Are You Ready for Business? DPULO toolkit

Are You Ready for Business?© Fusion 2009

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

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

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

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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

- 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

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

Partnership Agreement Template

DATE Enter date (1) [Parties involved] (2) [Parties involved] (3) [Parties involved] ______________________________ Consortium Agreement Relating to ““ ______________________________

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Business Audit Toolkit An audit toolkit to support the businessdevelopment skills and capacity of User Led Organisations.

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

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

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

• 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

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

• 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

• 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

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

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

• 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

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

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

• 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

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

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

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

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

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

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

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

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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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

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

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

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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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

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

SMART TARGETS are used to describe a framework to analyse thepracticality and achievability of targets, it is also useful whensetting targets:- • Specific – avoid a vague, all-embracing wish list. • Measurable – how can you tell if you’ve achieved them? • Agreed – within the organisation, with stakeholders and funders. • Realistic – can they be achieved? • Time-framed – by when?Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 72 of 143

Appendix 5Equality and DiversityIt is against the law for a company to discriminate againstanyone on the grounds of race, colour, nationality, ethnic origin,gender, marital status, disability, religion, age, or sexualorientation. Similarly if your employees discriminate against acolleague or customer your organisation could be held vicariouslyliable for their acts, and be responsible for paying thecompensation or damages to the victim of the discrimination.An Equal Opportunities Policy (also called an Equality andDiversity Policy) should be written in accordance with currentbest practice. If a company can prove that it has done all that wasreasonable to prevent discriminatory acts from occurring then itsliability can be reduced or entirely eliminated. Having an equalopportunities policy, and appraising all staff of its existence isone of the things that a reasonable employer should do.An Equal Opportunities and Diversity Policy may contain thefollowing sections:1. Policy Statement2. Objectives of this Policy3. Designated Officer4. Definition of Discrimination5. Types of Discrimination6. Unlawful Reasons for Discrimination7. Reasonable Adjustments8. Responsibility for the Implementation of the Policy9. Acting on Discriminatory Behaviour10. Advice and Support on Discrimination11. The Extent of the PolicyThe Policy should relate to: • StaffAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 73 of 143

• Clients • Public • Other organisationsEquality and Diversity should be embedded within all policies of anorganisation and at all levels.Related documents/policies may include:- • Recruitment and selection policy and procedures incl. job application forms and guidance notes, interview guidance notes • Employment policy incl. sickness policy • Health and Safety Policy including Risk assessment forms • Harassment and bullying policy • Disciplinary policy and procedures • Grievance procedure • Data protection policy • Lone working policy • Vulnerable adults policy • Staff handbook • Induction feedback form • Equality monitoring form • Staff appraisal guidance notes • Retirement letters • Action plans (e.g. disability, race, gender)The Meaning of Equal Opportunities (source – Rajwant BainsConsultancy 2008)In ensuring Equality and Diversity is understood within yourorganisation it may be helpful to consider the ‘meaning of EqualOpportunities’.We use the term equal opportunities all the time both within ourworkplace as well as within wider society without necessarily beingclear as to how we are using the term. This could lead to the termbecoming hollow and having no real meaning other than that it isAre You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 74 of 143

a ‘good thing’. However, it is important to define what we mean bythis, as the way we define something will determine what courseof action we take.A model of Equal Opportunities that is helpful in developing ourunderstanding is one that defines it in terms of:  Equal Treatment Passive  Equal Access   Equal Share ActiveThe notion of Equal Treatment sees equal opportunity asessentially passive and assumes that so long as no onedeliberately discriminates unfairly against another person there isequal opportunity in society. The model assumes that if everyoneis treated alike, and if they are, then there is no discrimination andconsequently there is equality of opportunity. Under this modelideally there should be taken to ensure that there is no deliberateunfair discrimination against specific individuals or groups.The notion of Equal Access assumes that the elimination ofunfavourable treatment at the point where people are consideredfor jobs, training etc is not sufficient where there are obstacleswhich prevent some groups reaching the point where they can beconsidered for the benefits. That is, there may be no intention todiscriminate in the conferring of benefits such as jobs etc. butthere may not be equal access to consideration of those benefits.The most active of the notions is that of Equal Share as itassumes that the previous two definitions i.e. absence ofunfavourable treatment, and the removal of unjustifiable obstaclesand entails more direct action and intervention to ensure trueequality of opportunity. Therefore, under this notion equalopportunity exists when the benefits of society are held in equalproportion by the groups, which make up that society.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 75 of 143

