Are You Ready                for Business?© Fusion 2009
Fusion Contact Detailsc/o Living Options DevonIsca HouseHaven RoadExeterEX2 8DSTel: 01392 459222SMS: 07958 517919info@livi...
Contents 1 PURPOSE......................................................................................9 2 PROJECT BRIEF....
11.2 STORAGE OF ELECTRONIC DOCUMENTS................................................21 11.3 STORAGE OF DELIVERABLES..........
IntroductionFusion is delighted to present the ‘Are you ready for Business?’ pack which isintended to provide a reference ...
Outline of PackProject Initiation Document (PID) A template which can be used to capture and record basic information need...
Project Initiation Document (PID)             TemplateDepartmentProject NameProject ReferenceNumberProject File ReferenceS...
Version HistoryDate                       Revision Summary of ChangesApprovalName                      Role in Project    ...
1       PurposeThis Project Initiation Document (PID) has been produced to capture andrecord the basic information needed ...
For example: Members of the Consortium will be in a better position to tenderfor Self Directed Support provision.OutcomesO...
2.3 Links to Commissioning Strategy and Operating Plan2.4 Scope of the Project2.5 Exclusions2.6 Constraints2.7 Outline Del...
2.9 Equality/Health Impact Assessment (EIA) 2.10 Links to Other Programme or Projects   Linked Programme/Projects         ...
3.2.3      Reasons for Selecting the Recommended Option 3.3 Expected Benefits 3.4 Key Risks 3.5 Expected Timescales 3.6 Ex...
4      Project Management Team Structure4.1 Project BoardThe Project Board has the responsibility and authority to provide...
4.5 Project Management Structure                               Project Board                               Project Sponsor...
6     Management of Risk6.1 Risk LogRisk        Risk                    Risk  Contingency                  Statusnumber   ...
7     Project Plan7.1 Identification of Workpackages & Deliverables                    Expected          Expected End   Re...
Workpackage 1: ExampleAction and Learning Site (ALS) Objective 1Outcomes/ OutputsEvidenceAccountable OfficerDesign Criteri...
Actions to achieve this               Milestones/ Success Criteria                     Timefraobjective                   ...
Project Manager will review the Communications Plan (See section10.1) to see if there are any additional progress reports ...
costs, risks, benefits, resources, product quality and the interaction   with other products or work streams of the projec...
11.3 Storage of DeliverablesThe project deliverables will be stored with all other hardcopydocuments and electronically as...
- The Senior User is accountable for any products supplied      by the user(s), such as making sure that requirements have...
Project PlanWork packagesThe set of information relevant to the creation of one or moreproducts.It contains the Product De...
Partnership Agreement      Template
DATE                   Enter date            (1)              [Parties involved]            (2)              [Parties invo...
THIS AGREEMENT is dated                                 Enter datePARTIES   (1)   [FULL COMPANY/ORGANISATION NAME] [incorp...
Agreed Terms1        Interpretation1.1      The definitions set out in this sub-clause shall govern this         agreement...
Service – a project/service to be procured by the         parties to this agreement in accordance with the         conditi...
1.7      Any obligation in the agreement on a person not to do         something includes, without limitation, an obligati...
time to time be applied by the parties to the                 delivery of the Service(s).Are You Ready for Business? Partn...
3       Matters Requiring Consent of the Parties3.1      The parties shall, for so long as they are bound under a         ...
3.1.7    pass any resolution or engage in any other                  matter which represents a substantial change in      ...
4.4      Default Events         4.4.1     Criteria            • Ceasing to be a user led organisation, or to be           ...
5     Disputes5.1   The parties shall use their best endeavours to resolve by      agreement any dispute between them.5.2 ...
over, any use of the termination procedures                  detailed.6     Insurance6.1   Each party shall maintain the f...
person the party employs or engages to carry out their      obligations under this agreement.7.2    A partys liability for...
9.1   The parties do not intend to confer any right or benefit upon      a third party under this agreement (save for the ...
14.1 A waiver of any right under the agreement is only effective if     it is in writing and it applies only to the circum...
16.3 Nothing in this clause shall limit or exclude any liability for     fraud.17    Assignment17.1 A party shall not, wit...
as the relevant party may notify to the other parties from      time to time) and shall be delivered personally, sent by f...
Business Audit Toolkit  An audit toolkit to support the businessdevelopment skills and capacity of User Led              O...
Introduction1.1 Purpose      In 2008, Living Options Devon (LOD), Westbank and the      Service Users Regional Forum were ...
User-led organisations are critical to independent living – to      enable disabled people to have choice and control over...
encourage people to feel more informed, valued and      confident to take part in society through relevant training      a...
• Support primary health care through voluntary activity      • Support for carers and bereaved people in their homes     ...
To avoid duplication of good work Fusion used the report as      a basis for this toolkit. It was originally adapted to en...
•   Policy development – ways to ensure relevant and up to          date policies are developed and implemented.2.3 Risk  ...
• Financial records and functions – audits, annual accounts,        management accounts, etc.      • Working with funders ...
o Consortium         o Partnership agreement2.7 Marketing      • Corporate image.      • Mission statement.      • Identif...
Learning from the experience of each partner organisation will   provide the best reference and provide a rich pool of kno...
•   Devon Association of Councils for Voluntary Service         (DACVS)       The DACVS aims to ensure that the voluntary ...
They support effective leadership and teamwork        development, helping to mobilise teams to define and        achieve ...
contact details. It is a useful model toolkit resource for        new and emerging groups.        The original pack compri...
•     Fundraising information desk at Disability LIB – To assist        Disabled People’s Organisations (DPOs) to find fun...
Contracts must have a minimum value of £30,000.3.4 Business and Management SchoolsA source of support for capacity buildin...
free or subsidised sources of training can be found. For    example Exeter CVS in Devon run free courses for third sector ...
Resources – there are limited opportunities for subsidised or   free training, additional potential sources of funding inc...
5. ConclusionThe business toolkit provided by Breakthrough UK is an excellentresource and has informed the structure of th...
Appendix 1.Fusion Partner policies – exampleLiving OptionsLeave PolicyMaternity Pay & Leave PolicyPaternity PayAdoption Le...
WestbankAbsence PolicyChild Protection PolicyComplaints procedureConfidentiality PolicyEqual Opportunities PolicyFire Safe...
Appendix 2.Planning and Analysis ChecklistUse this checklist to audit your organisation. Where you haveticked ‘No’ or ‘In ...
Yes      No        In                                                                           PartDo you have an equalit...
Are You Ready for Business? Business Audit Toolkit   June 2009 Version 1                             Page 64 of 143
Risk                                                                     In                                               ...
Financial management                                                                            In                        ...
Do you have a process for assessing, providingand maintaining the suitability of your ITsystems?Do you inform all staff, t...
Are you aware of the requirements in order tomaintain a successful partnership?                                  Marketing...
Are You Ready for Business? Business Audit Toolkit   June 2009 Version 1                             Page 69 of 143
Appendix 3.Example Terms of Reference1. Name of sub group:2. Purpose of the sub group:                     (to advise on……...
Appendix 4.Planning and Analysis toolUser-led organisations will raise the bulk of their income fromdonations, grants and ...
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
Are You Ready for Business? DPULO toolkit
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Are You Ready for Business? DPULO toolkit

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The ‘Are you ready for Business?’ pack provides an in-depth reference and audit guide for smaller/fledgling User Led Organisations. The purpose of the pack is to enable ULOs to assess current business capacity and skills, provide an example of governance and organisational structures and enable identification of strengths, weaknesses and areas for development.

