) with Pobal. The
roles and responsibilities by each partner in the implementation of project actions and
delivery of outputs.
The arrangements for the partner organisations to monitor and report their expenditure,
including the provision of supporting documentation to the contract holder to verify the
true and accurate nature of the records and expenditure submitted.
The arrangement for monitoring and reporting progress on the delivery of the partner’s
actions or activities to the contract holder.
All parties should adhere to the contractual conditions of the grant and eligibility of
expenditure and actions under the SIF.
The lead organisation has the responsibility to ensure that the partners are fully aware
and adhere to programme requirements and reporting timelines.
The records and documents of the partner organisations, where applicable, are subject
to audit and verification by Pobal and the DoH.
Any requirements in relation to complying with regulatory requirements e.g. GDPR,
Freedom of Information.
5.1 Distributing Funding to Partner Organisations
Pobal recommends that staged payments are made to your partner organisation(s) in
order to facilitate the monitoring of partner expenditure and that this is included in your
service level agreement.
16 Expenditure reported by partners to the lead organisation should be based on actual
costs incurred – notional or budgeted amounts are not considered to be eligible
expenditure.
It is incumbent upon the lead organisation to ensure that any unspent funds are returned
by the partner to the lead organisation in a timely manner at project conclusion.
5.2 Reporting Partner Expenditure
It is imperative that the lead organisation is confident that all costs reported to it by partner
organisations are real, verifiable and third party costs that have actually been incurred by their
partner organisations. For the final financial report and for the project overall, only costs that
have been paid out by the partner organisations for expenditure incurred on the project should
be reported to Pobal as spend.
To enable accurate financial reporting of expenditure for the project, the following documents
as relevant to the particular project should be submitted to the lead organisation by the partner
organisation:
Evidence of expenditure incurred by the partner organisation.
Where applicable, payroll records for SIF funded staff.
Payments journal/list of transactions incurred by the partner organisation which should
be analysed across columns corresponding to the expenditure headings in the agreed
budget.
Copy of bank statements to evidence that payments have cleared the bank account
during the period.
Copies of all of the above documentation should be held in a dedicated SIF partners file
by the lead organisation for review by Pobal or the DoH on verification visits.
Where applicable, payroll records should also be retained by the partner organisation
where their staff are funded by the programme. These records should be available for
review by Pobal or the DoH on verification visits.
176. Pobal Supports and Case Management
Case Management Arrangements
Case management supports are provided to enable implementation of projects under SIF in
accordance with the objectives of the SIF and the conditions of the grant agreement.
There are two distinct elements in relation to case management under the SIF:
(a) Case management support from the HSE Project Management Offices (PMO) for HSE
funded projects and Section 38 organisations.
(b) Case management support from Pobal.
6.1 Case Management Support from the HSE PMO for HSE/Section 38 Projects
The HSE PMOs will ensure that each funded HSE/Section 38 project has an individual assigned
to it to provide case management support, with the exception of 17 projects that do not have a
designated HSE PMO.
PMO case management supports to grantees will generally consist of the following:
Supporting grantees to deliver project actions.
Ensuring that grantees prepare monthly status updates for submission to HSE STO to
include status of milestones, risks, issues and dependencies and recruitment as per the
standard reporting template.
Ensure that there is appropriate assistance from local finance personnel to assist the
grantees to complete their financial returns as required.
Ensuring that grantees prepare financial and non-financial returns to Pobal at scheduled
intervals.
Carrying out a formal ‘check-in’ with each project at minimum once per month, based on
the monthly status report.
Review the financial and non-financial returns prepared by the grantees prior to uploading
to the Sláintecare Portal. Advice the grantees of changes, amendments or additional
information that must be included in the return in line with the requirements of the
Programme as set out in the Operational Manual.
Escalate any significant issues or concerns to Pobal and HSE STO for consideration and
advice.
It is envisaged that the HSE PMO staff will be supported by the HSE STO to deliver the above
case management role. During 2020-2021, PMOs have experienced redeployment as a result
of COVID-19 and this has impacted on capacity to deliver supports to grantees.
Project Leads are responsible for providing the appropriate level of project data according to
agreed schedules to enable PMOs to collate status updates and reports as referenced above.
Pobal, as part of its role, will also liaise with the HSE STO and/or PMO staff as required to
provide support, advice and guidance.
As noted previously, the SIF Co-ordination Group consisting of the DoH, HSE and Pobal will
work collaboratively to ensure coordination of stakeholder communications.