An understanding of the three definitions of Equal Opportunitiesenables us to consider the type of response we want to develop inimplementing equal opportunities – do we want to take just apassive approach or are we developing more active approachesthat are really going to impact positively on those experiencingdiscrimination. (Adapted by Carlis Douglas of DMTD from HackneyCouncil’s internal document on Equal Opportunities)Managing Diversity accepts that organisations consist of adiverse population of people – these differences are both visibleand non-visible including age, gender, race, background etc.Managing diversity is about valuing those differences.Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 76 of 143

Equal Diversity Opportunity • Externally • Internally initiated initiated • Legally driven • Business needs driven • Quantitative • Qualitative focus focus • Problem • Opportunity focused focused • Assumes • Assumes assimilation pluralism • Reactive • Proactive • Race, gender & • All differences disability(Adapted from Kandola and Fullerton’s ideas in Mosaic in Action).Are You Ready for Business? Business Audit Toolkit June 2009 Version 1 Page 77 of 143

Tender Section

AcronymsDTI: Department of Trade and IndustryICT: Information and Communication TechnologyIMT: Information, Management and TechnologyJSNA: Joint Strategic Needs AssessmentPSO: Public Service OrganisationsSME: Small and Medium EnterpriseTUPE: The Transfer of Undertakings (Protection of Employment) RegulationsVCO: Voluntary and Community Organisations

1 IntroductionResponding to tender and the subsequent process of submitting a bid can proveto be both complex and costly. Whilst there is much rhetoric in support ofcommissioning with the third sector (DH, 2008, 2009) and, in turn, ensuring amore fair and accessible system for tendering (DH, 2006), the process itself canbe daunting and discouraging.This section provides a short guide to tendering in the hope that it will supply astep-by-step process to smaller ULOs who are perhaps looking to expand therepertoire of services they offer but are inexperienced in formal tendering.Information has been taken from a wide variety of documents offering guidanceand support and supplemented with examples of bid work that Fusion hasundertaken. It is by no means a comprehensive guide to tendering, hence theinclusion of signposting to more detailed documentation and a Useful Linksappendix.Two example diagrams have been produced (see appendix 4) to provide anillustration of the tender process undertaken by a public sector organisation anda User Led Organisation.It is worth referencing work undertaken in Manchester to propose a ‘ManchesterModel’ for joint commissioning (Vaughan & Ainger, 2009). The resultant reportlooks at developing a commissioning model for Manchester which will overcomeinconsistency in commissioning processes used across public sector bodies,produce a standard methodology and take account of new national policyimperatives such as personalisation. The report provides good backgroundreading to this section and offers a good example of commissioning processes.

2 Hints and Tips: Researching tenders and making linksIn order to build your business knowledge, skills and capacity, it is advisable tofind out about your local authority, primary care trust and other potentialcommissioning bodies. In addition to obtaining key documents and strategies itis also advisable to begin raising your profile within your locality. Fosteringrelationships and seeking active partnerships takes time and needs to beundertaken much earlier than submitting a tender bid. You may find if yourorganisation is still in an embryonic stage that entering into a consortium withother, larger organisations, will help to give you the financial security andsustainability that will be looked for by commissioning bodies.This section provides a quick reference list of bullet points which are intendedas ‘hints and tips’ to point you in the right direction:- • Familiarise yourself with guidance issued by central and local government bodies. • Research and understand the political and service structures of your local authority. • Find out who leads/manages council business. • Research the appropriate council’s political and service structures through its website or the Town Hall – some may be set out in a regular newspaper for residents. • Search council web sites for procurement pages or visit Town Hall or the library: is there a list of contracts published or is one planned? • Obtain key strategic documents, e.g. Strategic Plan, Corporate Plan, Joint Strategic Needs Assessment (JSNA), and consider how you could assist in delivering the priorities contained in these documents. Use information available via the web such as Census data, ward level data, population trends, consultation results etc. This includes information held on central Government and local Government websites. • Check the magazines in your business sector for news and events.