The pack has been produced by the Fusion User Led Organisation based on its own experiences. More information is available here: http://www.livingoptions.org

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Transcript of "Are You Ready for Business? DPULO toolkit"

  1. 1. Are You Ready for Business?© Fusion 2009
  2. 2. Fusion Contact Detailsc/o Living Options DevonIsca HouseHaven RoadExeterEX2 8DSTel: 01392 459222SMS: 07958 517919info@livingoptions.orgAuthors:Debbie Stafford, Dr Emma TrebyAcknowledgements:Kelly Mavro, Sylvia Llecha
  3. 3. Contents 1 PURPOSE......................................................................................9 2 PROJECT BRIEF.............................................................................10 2.1 AIMS....................................................................................10 2.3 LINKS TO COMMISSIONING STRATEGY AND OPERATING PLAN.......................11 2.8 STAKEHOLDERS.........................................................................11 2.9 EQUALITY/HEALTH IMPACT ASSESSMENT (EIA).......................................12 2.10 LINKS TO OTHER PROGRAMME OR PROJECTS.......................................12 2.11 DEPENDENCIES AND ASSUMPTIONS..................................................12 3 BUSINESS CASE.............................................................................12 3.1 REASONS..............................................................................12 3.2 OPTIONS..................................................................................12 4 PROJECT MANAGEMENT TEAM STRUCTURE................................................14 4.1 PROJECT BOARD.........................................................................14 4.2 PROJECT ASSURANCE.....................................................................14 4.3 PROJECT MANAGEMENT..................................................................14 4.4 TEAM LEADERS/TEAM MEMBERS........................................................14 4.5 PROJECT MANAGEMENT STRUCTURE.....................................................15 5 PRODUCT APPROACH........................................................................15 6 MANAGEMENT OF RISK.....................................................................16 6.1 RISK LOG................................................................................16 6.2 RISK MANAGEMENT......................................................................16 7 PROJECT PLAN..............................................................................17Evidence 18Accountable Officer 18Design Criteria 18 8.2 QUALITY CONTROL ARRANGEMENTS.....................................................19 9 CONTROLS...................................................................................19 9.1 REPORTING ARRANGEMENTS.............................................................19 9.2 MONITORING PROGRESS.................................................................20 9.3 CHANGE CONTROL APPROACH...........................................................20 10 STAKEHOLDER ANALYSIS AND COMMUNICATION PLAN...................................21 10.1 COMMUNICATION PLAN.................................................................21 11 DOCUMENT MANAGEMENT ARRANGEMENTS...............................................21 11.1 STORAGE OF HARDCOPY DOCUMENTS.................................................21
  4. 4. 11.2 STORAGE OF ELECTRONIC DOCUMENTS................................................21 11.3 STORAGE OF DELIVERABLES............................................................22 11.4 APPROACH TO DELIVERABLE VERSION CONTROL......................................22Equal Opportunity 77Diversity 77Externally initiated 77Internally initiated 77Legally driven 77Business needs driven 77Quantitative focus 77Qualitative focus 77Problem focused 77Opportunity focused 77Assumes assimilation 77Assumes pluralism 77Reactive 77Proactive 77Race, gender & disability 77All differences 77
  5. 5. IntroductionFusion is delighted to present the ‘Are you ready for Business?’ pack which isintended to provide a reference and audit guide for smaller/fledgling User LedOrganisations. The purpose of the pack is to enable ULOs to assess currentbusiness capacity and skills, provide an example of governance andorganisational structures and enable identification of strengths, weaknessesand areas for development. The pack has been produced by the Fusion UserLed Organisation based on its own experiences.ULOs are critical to independent living - to enable disabled people and carersto have choice and control over the support they need to go about their dailylives. They are one of the key elements of the cross-government IndependentLiving Strategy.Putting People First also recognises that local organisations run and controlledby disabled people are vital to providing information, advice, peer support andadvocacy to other disabled people.In the current climate of ‘Choice and Control’, ‘Independent Living’ and‘Personalisation’, now has never been a better time for voluntary andcommunity sector organisations to refine their services, skill-up and be betterprepared to bid for services in what is hoped to be a more stimulated marketfor service delivery.This pack does not promise any instant recipe for success, nor does it hope tosuggest a ‘one size fits all’ solution. However, it is hoped that it will provide awide range of tips and examples and signposting to further information. Useof the Business Toolkit will, in addition, enable you to audit ‘where you are at’and ‘what more you need to do!’; highlighting areas for improvement andimplementation.ULOs are in a strong position to promote their value, knowledge and thebenefits that they offer to their constituents. Business and organisationalmanagement skills, in addition to core values and ethos provide the foundationto building an established and sustainable User Led Organisation.
  6. 6. Outline of PackProject Initiation Document (PID) A template which can be used to capture and record basic information neededto correctly direct and manage a Project. A PID addresses the followingfundamental aspects of a project: • What is the reason (why) for doing the project • What the project is aiming to achieve • Why it is important to achieve the stated aims (benefits) • Who will be involved in managing the project and what are their roles and responsibilities • Project timetablePartnership AgreementA template document provided as an example to use in the case of workingwith partner organisations or as a consortium.Business ToolkitAn audit checklist and information resource. The main part of the toolkit is tobe used in conjunction with the checklist in appendix 2 of the section in orderto provide a guide to setting up necessary policies and procedures.Tender SectionThis section provides a short guide to tendering in the hope that it will providea step-by-step process to smaller ULOs who are perhaps looking to expand therepertoire of services they offer but are inexperienced in formal tendering.Appendices• Partnership Agreement example – a time-limited partnership agreement drawn up specifically for the Fusion Consortium for the purpose of the Department of Health, Wave 1, Action and Learning Site project.• Governance and Organisational structure diagrams – examples.• Prince II project board – a definition of roles and responsibilities.Are you Ready for Business? Introduction June 2009 Version 1 Page 6 of 143
  7. 7. Project Initiation Document (PID) TemplateDepartmentProject NameProject ReferenceNumberProject File ReferenceSenior ResponsibleOwnerProject ManagerCurrent VersionNumberDateThis template is based on Prince II methodology which is owned by the Officeof Government Commerce. The template has been adapted from a documentreceived during an accredited training programme in 2007, delivered by RajKhanna Associates Ltd.Are you Ready for Business? P.I.D TemplateJune 2009 Version 1 Page 7 of 143
  8. 8. Version HistoryDate Revision Summary of ChangesApprovalName Role in Project Signature DateDistribution ListThis document has been distributed to the following:Name Title Date of Issue VersionAre you Ready for Business? Introduction June 2009 Version 1 Page 8 of 143
  9. 9. 1 PurposeThis Project Initiation Document (PID) has been produced to capture andrecord the basic information needed to correctly direct and manage the “ “Project. The PID addresses the following fundamental aspects of the project: • What is the reason (why) for doing the project • What the project is aiming to achieve • Why it is important to achieve the stated aims (benefits) • Who will be involved in managing the project and what are their roles and responsibilities • Project timetable.The PID will provide the “Baseline” for the project. It will be referred towhenever a major decision is taken about the project and used at theconclusion of the project to measure whether the project was managedsuccessfully and delivered an acceptable output for the user.1.1 Key DefinitionsProjectA project is a temporary organisation set up to create one or more productsaccording to a specified Business Case. This is unique and not ‘business asusual’.Products/DeliverablesThese are what the project is attempting to create. At the end of each projectthere will be a number of tangible outputs. These can be referred to asproducts or deliverables.For example: A new service or a new strategy/policy document.BenefitsBenefits are defined in measurable terms by the improvement to a service as aresult of undertaking a project. Benefits are generally achieved sometime afterthe project has finished.Are you Ready for Business? Introduction June 2009 Version 1 Page 9 of 143
  10. 10. For example: Members of the Consortium will be in a better position to tenderfor Self Directed Support provision.OutcomesOutcomes are defined as intangible improvements to a service.For example: Constituents will feel more engaged and involved.2 Project Brief2.1 Aims2.2 BackgroundAre you Ready for Business? Introduction June 2009 Version 1 Page 10 of 143
  11. 11. 2.3 Links to Commissioning Strategy and Operating Plan2.4 Scope of the Project2.5 Exclusions2.6 Constraints2.7 Outline Deliverables2.8 Stakeholders Stakeholder How affected?Are you Ready for Business? Introduction June 2009 Version 1 Page 11 of 143
  12. 12. 2.9 Equality/Health Impact Assessment (EIA) 2.10 Links to Other Programme or Projects Linked Programme/Projects How Linked? 2.11 Dependencies and Assumptions 2.12 Tolerances for the Project 2.13 Corporate Reporting Arrangements 2.14 Operational Arrangements3 Business Case 3.1 Reasons3.2 Options 3.2.1 Options Option Benefits & Costs Timescale Risks Disadvantages 3.2.2 Recommended OptionAre you Ready for Business? Introduction June 2009 Version 1 Page 12 of 143