186.2 Case Management Support from Pobal
Pobal will also provide case management support in the context of the administration of the
grant agreement for both HSE/Section 38 projects and Section 39/NGO projects.
Pobal has full case management responsibility for Section 39/NGO projects.
Pobal will assign a Development Co-ordinator, with support from a Finance Officer, to each
grantee as a primary point of contact within Pobal for support and guidance to facilitate
compliance with contractual requirements.
The Development Co-ordinator and/or Finance Officer will provide support and
assistance to the HSE STO and PMOs to ensure consistency in relation to grantee
expectations and requirements.
o Each grantee and PMO has a designated Development Coordinator within Pobal.
Project specific queries/questions should be directed to the designated
Development Coordinator and/or sláintecare@pobal.ie.
The Development Co-ordinator supports the pre-contracting process facilitating grantees
to enter into Grant Agreements (i.e. pre-contract checklist).
The Development Co-ordinator provides day-to-day support and engages directly with
grantees in terms of answering queries and providing clarifications in relation to the
administration of their grant agreement.
The Development Co-ordinator will review monthly reports from Section 39/NGO projects
that include status of milestones, risks, issues, mitigations and dependencies. The
Development Coordinator will also review monthly reports from HSE/Section 38 projects
to inform case management requirements.
The Finance Officer and the Development Co-ordinator will review the financial and non-
financial reports (interim and final) and advice the grantees, and the relevant PMOs by
email, of any clarifications, concerns or actions to be addressed.
The Development Co-ordinator will facilitate budget change, budget top-up or project
change requests and support the issuance of any addenda to grant agreements.
The Development Co-ordinator will monitor project specific conditions to ensure that the
grantee is meeting these requirements. Grantees will be expected to report on progress
against conditions to Pobal via the non-financial progress reports. Pobal will organise
support and engagement events, as relevant and required (e.g. support events for
completion of interim/final reports).
The Development Co-ordinator and/or Finance Officer will escalate any significant
concerns or issues within Pobal, with these will be further escalated to the Co-ordination
Team if necessary.
6.3 Pobal Sláintecare Portal
Interim and final finance and progress reports, as well as completed finance drawdown requests
are to be submitted through Pobal’s online Sláintecare Portal. The Portal enables grantees to
download interim, final and drawdown request templates and to upload on completion. See
Section 9 for further details on project reporting.
A variety of user types can be set up on the Sláintecare Portal including the Primary Authorised
User (PAU), an Operational User and Secondary Users.
A PAU must be identified for each project using the relevant Authorisation Form, provided by
Pobal Operational and Secondary Users are optional roles and can be identified through the
relevant Authorisation Form. Once verified, Pobal will set up the PAU and Operational User with
19access to the Portal.
Role of the Primary Authorised User:
The PAU is responsible for ensuring that the appropriate roles are assigned to each
individual user account. This person is typically at the Board of Directors or senior
management level (e.g. the Chief Officer of a CHO or CEO of Hospital/Hospital Group
or equivalent).
The PAU has oversight of all other Portal roles (e.g. operational and secondary Users).
The designated PAU is the primary project contact and an authorised signatory.
The PAU will have the authority and ability to set-up, update and delete secondary users
on the Portal e.g. Financial Users.
The PAU has the ability to nominate Operational User(s).
The PAU role has full permission to access all contracts on the Portal.
The PAU will receive relevant communications from Pobal.
Role of the Operational User:
The Operational User(s) is delegated by the PAU. Operational User(s) have elevated
permissions which allows them to manage user accounts and submit returns.
Operational User(s) can be at any level of the organisation as deemed appropriate by
the organisation.
The Operational User(s) will have the authority and ability to set-up, update and delete
secondary users on the Portal e.g. Financial Users.
The Operational User(s) will have the authority and ability to edit and submit returns on
the Portal e.g. Progress and Financial Returns.
The Operational User(s) cannot access contracts on the Portal.
The Operational User(s) will be the primary contacts for communications relating to the
creation of Secondary Users and will receive relevant programmatic communications.
A PAU or an Operational User can create new Secondary Users and assign:
Permission to access the Financial and/or Progress Reporting section of the Portal; and
Relevant contracts to enable access to reports for specific projects.
Role of Secondary User:
The Secondary User(s) will have the ability to administer and complete documentation
on behalf of the PAU/Operational User(s) e.g. application forms, returns etc., but will not
have the ability to submit on the Portal.
The Secondary User(s) cannot access contracts on the Portal.
The Secondary User(s) nominated as financial and progress users will receive
communications relating to the relevant return.