• Who is in charge politically– an executive in the cabinet or a committee chair? • Check which decisions are delegated to senior management – does the local authority have a service director? • Who has responsibility for day to day management? • Don’t be shy of making enquiries to public sector bodies about available contracts. • Ask early on if the authority may waive some criteria used in pre tender assessments of prospective contractors to support small scale or ‘start-up’ enterprises. • Talk to the commissioning organisation at the earliest possible stage, even if they have not given any indication that they are going to commission services that you may be interested in.. • Make an appointment with the most senior person in the organisation who has responsibility for a service you are interested in bidding for. This may be the service manager, director, contracts manager, commissioning manager or client manager. Don’t assume they know about your organisation. • Find out what new services are likely to be commissioned in the near future, as well as longer-term plans, including existing contracts due for renewal. Share what you think you can offer as this may influence future plans. • Get hold of information about the services you would like to deliver. E.g. relevant local strategies or plans, budget information, the outcomes of any audits, reviews or inspections. Much of this is available from an organisation’s website. • If you have a reputation for constructive input into dialogue it could help get you invitations to key meetings about services.

• Ask whether there is a particular priority emerging in the service delivery or are there specific challenges to be tackled in future contracts?• Understanding the client’s objectives/problems and delivering solutions that require minimal effort from the client is a key component to an organisation’s credibility and success.• Where there is no track record for a particular service, suggest that you help them pilot your service delivery approach.• Without the capability for ICT your enterprise may lose out. Remember that support with ICT in your business is available from the Government’s Small Business Service, which can arrange ICT advice for small enterprises.• You may wish to use the Freedom of Information Act to request data- this supplies UK government legislation defining what information public sector organisations are obliged to provide on request.• It is advisable to become familiar with your local Compact Agreement. The Compact is an agreement between government and the voluntary and community sector in England. It recognises shared values, principles and commitments and sets out guidelines for how both parties should work together (www.thecompact.org.uk).• E-Trading The development of electronic trading has the potential to alter access to contracts and their documentation, and to change methods of bidding. The Government is committed to supporting and encouraging the development of internet-based methods of placing contracts as part of its goal to get public services familiar with modern information and communications technology (ICT). This links to the local government online (LGOL) project.• Get familiar with modern information and communications technology and consider training for e-trading.

• Find out if the commissioning organisation operates any minimum standards for working with external organisations. This is often set out in a ‘pre-tender qualification questionnaire’ or ‘minimum requirements for funding’ document. There may also be specific requirements for certain types of services, e.g. a requirement to hold a certain accreditation or quality assurance standard, or minimum training levels of staff. • Check if stakeholders are invited to become involved (how and when) in any public service review process. • Identify your organisation’s strengths, and unique selling points to demonstrate that you are more likely to secure the outcomes for the organisation rather than the competition. • Maintain regular contact with key officers or key stakeholders. • Make use of any examples or case studies of similar service delivery.Undertaking Research Prior to TenderThe Fusion consortium in Devon undertook research last year in the knowledgethat the local county council was preparing to release a large tender for theexternalisation of a Direct Payment Support Service. We produced a reportwhich was invaluable in providing information in order to understand theexisting provision of direct payment support within and external to the county ofDevon.It is worth considering undertaking research for larger tenders and you maywish to include the following headings in a research report:- • Context National scene setting and explanation of service • Local Picture History within the locality including any recent improvements/significant events