  13. 13. 3.2.3 Reasons for Selecting the Recommended Option 3.3 Expected Benefits 3.4 Key Risks 3.5 Expected Timescales 3.6 Expected Costs and Funding Arrangements Project Costs Operational Costs Funding Arrangements 3.7 Benefit RealisationAre you Ready for Business? Introduction June 2009 Version 1 Page 13 of 143
  14. 14. 4 Project Management Team Structure4.1 Project BoardThe Project Board has the responsibility and authority to provide overalldirection and management of the project making sure that the project remainswithin any specified constraints. Its’ primary concern must be to ensure thatall the resources – staff, time and finance – are available to allow the projectto happen. Name Role Job Tile and Contact Representing Details4.2 Project Assurance Name of Role Job Tile and Contact Appointed By Group Details4.3 Project Management Name Role Job Tile and Contact Representing Details4.4 Team Leaders/Team Members Name Role (Team Job Tile and Contact Responsible Manager or Details for Team Member)Are you Ready for Business? P.I.D TemplateJune 2009 Version 1 Page 14 of 143
  15. 15. 4.5 Project Management Structure Project Board Project Sponsor Senior Responsible Senior Users Senior Supplier OwnerUser Assurance Business Assurance Supplier Assurance Project Manager Project Coordinator5 Product approachProduct Off the shelf or Source – Internal Go live approach designed from or External scratchObjective 1Objective 2Objective 3Objective 4Are you Ready for Business? P.I.D Template June 2009 Version 1 Page 15 of 143
  16. 16. 6 Management of Risk6.1 Risk LogRisk Risk Risk Contingency Statusnumber owner1234566.2 Risk ManagementThe project manager has overall responsibility for managing the process, butthe whole Project Team has responsibility for contributing to it, as describedbelow:The Senior Responsible Owner (SRO) responsibilities include checking that therisks are being monitored effectively. The Project Board responsibilitiesinclude: • Reviewing and approving actions to be taken to control risks • Identifying additional risks • Informing project manager of external risks that might affect the project • Making decisions on level of risks and deciding whether they are acceptable or not.The Project Manager’s responsibilities include: • Updating risk log • Reporting the status of risks to the Project Board.Are you Ready for Business? P.I.D Template June 2009 Version 1 Page 16 of 143
  17. 17. 7 Project Plan7.1 Identification of Workpackages & Deliverables Expected Expected End Responsibility StartWorkpackage 1Workpackage 2Workpackage 3Workpackage 4An example of a workpackage structure is given below:-Are you Ready for Business? P.I.D Template June 2009 Version 1 Page 17 of 143
  18. 18. Workpackage 1: ExampleAction and Learning Site (ALS) Objective 1Outcomes/ OutputsEvidenceAccountable OfficerDesign CriteriaAre you Ready for Business? P.I.D Template June 2009 Version 1 Page 18 of 143
  19. 19. Actions to achieve this Milestones/ Success Criteria Timefraobjective me 8 Project Quality Plan 8.1 Quality Responsibilities Name Role Quality Responsibilities 8.2 Quality Control Arrangements Area Quality Method Group or Contact Details Check or individual Review responsible for Quality Control 1 2 3 9 Controls 9.1 Reporting Arrangements SRO/Project Board and Project Manager should seek to avoid large meetings involving all teams. To allow the members of the Project Board to manage by exception (i.e. meet when a decision needs to be made), the Project Manager will produce regular Highlight Reports summarising the work of the teams for them during each stage. The frequency and contents of the reports will be confirmed by the Project Board when authorising the respective stage. Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 19 of 143
  20. 20. Project Manager will review the Communications Plan (See section10.1) to see if there are any additional progress reports requiredfor other stakeholders.9.2 Monitoring ProgressProject Manager will: • Manage the Issue Log – these will include requests for change and off-specifications. If the issues can be resolved within the Project Manager’s tolerance, then they can take corrective actions. If not then these should be escalated to the Project Board. • Manage the Risk Log – as the project progresses, the risks facing the project will change and they should be reviewed on a regular basis. If a risk materialises then it should be treated as issue. • Manage the Lessons Learned Log. • Review the Quality.9.3 Change Control ApproachRegardless of how well the project has been planned, there are anumber of issues that may arise. These include:Request for Change (where a request is made for something notoriginally specified – these may come from users or suppliers) • Off-specification (failed quality requirement) • Query or concernThe originator must be sent a Change Request Form to ensuretheir needs are understood completely.When a Change Request Form is received, the Project Managermust assess the impact of the change proposed in terms of time,Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 20 of 143
  21. 21. costs, risks, benefits, resources, product quality and the interaction with other products or work streams of the project. The Project Manager, in consultation with the originator of the request, should also consider the options for making the change. If possible, these should be weighed in a cost/benefit analysis so that a positive recommendation can be made to the appropriate decision making level. It is important for the purposes of project control and audit that a record of the decision made and by whom is retained. 10 Stakeholder Analysis and Communication Plan 10.1 Communication Plan Communication is crucial to the success of the project and effectiveness will be regularly reviewed by the project team:Audience Internal Medium Frequency Person Any or Response to feedback External send the expected informationProject BoardProject TeamPublicStakeholders 11 Document Management Arrangements 11.1 Storage of Hardcopy Documents Hard copy documents including the signed PID, must be stored in a secure location. The location must be listed where any hardcopy documentations are stored. 11.2 Storage of Electronic Documents List on which drive and pathway. Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 21 of 143
  22. 22. 11.3 Storage of DeliverablesThe project deliverables will be stored with all other hardcopydocuments and electronically as listed above.11.4 Approach to Deliverable Version ControlAll documents produced in the project will be version controlled.Each document will have their respective version number as partof the footer.During draft production, documents will be numbered Draft 1.0,Draft 2.0 etc. Once the document has been approved, it will beversioned 1.0. This document will then be baselined.Any grammatical changes will increment the version numbers by0.1 and any major ones will be incremented by 1.0.12 Glossary of termsProject BriefA description of what the project is to do: a refined and extendedversion of the project Mandate, which the Project Board approvesand which is input to project initiation.Business caseThe business case is used to say why the forecast effort and timewill be worth the expenditure.Its purpose is to document the justification for the undertaking ofa project based on the estimated cost of development andimplementation against the risks and the anticipated businessbenefits and savings to be gained. The total business change mustbe considered, which may be much wider than just thedevelopment cost.Project Management StructureProject BoardThe Project Board consists of three roles - The Executive or Senior Responsible Owner who is ultimately accountable for the project, supported by the Senior User and Senior Supplier.Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 22 of 143
  23. 23. - The Senior User is accountable for any products supplied by the user(s), such as making sure that requirements have been clearly and completely defined and that what is produced is fit for its purpose, as well as monitoring that the solution will meet user needs. - The Senior Supplier needs to achieve the results required by the Senior User. The Senior Supplier is accountable for the quality of all products delivered by the supplier(s).The Project ManagerIs given the authority to run the project on a day to day basis onbehalf of the Project Board within the constraints laid down by theBoard. The Project Manager’s prime responsibility is to ensure thatthe project produces the required products, to the requiredstandards of quality and within the specified constraints of timeand cost. The Project Manager is also responsible for the projectdelivering an outcome that is capable of achieving the benefitsdefined in the project initiation document.Project AssuranceThere is a need in the project organisation for monitoring allaspects of the project’s performance and products independentlyof the Project Manager. This is the role of Project Assurance. Eachmember of the Project Board is responsible for appointing one ormore persons in the Project Assurance role aligned with their areaof concern- business, user or supplier.Management of riskRiskCan be defined as uncertainty of outcome, whether positiveopportunity or negative threat. Every project has risks associatedwith it. Project management has the task of identifying risks thatapply and taking appropriate steps to take advantage ofopportunities that may arise and avoid, reduce or react to threat.Risk LogContains all information about the risks, their analysis,countermeasures and status. Also known as risks registers.Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 23 of 143
  24. 24. Project PlanWork packagesThe set of information relevant to the creation of one or moreproducts.It contains the Product Description(s), details of any constraints onproduction such as time, cost and interfaces.It also includes confirmation of the agreement between the ProjectManager and the person or Team Manager who is to implementthe Work Package that the work can be done within theconstraints.Work is released to a Team Manager or member in an authorisedWork Package.DeliverableAn item that the project has to create as part of the requirements.It may be part of the final outcome or an intermediate element onwhich one or more subsequent deliverables are dependent.According to the type of project, another name for a deliverable is“product”.QualityThe totality of features and characteristics of a product or servicethat bear on its ability to satisfy stated needs. Also defined as“fitness for purpose” or “conforms to requirements”.Communication planPart of the Project Initiation Document describing how theproject’s stakeholders and interested parties will be kept informedduring the project.Reference:Great Britain. Office of Government Commerce (2005) Managingsuccessful Projects with Prince 2. London: The Stationery Office.Are You Ready for Business? P.I.D Template June 2009 Version 1 Page 24 of 143