Pobal has prepared a short video to support PAU’s and Operational Users with the process of
‘Creating a new Secondary User’. This video also demonstrates how to assign appropriate
permissions and contracts to Secondary Users.
20For further guidance on how to set up new users on the Portal, please refer to the ‘Sláintecare
PAU, On boarding and Secondary User Guide’ in the My Programme Information section of the
Portal.
217. Systems and Records
Organisations in receipt of public funds must ensure that robust internal systems and
procedures, books and records are in place that can evidence the accuracy and reliability of
their monitoring information and financial reports submitted to Pobal. The award of a new
contract for public funds presents a timely opportunity to review your systems and records to
make sure that they are still fit for purpose. The critical areas for contract compliance are set out
below. Be aware of the length of time records relating to various stakeholders must be retained,
as per standard conditions within your grant agreement. For the SIF, this retention period is 7
years after the end date of the grant agreement.
7.1 Audited Accounts
Each non-HSE grantee must ensure that audited financial statements (AFS) are prepared,
finalised and approved, so the organisation’s full AFS/audited accounts are submitted to Pobal
six months after their respective financial year end. The financial statements submitted to Pobal
must include detailed separate analysis of individual Pobal programmes income and
expenditure. The financial statements must also be in accordance with the disclosure
requirements of the Department of Public Expenditure and Reform, circular 13/2014. Statutory
grantees are not required to submit AFS to Pobal.
7.2 Connected Parties
Pobal may require sight of financial statements and governing documents of connected
companies/companies under common control. This will help Pobal assess viability and capacity
of an applicant or grantee.
7.3 Governance and Decision Making
Section 12 of this Manual, sets out the procedural standards required of your organisation in
operating your SIF grant agreement.
7.4 Internal Financial Procedures and Books & Records
Your organisation must devise (or have in place) an internal financial procedures document
specifying the practices and procedures, as well as who has responsibility for them. This
document should be ratified by your organisation. Your organisation must ensure that
responsibility for completing the various tasks outlined in the financial procedures document is
clearly assigned to specific individuals, and consideration should be given to introducing
formalised internal review procedures which will help to ensure that the organisation’s agreed
financial policies are adhered to on an on-going basis. Suggested guidelines for preparing an
internal financial procedures document is available to download from our website here.
Your organisation must maintain proper books of account to record the day-to-day transactions
of the organisation. The main objective is to have a record of all financial transactions in a way
that makes them easily accessible and that provides an accurate picture of the organisation’s
financial position. The books and records should record all income received and all payments
made; these form the basis of the financial accounts. Your books and records include payments
journal, lodgement records, receipts book, petty cash book, bank statements and bank
reconciliations, payroll and Revenue records. Costs attributed to the grant should not exceed
the amount of grant awarded. Where the grant is not fully expended, the underspend must be
re-funded to Pobal.
227.5 Individual Policies and Procedures
7.5.1 Electronic Banking
If using electronic banking please refer to guidance on our website on procedures to safeguard
your funds here.
7.5.2Timesheets
Where staff are working 100% of their time on the SIF project, and evidence is available to
confirm this (e.g. through their job descriptions etc.) then timesheets are not required to be
recorded.
It is a requirement to keep timesheets for those staff members that are not working 100% of their
time on the project. Please note that timesheets will not be required to be submitted to Pobal.
They must be retained on project files in case of a verification visit.
These timesheets should show the time spent on both SIF project activities and on non-SIF
activities. They should be signed by the employee and reviewed and signed off by the relevant
manager on a regular basis, for example, weekly or monthly. Please refer here for a sample
timesheet which you can use as a basis for your own, if required.
7.6 Guidance Regarding Documents to Retain on File
Retain all records after the cessation of funding/activities in line with legal and
funder regulations.
Specific funder requirements are specified in your Pobal grant agreement.
Be aware of the length of time records relating to various stakeholders must be retained,
as per standard conditions within your grant agreement. For the Sláintecare Integration
Fund, this retention period is 7 years after the end date of the grant agreement.
For other stakeholders the retention period for documents and information should be
obtained from your accountant/auditor, funder, Revenue Commissioners etc.
In no circumstances should any of the documentation be destroyed or otherwise
disposed of before the relevant retention period has expired, or without the prior consent
of the relevant party.
7.7 Project Documents to Retain on File
Copy of signed grant agreement
Copy of signed addendum/a to grant agreement, if applicable
Insurance documents including indemnifications of Pobal and the funding
Departments
Copy of all procedures and policies
23You can also read