• Competition Research on who else might be bidding for the service • Best practice Research of other services (or other bodies) which you deem to be good practice • Recommendations for your bid/service Bullet pointed outline of key elements of the service you would wish to provide3 To Bid Or Not To BidThe decision to put in a bid should be thought about carefully and it is advisableto weigh up the pros and cons about whether to tender for a piece work. Do notrush into bidding just because you are afraid of missing out on opportunities! Ifyou bid, your offer might become part of a contractual agreement if accepted,so again, think carefully. Your organisation needs to consider the potentialimpact on mission, objectives and capacity. It is important that any potentialcontract fits tightly with your organisation’s aims, objectives and purpose. • Give real thought to the prequalification stage of the tender process, which provides an opportunity to take a step back and examine your policies. • Find out as much as you can about the commissioner’s objectives and requirements. If there’s anything you do not understand about the tender process, do not be afraid to ask the commissioner directly. • Partnership working has pros and cons. Consider these and set up potential partnerships well in advance of the tendering process. • Follow all the rules of the process scrupulously. Getting minor details wrong can disqualify you. Prepare carefully for every stage. • Remember that your tender documents may form part of the contract. There may be no further opportunity to renegotiate what you have submitted, so get it right first time.You can use the list below as a guide to help decide on what contracts are rightfor particular Voluntary and Community Organisations (VCOs).Mission and objectives

• Do your governing documents allow you to undertake this work? • Does the piece of work fall within your aims and objectives? • Does the piece of work fit with your business plan and strategy? • Is the scope and level of service required understood? • What do you want from the contract opportunity? • Is there wider involvement to consider in areas of special interest, i.e. o Enhancing your reputation? o Contributions towards financial overheads? o Balanced workload and stability of service provision for users? • Will the contract enhance or detract from other areas of your work? • Do you have relevant experience in:- o Client group? o Geography? o Type of work? • Is there capacity to deliver through the whole life of the contract? • Is there capacity to prepare and submit a winning offer? • Are there any risks that could damage your organisation if badly managed? • Are all the clauses in the proposed contract acceptable to your organisation?Capacity • Do you have, or can you develop, the capacity and infrastructure to deliver the service? • What operational capacity is needed to meet the contract requirements? • How much capacity will the opportunity absorb? • How many suitable current staff could be assigned? • Will you have to recruit more staff or volunteers? What additional training and development would be required? Is there scope for collaborative working with others? • Will TUPE (staff transfer) be involved if you win the contract and what are the associated risks? • How firm is the contractual commitment to the volume of work? • Is the time that will be spent in submitting a tender worth it? Consider the contract value, the overall value to your organisation, and your likelihood of winning the contract.

If you are not sure about some of the answers you came up with for the abovequestions, you should take advice and think carefully before bidding.Large tendersTenders awarding a substantial contract will, in most cases, be complex andlengthy. In addition to the above it is worth putting additional measures inplace should the decision be made to bid:- • Perform a thorough risk assessment in relation to the bid. • Draft and produce a contingency plan. • Write a Project Initiation Document for the tender process including:- o Planning of workforce management. o Time scales and submission stages. o Day to day operations. • Seek legal advice on documentation if necessary.

Case study:Reflection on the Fusion bid submission for the Devon Direct PaymentsServiceFollowing submission of the Fusion Direct Payment Support Service bid, areflection was written in order to highlight the benefits and concernsexperienced by Fusion. It is hoped that this case study will also raiseawareness of the need to radicalise commissioning with the third sectorresulting in a more equitable bidding process.IntroductionSubstantial pieces of work have been undertaken at the nationalGovernmental level to ensure fairer and more accessible commissioning ofthe third Sector to include ‘Third Sector Commissioning’ and ‘World ClassCommissioning’. Moreover, the need to encourage and foster thedevelopment of User-Led Organisations (ULOs) in order to meet theneeds of disabled people and their carers is well known through keydocuments such as ‘Life Chances for Disabled People’. In turn, thebenefits of commissioning User-Led third Sector organisations have beenclearly outlined for Local Authorities through the recent circulars LAC (DH)(2008)1: Transforming Adult Social Care and LAC (DH)(2009)1:Transforming Adult Social Care. Given this rhetoric, it is useful to reflecton the process that Fusion underwent to prepare a bid submission for theDevon Direct Payments Service.The primary challenge of responding to tender is the commitmentrequired by the organisation in terms of resources and capacity to put thebid together. The tender process is complex and time-consuming whichtherefore leads to skilled personnel having to divert time from their ‘dayjob’ to prepare the bid submission. Capacity is already stretched withinthe Third Sector and this additional pressure has the potential to de-stabilise small organisations or lead to a decision not to bid for the workdue to lack of capacity.Tender Complexity is a related challenge, requiring a wide range of skillswithin the provider organisation in order to ensure a satisfactory bid