  25. 25. Partnership Agreement Template
  26. 26. DATE Enter date (1) [Parties involved] (2) [Parties involved] (3) [Parties involved] ______________________________ Consortium Agreement Relating to ““ ______________________________
  27. 27. THIS AGREEMENT is dated Enter datePARTIES (1) [FULL COMPANY/ORGANISATION NAME] [incorporated and registered in England and Wales with company number [NUMBER] whose registered office is at [REGISTERED OFFICE ADDRESS]]/ [of [ADDRESS] (2) [FULL COMPANY/ORGANISATION NAME] [incorporated and registered in England and Wales with company number [NUMBER] whose registered office is at [REGISTERED OFFICE ADDRESS]]/ [of [ADDRESS] and (3) [FULL COMPANY/ORGANISATION NAME] [incorporated and registered in England and Wales with company number [NUMBER] whose registered office is at [REGISTERED OFFICE ADDRESS]]/ [of [ADDRESS]BackgroundIn 2005 the government produced the ‘Improving the life chancesof disabled people’ report. This report outlined how thegovernment intends to improve the quality of life for disabledpeople; giving them more choice and control so they can beincluded as equal members of society. As part of this report, thegovernment has stated that by 2010 each locality should have a‘User Led Organisation’ (ULO).A ULO is one which involves disabled people and carers in allaspects of its day to day services and functions. ULOs work inpartnership with local councils and Primary Care Trusts (PCTs) inorder to improve or change services that disabled people use.[Contents to be provided as to why and how theconsortium exists]Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 27 of 143
  28. 28. Agreed Terms1 Interpretation1.1 The definitions set out in this sub-clause shall govern this agreement: [Commencement Date – [ ].] Default – any failure on the part of a party to carry out their obligations under this agreement, including but not limited to, the default events detailed in the agreement and Project Plan(s). Default Notice – a notice which any party issues to the other which sets out the nature of the Default and the time scale in which it must be put right. Any such time scale must be reasonable in all the circumstances. Persistent Default – where either party has committed more than two Defaults during any period of six consecutive months, whether these are the same Defaults or different Defaults. Project Plan – the document agreed between the parties and contained in the schedules, detailing the day to day administration of the Services and the roles and responsibilities of each of the parties. Regulatory Bodies – organisations that have a statutory responsibility for regulating the Services. Serious Default – a Default which materially prejudices the health, safety or welfare of a carer/cared for person(s), staff of the parties or any other agents engaged by the parties.Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 28 of 143
  29. 29. Service – a project/service to be procured by the parties to this agreement in accordance with the conditions of the service agreement. Service Agreement – the agreement between [name of organisation] and the Service Purchaser, relating to the provision of the Service. Service Purchaser – Council or any successor and any other organisation with responsibility for procuring performance of the Service. TUPE – the Transfer of Undertakings (Protection of Employment) Regulations 1981, the Transfer of Undertakings (Protection of Employment) Regulations 2006 and the Acquired Rights Directive. VAT – Value Added Tax. Working Days – between 9.00 a.m and 5.00 p.m Monday to Friday inclusive, but does not include any days that are bank holidays or public holidays.1.2 Headings in this agreement shall not affect their interpretation.1.3 A person includes a natural person, corporate or unincorporated body (whether or not having separate legal personality).1.4 The schedules form part of the agreement.1.5 A reference to a statute or statutory provision is a reference to it as it is in force for the time being, taking account of any amendment, extension, or re-enactment and includes any subordinate legislation for the time being in force made under it.1.6 A reference to writing or written includes faxes but not e-mail.Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 29 of 143
  30. 30. 1.7 Any obligation in the agreement on a person not to do something includes, without limitation, an obligation not to agree, allow, permit or acquiesce in that thing being done.1.8 A reference to party shall mean a party to this agreement and parties shall be construed accordingly.2 Delivery of the Services2.1 The parties shall use their best endeavours to ensure that the Services are delivered on behalf of the Service Purchaser in accordance with the terms of the Service Agreement.2.2 In order to discharge the obligations detailed at clause 2.1 above the parties have agreed to comply with the Project Plan(s), which serves as a template for the day to day administration and delivery of the Service(s).2.3 In addition to the obligations detailed under clause 2.2 above the parties have further agreed that they shall at all times: 2.3.1 devote to the delivery of the Service(s) such time and attention as shall be necessary for the proper performance of their duties in relation to the Service Agreement(s). 2.3.2 be just and faithful to the other parties and give them at all times full information and explanation of all matters relating to delivery of the Service(s); 2.3.3 conduct themselves in a proper and responsible manner and use their best skill and endeavour to promote the delivery of the Service(s); and 2.3.4 comply with all statutes, regulations, professional standards and other provisions as may from time to time govern the delivery of Service(s), and with any such quality assurance standards as may fromAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 30 of 143
  31. 31. time to time be applied by the parties to the delivery of the Service(s).Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 31 of 143
  32. 32. 3 Matters Requiring Consent of the Parties3.1 The parties shall, for so long as they are bound under a Service Agreement and parties to this Agreement procure that a party shall not without the prior written consent of the other parties: 3.1.1 conduct its business otherwise than in the ordinary course of business on an arms-length basis; or 3.1.2 do, permit or suffer to be done any act or thing whereby a party may be wound-up, or enter into any compromise or arrangement under the Insolvency Act 1986; or 3.1.3 purchase, lease or otherwise acquire assets or any interests therein which relate to the delivery of the Services and which exceed the value of £ [AMOUNT]; or 3.1.4 enter into any contract, transaction or arrangement (relating to the delivery of the Services) of a value exceeding £[AMOUNT] without full and complete disclosure to the parties and with the express written consent of all the parties; or 3.1.5 borrow any money in excess of any limits agreed between the parties or create any mortgage, debenture, pledge, lien or other encumbrances which might reasonably prejudice the delivery of the Services; or 3.1.6 compromise or otherwise settle any dispute or potential dispute relating to the Services, be it with the Service Purchaser or any third party; orAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 32 of 143
  33. 33. 3.1.7 pass any resolution or engage in any other matter which represents a substantial change in the nature of the delivery of the Services; or 3.1.8 hold any meeting of the parties which relates to the delivery of the Services or purport to transact any business at such meeting, unless authorised representatives or proxies are present for each of the parties.3.2 Where a matter requires the consent of all parties (as detailed at clause 3.1 above) the parties agree that they shall negotiate in good faith to reach agreement and shall not in any circumstances unreasonably condition, withhold or delay the consent.3.3 Save as otherwise detailed in clause 3.1 above, the parties agree that [organisation name] shall have authority to manage all other aspects of the delivery of the Service on a day to day basis. In discharging its obligations [organisation name] shall ensure that the other parties remain informed of developments, as more particularly set out in the Project Plan.4 Term and termination4.1 Subject to the provisions of this clause 4, the agreement will continue in force until xxxxx. This agreement may be terminated prior to xxxxxxx by any party on not less than 3 months written notice being provided to the other parties.4.2 This agreement may be terminated with immediate effect upon written notice where a party is in Serious Default or Persistent Default of the terms of the agreement.4.3 Termination of this agreement for any cause shall not affect liability for any payments due to any party before or following the termination date.Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 33 of 143
  34. 34. 4.4 Default Events 4.4.1 Criteria • Ceasing to be a user led organisation, or to be engaged with service users or carers • Failure to communicate risk issues to [organisation name] • Failure to comply with health and safety at work, equal opportunities, CRB, complaints requirements and any other relevant current and future legislation requirements required in the provision of the service. 4.4.2 If a party considers that one of the other parties is in default of their obligations under this agreement, they will be informed immediately. The other parties will consider the matter and (if deemed appropriate) issue a Default Notice setting out the nature of the default and specifying a reasonable time scale within which the default shall be put right 4.4.3 If the Default has not been put right within the specified time scale then the other parties will be entitled to exclude that party from the consortium and terminate this agreement with them. 4.4.4 If the Default is a Serious Default, as identified on the Default Notice, then the other parties will be entitled to terminate this agreement with the party, with immediate effect and/or take whatever reasonable action necessary to protect the health, safety or welfare of any or all the service usersAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 34 of 143
  35. 35. 5 Disputes5.1 The parties shall use their best endeavours to resolve by agreement any dispute between them.5.2 In order to resolve a dispute, either may use the following procedure: 5.2.1 Request a meeting between each partys appointed contacts within 10 Working Days, or such other period that as may be agreed. 5.2.2 If the dispute remains unresolved after that meeting, then a further meeting involving senior representatives may be requested within a further 10 Working Days, or such other period that might be agreed. 5.23 If the dispute is still not resolved, then the matter may, if both parties agree, be referred to independent mediation as soon as reasonably practicable. The mediator shall be an individual or organisation agreeable to both parties. The costs of mediation shall be borne in equal parts between the parties. 5.2.4 If the matter cannot be satisfactorily resolved through mediation, then the matter may, if both parties agree, be referred to an independent arbiter agreed by both parties. Responsibility for the costs of arbitration shall be decided by the arbiter. 5.2.5 Use of the dispute procedure set out in this agreement will not delay, or take precedenceAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 35 of 143
  36. 36. over, any use of the termination procedures detailed.6 Insurance6.1 Each party shall maintain the following minimum insurance cover and provide to each other party, upon request, written evidence that cover is in place. The parties shall also ensure that any sub-contractors which they engage and who are providing any or all of the Service on their behalf (provided that use of any such sub-contractor has, if appropriate, been approved in writing by the other parties, in accordance with clause 17) take out and maintain equivalent insurance: 6.1.1 Employers liability insurance in a minimum amount which complies with statutory requirements for each and every claim, act or occurrence or series of claims, acts or occurrences (at the date of this agreement this is £10 million); 6.1.2 Public liability insurance in a minimum amount of £5 million for each and every claim, act or occurrence or series of claims, acts or occurrences; 6.1.3 Where relevant to the Service provided, professional indemnity insurance in an amount for each and every claim, act or occurrence or series of claims, acts or occurrences which is sufficient to cover that partys liabilities under this agreement.7 Liability and Indemnities7.1 Each shall indemnify the other parties against all losses, damages, costs, expenses, liabilities, claims or proceeding, whether these arise under statute or common law, (together referred to as Losses) which those parties suffer which relates to or results from any negligence, Default or breach of statutory duty on the part of that party in carrying out their obligations under this agreement or on the part of anyAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 36 of 143
  37. 37. person the party employs or engages to carry out their obligations under this agreement.7.2 A partys liability for any Losses, which relate to death or personal injury, shall be unlimited.7.3 Otherwise a partys liability for Losses shall be limited to the insurance caps detailed at clause 6 above in respect of each and every claim.8 Human Rights Act 19988.1 The parties acknowledge that: 8.1.1 in performing their obligations under this agreement each may, by virtue of the contractual relationship between the Service Purchaser and the parties, be considered a public authority for the purposes of the Human Rights Act 1998; and 8.1.2 that it is unlawful to exercise functions which are of a public nature in a way that is incompatible with the rights set out in the European Convention of Human Rights and the Human Rights Act 1998.8.2 In the event that a party becomes aware of any act, or failure to act, on the part of another party that directly contravenes or falls short of the statutory requirements of the Human Rights Act 1998, then the party shall notify the defaulting party requiring them to either undertake, or refrain from undertaking, such specific acts. The defaulting party shall rectify such contravention by undertaking, or refraining from undertaking such acts as soon as practicably possible, but in any case, within 10 Working Days of receipt of such notification.9 Contracts (Right of Third Parties) Act 1999Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 37 of 143
  38. 38. 9.1 The parties do not intend to confer any right or benefit upon a third party under this agreement (save for the Service Purchaser, where detailed) and for the avoidance of doubt, the provisions of the Contracts (Rights of Third Parties) Act 1999 are expressly excluded from this agreement.10 Health and Safety10.1 Each party shall comply with the requirements of the Health and Safety at Work etc Act 1974 insofar as they apply to the provision of the Service.10.2 For as long as this agreement is in force each party shall have in place a health and safety policy which complies with all statutory requirements.11 Declaration of Interests11.1 Each party shall inform the other parties in writing of any elected council member of the Service Purchaser, or employee of the Service Purchaser who is involved in any way with them at any time in the duration of this agreement.12 TUPE12.1 [When requested by a party the other parties shall supply on demand reasonable information concerning the terms and conditions of service of employees who are engaged in the delivery of the Service, so that each party and the Service Purchaser can come to a view as to whether TUPE is likely to apply to the award of any new contract by the Service Purchaser in respect of the Services.]13 Variation No variation of the agreement shall be valid unless it is in writing and signed by, or on behalf of, each of the parties.14 WaiverAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 38 of 143
  39. 39. 14.1 A waiver of any right under the agreement is only effective if it is in writing and it applies only to the circumstances for which it is given. No failure or delay by a party in exercising any right or remedy under the agreement or by law shall constitute a waiver of that (or any other) right or remedy, nor preclude or restrict its further exercise. No single or partial exercise of such right or remedy shall preclude or restrict the further exercise of that (or any other) right or remedy14.2 Unless specifically provided otherwise, rights arising under the agreement are cumulative and do not exclude rights provided by law.15 Severance15.1 If any provision of the agreement (or part of any provision) is found by any court or other authority of competent jurisdiction to be invalid, illegal or unenforceable, that provision or part-provision shall, to the extent required, be deemed not to form part of the agreement, and the validity and enforceability of the other provisions of the agreement shall not be affected.15.2 If a provision of the agreement (or part of any provision) is found illegal, invalid or unenforceable, the provision shall apply with the minimum modification necessary to make it legal, valid and enforceable.16 Entire Agreement16.1 The agreement constitutes the whole agreement between the parties and supersedes all previous agreements between the parties relating to its subject matter16.2 Each party acknowledges that, in entering into the agreement, it has not relied on, and shall have no right or remedy in respect of, any statement, representation, assurance or warranty (whether made negligently or innocently) (other than for breach of contract).Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 39 of 143
  40. 40. 16.3 Nothing in this clause shall limit or exclude any liability for fraud.17 Assignment17.1 A party shall not, without the prior written consent of the other parties, assign, transfer, charge, sub-contract, or deal in any other manner with all or any of its rights or obligations under the agreement (such consent not to be unreasonably withheld or delayed).17.2 Each party that has rights under the agreement is acting on its own behalf and not for the benefit of another person.18 Confidentiality18.1 The parties shall comply with the requirements of the Data Protection Act 1998 in so far as they apply to the provision of the Service within this agreement.18.2 The parties shall take all reasonable steps to ensure that all information concerning the carer/cared for person benefiting from the Services is treated as confidential except where clause 18.3 applies.18.3 Because the security, safety and well-being of the carer/cared for person takes precedence over issues of confidentiality, where a party has received information that a carer/cared for person has been abused, or is at risk of abuse, that party shall report this immediately to the other parties, the Service Purchaser and/or the police and co- operate fully with any subsequent procedures.19 Notices19.1 Notice given under the agreement shall be in writing, sent for the attention of the person, and to the address (or fax number) detailed above (or such alternative contact detailsAre You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 40 of 143
  41. 41. as the relevant party may notify to the other parties from time to time) and shall be delivered personally, sent by fax or sent by pre-paid, first-class post or recorded delivery. A notice is deemed to have been received, if delivered personally, at the time of delivery, in the case of fax, at the time of transmission, in the case of pre-paid first class post or recorded delivery, 48 hours from the date of posting and, if deemed receipt under this clause 19 is not within a Working Day, at 9.00 am on the first Working Day following delivery. To prove service, it is sufficient to prove that the notice was transmitted by fax, to the fax number of the party or, in the case of post, that the envelope containing the notice was properly addressed and posted.20 Governing Law and Jurisdiction20.1 The agreement, and any dispute or claim arising out of or in connection with it or its subject matter, shall be governed by, and construed in accordance with, the law of England.20.2 The parties irrevocably agree that the courts of England shall have exclusive jurisdiction to settle any dispute or claim that arises out of, or in connection with, the agreement or its subject matter.This agreement has been entered into on the date stated at thebeginning of it.Caveat: any new partnership should seek legal advice whenconstructing a legally binding agreement.Are You Ready for Business? Partnership Agreement Template June 2009 Version 1 Page 41 of 143
  42. 42. Business Audit Toolkit An audit toolkit to support the businessdevelopment skills and capacity of User Led Organisations.