submission. It is often the case that professional skills required for bidsubmission e.g. for TUPE issues or complex Information Management &Technology are often beyond the remit of small organisations and rarelyhave a bearing on the ability or indeed the quality of service which theywould be able to provide should their bid be successful. ULOs have theskilled personnel necessary to provide good quality services which meetthe contract requirements and needs of individuals concerned and it is notnecessarily the case that these personnel have the skills required for thebid submission process. The Fusion bid required the following skills, priorexperience and knowledge: large contract negotiations, large bidsubmissions, Local Authority tender processes, partnership working,consortium management, workload delegation, bid writing, strategicpolicy/structure understanding, Direct Payments/personalisationknowledge, process mapping, service delivery design and modelling,User/Carer experience management, IM&T, finance, predictive modelling,risk assessment and high-level administration. The bureaucratisation ofcommissioning process demands such complex skills, policies andprocedures that it has the potential to change the very nature of the ThirdSector that currently enables its many advantages.ChallengesThe level of risk associated with providing the service being tenderedneeds to be carefully considered:When services include the need for large insurance bonds to cover therisks associated with Pension funds for example, it is possible that manysmall organisations will be unable to secure a bond and hence will not beable to submit a bid. Furthermore, those organisations able to secure abond still have to consider the risks associated with the possibility oflosing the bond in future years.Thought needs to be given to alternative means of managing risk i.e. ofensuring TUPE staff are appropriately supported to maintain their existingterms and conditions without this leading to the provider organisationhaving to bear a substantial amount of risk associated with this practice.The potential to be required to take existing County Council staff on theircurrent terms and conditions, under TUPE regulations, can also pose a

significant risk to smaller Third Sector organisations which do need to beweighed up carefully against the potential benefits of the contract. In ourexperience the complexity of the bid was in part due to this issue withover 100 County Council policies having to be adopted by the neworganisation- this involves a full risk assessment of each one-this assessment took 2 days work.A substantial amount of work (and associated time and resources) isrequired by the bidding organisation in order to assess the risk of (not)bidding for the contract and of being (un)successful in the bid.The commissioning process requires a high level of sophistication and anembedded understanding of the Third Sector and ULOs in particular, toenable equality and fairness throughout the tender process. Dueconsideration needs to be given to:Timescales – bearing in mind that a ULO will need to involve users at allstages in the bid development and submission process and this takestime;Information availability - as without key data and clear servicerequirements it is impossible to construct a feasible business plan withouta great deal of second-guessing and time-wasting and;The quality of the submission documents - to enable the organisation toshow the ‘value-added’ of ULO/Third Sector bids i.e. inclusion and suitableweighting of questions referring to such issues.Fusion was considerably hampered by unclear and at times conflictinginformation in the tender. Many points of clarification (of basic and criticalinformation) were requested through the tender portal and someresponses were given at a very late stage in the tender process.Furthermore, whilst the service specification was rooted in the rhetoric ofchoice and control and the value of peer support, the tenderdocumentation i.e. method statement and hence the evaluation of thecontract, appeared to reflect a lack of understanding of the added valueof the Third Sector.