  43. 43. Introduction1.1 Purpose In 2008, Living Options Devon (LOD), Westbank and the Service Users Regional Forum were successful in a bid to be one of 12 pilot Action and Learning Sites who received funding from the Department of Health in order to meet the design criteria for a fully functional User Led Organisation (ULO). Working together as the consortium ‘Fusion’, we continue to ensure that through our cooperation we support disabled people and their carers to have more support and control over their lives; empowering constituents and service users. Fusion remains committed to being independent; service user needs driven; accountable to its constituents and not for profit. The purpose of this toolkit is to enable embryonic/smaller ULOs to assess their current business capacity and skills. Deployment of the toolkit will enable an organisation to have a greater understanding of its strengths, weaknesses and areas for development. The main part of this toolkit is to be used in conjunction with the checklist listed as Appendix Two.1.2 Background In January 2005 the Government gave the commitment that, By 2010, each locality (defined as that area covered by a Council with social services responsibilities) should have a user-led organisation, modelled on existing CILs (Centres for Independent Living). (Improving the Life Chances of Disabled People, DH, 2005. p.91)Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 43 of 143
  44. 44. User-led organisations are critical to independent living – to enable disabled people to have choice and control over the support they need to go about their daily lives. They are one of the key elements of the forthcoming cross-government Independent Living Strategy. Putting People First also recognises that local organisations run and controlled by disabled people are vital to providing information, advice, peer support and advocacy to other disabled people. However, financial insecurity and sustainability are often an issue in the long term stability of a user-led organisation. There are a range of factors which may constrain the ability of ULOs to grow their capacity. These may include difficulties in recruiting, training and retaining staff, the set up of systems for effective financial management, governance and monitoring and contingency planning (DH, 2007). Furthermore, many funding opportunities arise from securing public sector contracts. Knowledge of tendering processes is, therefore, essential to successful bid writing as is a strong position on the organisation’s value base and ethos.1.3 Fusion Consortium Fusion Devon is a Consortium comprising of three organisations - Living Options Devon, Westbank and Devon LinkUp. When the consortium was first formed one of our key partners was the Service Users Regional Forum (SURF). In 2009 SURF ceased to operate and Fusion now include Devon LinkUp as one of their partners in the consortium. Living Options Devon Living Options Devon exists to ensure people with physical and/or sensory disabilities and Deaf people with sign language can make an active and equal contribution in society. Their purpose is to:Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 44 of 143
  45. 45. encourage people to feel more informed, valued and confident to take part in society through relevant training and support; enable people to identify priorities and develop user-led services; engage people in effective communication with local and national service commissioners and providers; empower people to raise awareness of what society needs to do to provide equality of opportunity both locally and nationally. Living Options Devon is a leading, local disability organisation with an excellent reputation for providing a range of user-led projects to improve services, equality of opportunity and social inclusion across the County. It is supported by a mixture of public sector funding and grants from external trusts. LOD also generate their own income through delivery of high quality, user-led disability and Deaf awareness training and access audit services and other consultancy services. Living Options Devon is also commissioned regularly to involve service users in high profile, public service reviews and user-led research. We are a member of a variety of influential public sector partnerships where it is essential that the views of disabled and Deaf people are represented. Westbank Westbank has been providing practical help such as shopping, transport to and from medical appointments, befriending and welfare support since 1986. Westbank’s Priority Aims are to: • Relieve sickness and preserve health amongst the community • Preserve health and foster independenceAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 45 of 143
  46. 46. • Support primary health care through voluntary activity • Support for carers and bereaved people in their homes with practical and befriending support • Meeting the needs of carers of all ages, including young carers Supporting carers has always been a priority for Westbank and this is done locally through their carers group, one to one advice and sitting service. Westbank is the lead agency for the Carers+ consortium – which also includes East Devon VSA and Exeter CVS. Carers+ has a countywide contract with Devon County Council (DCC) for the delivery of the Devon carers link network, and the flexible breaks grants and Take a Break schemes. Devon LinkUp Devon LinkUp provides Voices and Choices for people who have a learning disability. It provides opportunities for people to get involved ‘in the community, with the community’ and its activities. Devon Link-Up also supports independent advocacy for groups and individuals. Devon Link-Up recruits and supports volunteers to work alongside people.1.4 Breakthrough UK Breakthrough UK is an established user-led organisation, based in Manchester, which was also chosen to be one of the Department of Health 12 action and learning pilot sites in 2008. (Please click on this link to find out more about Breakthrough UK http://www.breakthrough-uk.com/). In 2007 the organisation compiled a project report setting out a framework for development of a business toolkit. The project advised on the availability, content and type of tools that are required to support the business development of User-Led Organisations. The report identifies tools and toolkits currently available to ULOs and also identifies the gaps in information.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 46 of 143
  47. 47. To avoid duplication of good work Fusion used the report as a basis for this toolkit. It was originally adapted to ensure it was fit for purpose to audit each partner organisation within the Fusion consortium. It has now been updated to provide a generic tool which can be used by other ULOs and will be used to audit the Fusion consortium as whole.2. Business framework The following areas may be considered as a framework to identify business development needs. The suggested topics within each area are not an exhaustive list and where a topic is not listed below, it is advised that this be noted on the planning and analysis checklist. (See Appendix 2).2.1 Governance • Leadership skills, committee skills, team working, negotiating skills, dealing with conflict – in order to ensure good governance. • Legislation and regulation – e.g. Companies legislation, Charities legislation, etc. • Membership development, inclusion and involvement – how to grow, support and manage membership. • Equality and Diversity – at a strategic level, how to ensure equality and diversity in governing structures. (See Appendix 5)2.2 Strategy and Planning • Planning and skills – techniques to help plan, implement, monitor and review. • Strategic and business planning – how to plan for the future in an inclusive, realistic and pragmatic way, including succession planning and sustainability. • Strategic and training needs analysis – how to identify and secure the skills and behaviours needed to deliver strategic aims.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 47 of 143
  48. 48. • Policy development – ways to ensure relevant and up to date policies are developed and implemented.2.3 Risk • Consider the implications of entering contract work – failure to deliver, loss of reputation or financial penalties. • Weigh up the benefit and cost of preparing and submitting bids – success is not guaranteed. I.e. ‘Can you afford to, can you afford not to?’ – take into account:- Capacity Expertise Timescales Local knowledge and resources Kudos • Preparing a realistic proposal in terms of costs – too expensive risks losing work but don’t undersell the organisation. • Consortium working – providing a partnership agreement, does the consortium need to be legally constituted. See ‘Working in a consortium’ – A guide for third sector organisations involved in public service delivery (Cabinet Office, Office of the Third Sector, December 2008). http:// www.cabinetoffice.gov.uk/media/107235/consortium %20guide%20final.pdf • Exit strategy for funding/grant allocations and public procurement, including:- o Workforce issues o Long term financial planning2.4 Financial Management • Legislation and regulation – including taxation, accounting, etc. • Financial planning, budgeting – including costing services, cash flow, etc.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 48 of 143
  49. 49. • Financial records and functions – audits, annual accounts, management accounts, etc. • Working with funders and commissioners – tendering and procurement – how to prepare and negotiate funding bids and tenders, where to seek funding etc.2.5 Organisational Management • Legislation and regulation – e.g. Health & Safety, employment law, etc. (See also Appendix 1). • Quality systems and performance management – how to manage organisational performance, what systems to use, etc. • Service delivery – how to ensure planning and delivery of a service that is efficient and effective. • ICT – how to assess provide and maintain ICT systems that add value. • Delivering equality and addressing diversity – both in employment and service delivery. • HR and workforce development – all aspects of good employment practice, including:- o Recruitment and TUPE regulations o Staff management o Performance, appraisals o Grievances, absence, discipline and letting people go2.6 Partnership Working • Building, and working within, partnerships. • Influencing others who can make key contributions. • Maintaining partnerships, identifying mutual benefit, how to resolve differences. • Good chairing skills. • Project management skills. • Roles and responsibilities. • Identify strengths and weaknesses. • Building on commonalities. • Consider different approaches to partnership working:-Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 49 of 143
  50. 50. o Consortium o Partnership agreement2.7 Marketing • Corporate image. • Mission statement. • Identifying a suitable marketing consultant/organisation to promote your services/work. • Website. • Leaflets and information about your organisation in accessible formats. • Establishing links with other organisations. • Seeking network membership or affiliation.3. Working as a Consortium In addition to the above, organisations wishing to consider working as a consortium may need to consider undertaking some initial development/capacity building work in order to function as a constituted organisation. This may include:-• Membership – who will be members, how to decide, how will members be identified, by what process will they become members.• Structure – will it be a new organisation, a federation, part of an existing organisation.• Legal identity – charity, Community Interest Company, Company Limited by Guarantee, etc.• Governance – how will the consortium be managed and by whom.• Services – what will the consortium deliver, how to decide.• Staff – will there be staff, how many, what will they do.• Funding – what is needed, where will it come from, who will seek it.• Premises – what is needed, what is available, how can they be secured.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 50 of 143
  51. 51. Learning from the experience of each partner organisation will provide the best reference and provide a rich pool of knowledge from which to draw on in terms of developing the work of the consortium. Furthermore, the DH Action and Learning Site project has increased awareness of a growing network of ULOs in the UK which continues to facilitate the sharing of best practice and mentoring between organisations. Drawing on this resource will enable ULOs to pool knowledge and strengthen partnership working between like-minded organisations. In addition to these provisions there are a number of existing resources and toolkits to support business development needs and these have been very well researched by Breakthrough UK in their Business Toolkit. These are listed under the following sections:- • ‘Third sector’ training deliverers; • Private sector/mainstream deliverers; • Networks and resources; • Universities and Business Schools; • Books and literature.3.1 Third Sector Training Deliverers. Three national organisations are listed which provide an illustration of the range of training and support offered. However, there are many more which offer combinations of training, networking, coaching, mentoring and consultancy. • The Association of Chief Executives of Voluntary Organisations (ACEVO) – www.acevo.org.uk. • National Council for Voluntary Organisations (NCVO) – www.ncvo-vol.org.uk. • The Directory of Social Change (DSC) – www.dsc.org.uk In addition to national resources it is worth identifying local organisations which also provide support, information and training to the third sector. For example support in Devon may be provided by:-Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 51 of 143
  52. 52. • Devon Association of Councils for Voluntary Service (DACVS) The DACVS aims to ensure that the voluntary and community sector has effective local representation and that everyone is able to share best practice, skills and expertise. In addition it ensures that relationships are made with the regional and sub-regional bodies to promote the interests of the 8 CVS and their members, and to access funding to improve and increase services to the Voluntary and Community Sector (VCS) across Devon. CVSs can help new and existing groups to meet local needs with advice on planning and many other organisational matters. They also have contacts with others who may be able to help. • South West Development Centre – www.swdc.org.uk The Care Services Improvement Partnership as an entity ceased operations on 31 March 2009. However, its work will be carried forward through a range of programmes. The South West Development Centre is commissioned by the South West Strategic Health Authority working in partnership with the Deputy Regional Director (DRD), Adult Social Care and Partnerships within the Government Office of the South West and the association of Directors of Adult Social Services. The SWDC adopts a collaborative approach understanding the needs of its partners from the public and Third Sector and works with them to achieve shared solutions for the improvement and innovation of local services. They achieve this by: • developing the capacity and capability to achieve improvements in delivery • supporting policy implementation, and • supporting the development of policyAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 52 of 143
  53. 53. They support effective leadership and teamwork development, helping to mobilise teams to define and achieve shared goals.3.2 Private Sector/Mainstream Training Deliverers. • Chambers of Commerce – www.chamberonline.co.uk. Offers training courses including communication, finance, health and safety etc. • Business Link – www.businesslink.gov.uk. These organisations are now delivered through Regional Development Agencies, having recently been re-organised. As a result they are delivered through a public sector body and are, therefore, subject to the Disability Equality Duty. This means that they should be providing an accessible and appropriate service to disabled people and their organisations.3.3 Networks and Resources • United Kingdom’s Disabled Peoples’ Council (UKDPC) – www.bcopd.org.uk. Formerly the British Council of Disabled People (BCODP), this is a membership organisation offering a range of support and networking to members, for example – Membership and Services Project – The aim of this project is to generate a more secure and sustainable future for members by sharing good practice between and across groups, if necessary bringing in experts from within or outside the organisation to advise in areas such as trustee and governance, funding advice, disability equality and group management of membership services. UKDPC also published “The Way Forward – A Resource Pack for Local Groups of Disabled People” in 1997, which is currently being updated. The pack is a folder containing booklets on various practical aspects of running a group, including lists of useful publications and organisationalAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 53 of 143
  54. 54. contact details. It is a useful model toolkit resource for new and emerging groups. The original pack comprises of 6 booklets, of which the topics are – 1. About your Group 2. The Environment 3. Money, Workers & other Resources 4. The Disabled People’s Movement 5. Training 6. More help and information • The National Centre for Independent Living (NCIL) – www.ncil.org.uk/ - offers information, advice and policy service to members and a range of resources including – Supporting Member and User Led Organisations, Employers Kit – Employing a Personal Assistant. • The Southwest Disability Equality Network (SWDEN) – www.equalitysouthwest.org.uk – was launched in 2004. It is a forum of and for disabled people in the region. It represents organisations of and for disabled people. If you are interested in joining the network database there is a section on the website where you can fill in an Equality Southwest contact form. • GuideStar UK – www.guidestar.co.uk. GuideStar UK was set up in 2003 to provide, for the first time, a single, easily accessible source of detailed information about every charity and voluntary organisation in England and Wales. The site provides a high profile free web presence, not just for established charities, but also for the many smaller specialist and local organisations that currently do not have websites. It promotes greater public understanding of the work of charities and how they are managed. And it is a good source of statistical and financial information for grant makers, researchers and public policy makers.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 54 of 143
  55. 55. • Fundraising information desk at Disability LIB – To assist Disabled People’s Organisations (DPOs) to find funding that is accessible and advise on other fundraising issues, Disability LIB has set up an information desk to: 1. Research into where DPOs can get funding for projects and activities. 2. Offer constructive advice on written applications for grant funding. 3. Give tips on what DPOs should look at or consider before they start writing applications. For example, does your DPO have a fundraising plan? Is there an exit plan? Have you considered what is going to happen once the fund runs out? You can get in touch and send your project plans and proposals to Iyiola. He will call you to discuss what advice can be offered (or research where you could get appropriate funding). Iyiola can be reached on: T: 0844 800 4331 E: iyiola.olafimihan@disabilitylib.org.uk Post: Disability LIB, 6 Market Road, London N7 9PW • Futurebuilders funding to help small charities – http://www.futurebuilders-england.org.uk/our-products/small- organisation-tender-fund/small-organisation-tender-fund/ A £220,000 grant to help voluntary organisations tender for public sector contracts has been launched by Futurebuilders and the National Programme for Third Sector (NPTSC). NPTSC and Futurebuilders will contribute £150,000 and £70,000 respectively to the fund. The fund is designed to aid small organisations to cover tendering costs or build capacity and also specifically help them to land contracts. The fund is open to any organisation that has been incorporated for at least one year and has a turnover of less than £250,000. Organisations can receive grants worth up to 10 per cent of the value of the contracts they want to bid for with an upper limit of £15,000.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 55 of 143
  56. 56. Contracts must have a minimum value of £30,000.3.4 Business and Management SchoolsA source of support for capacity building is the range ofmanagement short courses available from Business Schools(usually attached to universities) and from colleges working incollaboration with an awarding university.Examples of relevant courses range from unaccredited shortcourses, (such as communication skills), through to accreditedCertificate in Management Studies (CMS) and Diploma inManagement Studies (DMS). At the top end there is Masters inBusiness Administration (MBA) and universities can also offerMasters of Arts (Mas) in Management Studies.3.5 Books and LiteratureThere is an abundance of business development literature, muchof it including checklists and templates. There are a couple ofrecommended publications referred to in the Breakthroughtoolkit:- o ‘Just about Managing’ published by the London Voluntary Services Council; o ‘Voluntary but not Amateur’ published by the London Voluntary Services Council.4. Capacity BuildingFurther to initial development work on setting up (UKDCP’sdocument “The Way Forward” is useful here), new user-ledorganisations would need to follow the steps described below inorder to consider an effective framework to design and delivercapacity building.• Identifying a training budget and resources – this is essential for the success of the venture, and should be viewed as an investment rather than a cost. If a ULO can deliver capacity building then it can also be viewed as a reinvestment. SomeAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 56 of 143