Large-scale tenders are likely to lead to a Consortium bid from ThirdSector Organisations. Consortium working and bid preparation as aconsortium presents a number of challenges not least because differentorganisations are likely to be at different points in consortiumunderstanding and will have variable abilities, skills and experience.Furthermore, sharing work across a consortium means that only a fewpeople (normally from the lead organisation) have the whole picture andsometimes other partners can lack context.BenefitsWorking together in partnership when preparing a large bid has in thecase of Fusion, strengthened existing partnerships through learning abouteach other’s strengths and weaknesses.The network of ULOs across England is strong. There is a significantamount of expertise within the Third Sector and the ability to capitalise onthis as one of these ULOs is a distinct advantage. There are manyopportunities for ULOs to mentor and support other ULOs in bidpreparation and service delivery. Fusion was supported by EnfieldDisability Action and Essex Coalition of Disabled People in the preparationof the bid for the Devon Direct Payment Support Service.The involvement of key staff (across the Consortium) throughout the bidpreparation and submission has led to a significant level of learning,network development and confidence to submit future tenders of a similarnature.Summary and recommendationsFusion’s experience illustrates there is some way to go to overcome thecurrent disadvantages faced by Third Sector Organisations in general andULOs in particular when responding to the request for commissionedservices through the existing tender process. Fusion would like to suggestthat Local Authorities and other public sector providers consideralternative approaches to commissioning, either through a greater andmore flexible use of grants or through more innovative tendering

processes to include:Co-production and co-commissioning with a ULO to sub-contract theservices.Staged tendering process which reduces the risk of submitting suchcomplex and time-consuming bids i.e. the amount of work increases asyou get closer to winning the tender rather than the current ‘all ornothing’ process which requires that all potential providers commit thesame (and considerable) amount of work from the outset.A partnership approach is required of ULOs, Local Authorities, other publicsector commissioning bodies and the Department of Health to ensure thatan understanding of the value of the Third Sector in general, and ULOs inparticular, is embedded in all practices. Whilst government guidance andrelated evidence is currently available, they are not impacting positivelyenough. Transformation of approach will only occur through strongpartnerships between the public sector and ULOs via a co-productionroute, at all stages and in all parts of commissioning and operationsmanagement: from the research of need, through inception,development, delivery, monitoring and review.

4 Checklist of Information for Pre-Tender Questionnaire There are 3 different processes to bid for contracts • Open process - All potential contractors / suppliers can bid for a contract. • Restricted process - A two or three stage process allows only those potential contractors / suppliers who satisfy a number of criteria to be short listed and allowed to bid. • Negotiated process - Used for complex purchases. Careful consideration is given to the use of this process. In order to become a contractor you may be required to submit information on your organisation usually in the form of a pre-tender questionnaire or as part of an Invitation to Tender process. Tenders may be advertised in national journals, or the local or national press. All tenders above the EU threshold are advertised in the Official Journal of the European Union (OJEU). Occasionally a public sector organisation may advertise for an approved list of contractors / suppliers in a certain field of work. Contractors / suppliers must satisfy the selection criteria before being admitted onto the list. The following checklist is an indicative list of some of the expected documentation you may be required to provide as part of a pre-tender questionnaire. Evidently all tenders are different and will, therefore, require diverse amounts and type of information. Please use the format of the table as a suggested framework which you can then populate with data according to the needs of the pre-tender questionnaire or Invitation to Tender you are about to complete.

Checklist for Due date Ready for submission?information andpre tender3 years’ annualaccountsEvidence of companylegal entityInsurance of publicliabilityC.Vs of directors andmanagersCustomer servicerecords andproceduresDetails of racerelation actcomplianceEqual opportunitiesrecordQuality managementsystemAccident bookrecordsEnvironmentalmanagement systemInformationmanagement andtechnology (IM&T)References fromother similar publicsector bodies

5 BiddingIf your organisation is successful in its submission of a pre-tenderquestionnaire or Invitation to Tender the next stage is to complete andsubmit a comprehensive bid. Note the points below prior to starting towrite your bid:-  Make sure you leave plenty of time for writing and submitting the tender. There are often unexpected problems, so allow more time than you think you will need.  Check that you can meet the principal requirements and that you will have the necessary resources at your disposal to fulfill the contract, if successful.  Note the duration of the contract. It is becoming standard in the public sector to award two or three year contracts, and three to five year contracts are fairly standard with utilities.  Read all of the documentation carefully and note the key points that you must act upon.  When you receive the tender invitation documentation you may wish to compile a checklist of all items you will need to provide in your bid.  Use the checklist (see example) before finalising your bid and submitting it. You should designate someone in your company to take overall responsibility for compilation of the tender. Individual aspects can also be allocated to appropriate staff, for instance, financial figures to the accounts team, and so on. Ensure that the nominated person will not be away at the time the tender needs to be submitted.  Commissioners are generally obliged to give you information on how they score tenders, but they don’t always send this out.