  57. 57. free or subsidised sources of training can be found. For example Exeter CVS in Devon run free courses for third sector and voluntary organisations (see also Business and Management schools above).• Training/strategic needs analysis – this would involve working with the existing organisation to identify skills and experience needed, existing skills and experience, and therefore the gaps. I.e. effective bid writing, negotiating or research skills.• Review strategic and business plans – with an experienced facilitator review the content, practicality and timeliness proposals, including how well the business plan reflects the strategic plan. There are many commonly used tools which could be adopted for this purpose, such as SWOT analyses, PEST analyses, SMART targets and so on. (See appendix 4, for a brief description of each).• Prioritise training needs – in light of the gaps identified, and the strategic aims developed, assess the immediate and the medium term training/capacity building needs.• Design forward capacity building/training plan – this involves deciding what tools or methods to use, from the wide range described here, how they will be delivered and by whom.• Agree and begin implementation schedule – this can be a complex and vexing part of the process. It is mainly a logistics exercise and involves coordinating trainers/mentors/coaches with participants’ availability, access and learning needs, venues, catering, transport and so on. This may include, in addition to contracted staff, training of trustees and peer support workers and development of user experience and skills.• Review, and adjust as necessary – monitoring and review points should be built into the implementation schedule and robustly observed so as to assess progress and development, and make any adjustments indicated.4.1 Delivery of Capacity Building for Business Development Needs: Delivering the proposed framework can encompass a variety of options. Key elements to support implementation may include resources, delivery methods and delivery sources.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 57 of 143
  58. 58. Resources – there are limited opportunities for subsidised or free training, additional potential sources of funding include:- o Big Lottery – www.biglotteryfund.org.uk o Business Link – www.businesslink.gov.uk o Lloyds TSB Foundation -www.lloydstsbfoundation.org.uk o European Social Fund – www.gos.gov.uk/gonw/ o Grant Finder – www.grantfinder.co.uk It is worth finding out about local opportunities for funding including circulars, newsletters or magazines. E.g. o Devon Funding news – www.fundingnews.co.uk Delivery methods – Learning will be more effective if delivered appropriately. There are a wide range of delivery methods available:- o ‘Business to business’ learning o Networking o Coaching and mentoring o Use of model documents, policies and procedures as templates o Training courses – external and in house, delivered by a range of providers Delivery sources – the learning relationship can determine the success of a particular exercise and peer support or learning is widely recognised as effective. Potential delivery sources may include:- o Existing CILs/ULOs o Existing voluntary sector support organisations o Existing consultancy/training suppliers across the sectors o Freelance consultants and trainers o Universities and Business schoolsAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 58 of 143
  59. 59. 5. ConclusionThe business toolkit provided by Breakthrough UK is an excellentresource and has informed the structure of this document. It ishoped that in using the information and resources provided in thispaper, in addition to the planning and analysis checklist, buddingULOs will be in a position to identify areas for improvement,growth and training. Audit results should subsequently support theproduction of an action plan which can be taken forward in linewith a strategic and business plan for the organisation.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 59 of 143
  60. 60. Appendix 1.Fusion Partner policies – exampleLiving OptionsLeave PolicyMaternity Pay & Leave PolicyPaternity PayAdoption Leave & PayParental Leave PolicyDependant Leave Policy & Procedure StatementCompassionate LeaveFlexible working hoursAppearance and dress codeThe use of mobile phones whilst drivingNo smoking policy in the workplaceSickness AbsenceRetirement PolicyEquality and Diversity StrategyDisciplinary ProcedureGrievance ProcedureHarassment policy and procedureRecruitment and Selection GuidelinesAppraisal and Development PlanningWorking with Children and Vulnerable Adults PolicyLone Working PolicyCompliments and Complaints ProcedureLay-off/Redundancy GuidelinesMobile phone, email and internet policyData Protection PolicyConfidentiality PolicyVolunteer PolicyCRB PolicyAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 60 of 143
  61. 61. WestbankAbsence PolicyChild Protection PolicyComplaints procedureConfidentiality PolicyEqual Opportunities PolicyFire Safety PolicyGrievance & Disciplinary procedureHealth & Safety PolicyInduction PolicyInformation Security for staff PolicyInformation Security for Volunteers PolicyI.T PolicyLone Working Policy & ProceduresMinibus PolicyProbationary Reviews, Supervision & Appraisals PolicySmoking PolicyAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 61 of 143
  62. 62. Appendix 2.Planning and Analysis ChecklistUse this checklist to audit your organisation. Where you haveticked ‘No’ or ‘In Part’, please refer to the Business Toolkit to guideyou in setting up the necessary policies or procedures. There areno right or wrong answers to the questions; it is the intention thatcompletion of the checklist will highlight areas needingimplementation and/or improvement. Governance InDo you have:- Yes No PartA trustee board/committee of which 75% ormore have a disability or are carers?An agreed organisational structure which isrecognised by all staff, users and trustees?Comprehensive person specifications fororganisation employees and trustees?A membership association?An agreed plan, which is fully inclusive, tosupport and grow your membership?An Equality Policy?Is equality embedded in all your organisation’spolicies – i.e. have you equality proofed yourpolicies?Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 62 of 143
  63. 63. Yes No In PartDo you have an equality champion?Have you sought to ensure that membership ofyour trustee board and staff is representative ofthe community you support?Do you abide by relevant legislation?i.e. Charity Commission Company Limited by Guarantee Social Enterprise Legally Constituted Body Strategy and Planning InDo you have:- Yes No PartAn operational plan for each area of work inyour organisation?A user-led 3 or 5 year business strategy/plan inplace?A strategy in place to network with public sectorbodies and voluntary sector organisations?A checklist of required policies for development?An agreed process for policy implementationwithin your organisation?Are you aware of key personnel external to yourorganisation?Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 63 of 143
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  65. 65. Risk In Yes No partContracting:Is entering into contract work part of yourbusiness strategy?Have you tendered for work with a publicauthority or other large organisation before?Do you have a process for appraising theimplications of entering into contract work?Have you a process for undertaking a costbenefit analysis of preparing and submittingevery bid?Do you have the expertise or access to relevantexpertise to put together a feasible businesscase with realistic costings?When considering an individual proposal, haveyou undertaken the necessary research toensure you are pitching it at the right price?Do you have an exit strategy in place withinyour business case to include workforce issuesand long term financial planning? In Yes No PartConsortium working in relation to contractwork:Do you have the necessary agreements anddocumentation in place to ensureAudit Toolkit June 2009 Version 1Are You Ready for Business? Business all partnersare aware of their roles and responsibilities? Page 65 of 143Does your agreement include an establishedprocedure to address a breakdown of
  66. 66. Financial management In Yes No PartDo you have a finance manager (or access tosuch expertise)?Are you aware of relevant financial legislationand regulation governing your organisation andits practices?Do you have standardised and agreed processesfor ensuring financial planning and budgeting?Do you have standardised and agreed financialfunctions and recording processes?Do you know where to seek funding?Do you have the necessary expertise (or accessto such) to prepare and negotiate funding bidsand tenders? Organisational Management In Yes No PartDo you have policies and proceduresincorporating up to date legislation andregulation for your organisation?Do you have quality and performancemanagement systems in place within yourorganisation?Do you have an established model of servicedelivery to ensure an effective and efficientservice?Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 66 of 143
  67. 67. Do you have a process for assessing, providingand maintaining the suitability of your ITsystems?Do you inform all staff, trustees and serviceusers of their responsibilities in line with theorganisation’s equality policy?Do all line managers respond to the diverseneeds of the workforce appropriately and in linewith the equality policy?Do you have training in place to support this?Do you have a HR manager (or access to suchexpertise)? Partnership working In Yes No PartAre you aware of the different models ofpartnership working?Are you aware of the benefits of partnershipworking?Do you know the processes required in order tobuild and work within a successful partnership?Do you have strategies in place to influenceothers to contribute effectively to yourpartnership work?Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 67 of 143
  68. 68. Are you aware of the requirements in order tomaintain a successful partnership? Marketing In Yes No PartDo you have a Corporate Image?Do you have a Mission Statement?Have you identified a suitable marketingconsultant and/or organisation/s to promoteyour services/work?Do you have a website?Do you have leaflets and information about yourorganisation (and in accessible formats)?Have you established links with otherorganisations?Do you actively seek network membership oraffiliation?Additional areas for development not highlighted in checklist:-Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 68 of 143
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  70. 70. Appendix 3.Example Terms of Reference1. Name of sub group:2. Purpose of the sub group: (to advise on…….; to scrutinise…….; to monitor……….; to report to……..; to decide…………; etc.)3. Powers: (e.g. what decisions should be left to staff/what decisions should the Sub group make/what should be referred to the Board/Management Committee)4. Reporting to the Board: (who, how, what on)5. Lead Board member:6. Lead staff member:7. Quorum: (e.g. 2 Board members, one staff)8. Frequency/timing of meetings: (midway between Board meetings/monthly/etc)Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 70 of 143
  71. 71. Appendix 4.Planning and Analysis toolUser-led organisations will raise the bulk of their income fromdonations, grants and contracts and are in the business of selling aservice or services, competing in a market in reality. Businessplanning must address the nature of that market, future trendsand the organisation’s position in the market.A PEST analysis looks at the Political, Economic, Social andTechnological factors that have a bearing (or might do) on theorganisation. This is best done in a facilitated open discussiongroup, where creative and analytical ideas can be generated.The SWOT analysis is often linked to the PEST analysis. This is abrainstorming exercise in which points under the following fourheadings are listed and evaluated: Strengths and Weaknesses, theOpportunities to the organisation and the potential Threats thatthere may be. A table is often used –Strengths Weaknesses- -- -- -- -Opportunities Threats- -- -- -- -The SWOT analysis helps to outline the directions the organisationcan follow, what obstacles it needs to overcome and whatopportunities it wants to exploit and make priorities which canthen inform corporate objectives in the plan.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 71 of 143

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