 If not provided, ask for a guide to the proportional split between quality and price, and research issues that may affect what is wanted – e.g. budget constraints or customer wishes.  Make sure you know your real and full costs of delivering a service. (See section 6 - Setting up your Costs).  Be prepared to explain your purpose and values as an organisation and how this can bring advantages in the delivery of public services.  Can you make a fully realistic bid describing the methods you will use, to deliver the contract, meeting users’ needs and the public body’s requirements?Key issues to be aware of:Value for moneyValue for money often means the lowest price, as long as the contractordelivers the right quality and performance. But sometimes it can meanadding value by offering more than the Public Sector Organisation (PSO)asked for, even if the price is a little higher. For example, you may beable to demonstrate that your solution will bring savings elsewhere, orthat you will create improvements in things like equality of opportunity,inclusion, and a focus on community and individual needs.Affordability and sustainabilityPSOs are under pressure to become more efficient, which means makingthe money go further. Sometimes this means reducing costs, at othertimes it means finding new and smarter ways to deliver services. PSOswill look at what a service will cost over the entire life of the contract,including any costs associated with the end of the contract such astransfer payments for assets and far from accepting annual increases inline with inflation they may well insist on cost reductions each year.Voluntary Community Organisations (VCOs) may need to commit totraining and development programmes or to delivering improvedperformance over the contract period.

Services must also be sustainable. VCOs have to think about how theycan give the PSO confidence in their ability to develop, resource anddeliver a service over the whole life of the contract; for example, showinghow they would change or adapt services to meet changing demands,needs and legislative requirements.Building a caseOnce your organisation has decided to bid for a contract you need towrite a proposal. This may need to conform to a structure or applicationform laid down by the PSO.As a prelude to this, you need to build a ‘business case’ outlining why youshould provide a particular service, considering all the associated risksand impacts. This is not only about preparing a case to sell the service tothe purchaser, but also to help establish amongst all your stakeholdersthat providing the service is right for your organisation.A business case demonstrates benefits, assesses risks and how they willbe managed, quantifies impact on resources, and sets out the advantagesand disadvantages of doing a particular action in relation to statedobjectives. A business case should be sufficiently detailed to confirm thedecision to proceed, identifying unique advantage. Successful casesensure that there is a good fit between an organisation’s own purposeand objectives and what the PSO is trying to deliver.You may wish to consider structuring your business case to include thefollowing sections:-Section ContentYour ULO Background Vision and aspirations Governance arrangements Outline of partners Statement of commitment to equalitiesStrategic context relevant to service Government policies and legislation

Section Content Local policies, priorities and future requirements Evidence base for proposed service Putting it into practiceOutline of proposed service Overview of service Cultural approach within the strategic context User-led aims and aspirations Service objectives Outputs Scope Service Delivery method Risks and Barriers with solutionsFinancial plan Staffing costs Cost benefit analysis Other costs Best value VAT status Costs to users Day-to-day financial management AuditManagement and staffing Management Structure chart Staffing Job Descriptions and Person Specifications Learning and development Workforce planning Workforce managementPartnership working Partnership arrangements Business continuity arrangements Organisational profile and experience Strengths and Weaknesses, Opportunities and Threats (SWOT) analysis Further services and innovation

Section ContentReduction and management of risk Risk analysis and assessmentQuality assurance and monitoring Monitoring to achieve the targets Quality assurance system Project Management Ensuring quality of service throughout Project Management How to monitor the progress of the Service Positively managing change Records of people, actions and activitiesInformation security and Compliance with Data Protectionconfidentiality Act 1998 Data security measures Staff training and awarenessIT systems and management Operating systemsinformation Customer Relationship Management (CRM) Internal interfacesEvaluation When and how the key elements of the Business Plan will be reviewed and monitoredSustainability A summary of actions that minimise or mitigate adverse impacts and enable optimum positive benefits to be realised. This may include a full appraisal detailing key environmental, social and economic impacts.Exit strategy When the contract comes to an end it is important to work closely with the new provider to ensure that there is a smooth, seamless transition period. This is to ensure that service users experience as

Section Content little disruption as possible, and that staff are supported throughout the transition periodAn assessment of strengths and weaknesses will allow your organisationto emphasise its unique selling points, whether they are experience,quality of staff, or familiarity with client groups. As a user-ledorganisation the views and opinions of your constituents forms animportant part of this process. Consider facilitating focus groups toguarantee their involvement. Within the tender proposal you should aimto manage the presentation of strengths such that they fit the client’sidea of what is required. The ‘invitation to tender’ will specify the servicerequired and say what criteria the purchaser will use to decide betweenthe different bids. Finding a unique competitive advantage will helpstrengthen your chances of success.Working as a consortium may be an option in order to submit a strongerand more financially robust bid. It is worth finding out whether thetendering body agrees to consider joint or consortium bids if they meetthe service goals for the contract. You should in addition:- o Find out if potential partners are truly User Led and work to the same values and ethos as your own organisation. o Evaluate carefully what the purpose of collaboration might be, i.e. is it to win the contract, or to learn from others and gain a track record. o Consider the strengths and weaknesses of each partner and what they bring to the collaboration, will the benefits be equal or acceptable? o Consider whether collaboration will increase chances of winning a contract – due to price, skills, quality, or added value? o See if this will remove any obstacle to your organisation passing the fitness test’ in the pre-tender assessment.6 Setting Up Your Costs

It is important to note that the document you submit is likely to becomethe basis for a contract. You may not have the option to change anythingat a later date should your organisation be successful. Your costing,staffing levels, and details of what you will deliver must be thoughtthrough carefully, conservatively and with the proper approval. Very fewcommissioners base their tender evaluation on cost alone, but it is worthfinding out how much emphasis will be put on cost.There are several things to think about when costing a tender. Thecommissioner is likely to specify how you should break down yourfinances. This may be very simplistic, for example: • Front line staff costs • Management costs • OverheadsWork through your own process of costing the contract before completingthe Commissioner’s model. That way you will know that you havefactored in all your costs. Don’t forget the following: • Include all operational costs from daily or lifetime activity related to the contract, including any snagging costs (to deal with any problems or things that need time to settle in, such as when a service is overstaffed to start with due to uncertainties about exact requirements) and completion costs (to ensure the contract is completed to the client’s satisfaction); • Include occasional and routine costs from equipment, staff, management and facilities which can be attributed to the contract (though might be reduced if there were in future more contracts); o Client liaison costs, customer service matters, complaints, etc; o Every commitment you have made in your bid, which will form part of the contract. • If the tender is for more than one year, then remember to cost in any inflation in the costs of staff and suppliers.

• Explain any assumptions that you have made. That way, if the commissioner doesn’t agree with the assumption, they can challenge that, rather than the price. • It may be that you are requesting more than it actually costs you to deliver the service so that you can put a small surplus into your organisation’s reserves. This is a sensible approach, but make sure you explain it. • Remember, if your staff or office are funded by more than one project allocate the costing fairly across the different funders. • Be wary of using round numbers, for example saying that the pension contributions will be £3,000. Round numbers suggest that you’ve guessed rather than actually worked it out!Full Cost RecoveryThis model costs each service fully, including the relevant portion ofoverhead costs. It ensures that overhead costs are covered, and thateach project or service is costed fully. You may choose to subsidise a service initially to help you to appearmore competitive. If this is the case then you should know why you aredoing it, what it is actually costing, and how you will cover costs in thelong-term.You should outline the scope of any service and how you would provideit. This means checking that you can cover every aspect of thespecification. It is helpful to pull together an outline plan that shows whatresources will be used and how.Associated costs also need to be included to enable you to see the impactof the opportunity on existing operations and services. Maybe your

organisation will work in collaboration with others as for example in aconsortium.A practical tool to help VCOs to understand and calculate their costs andallocate them appropriately has been developed by New PhilanthropyCapital and ACEVO (Association of Chief Executives of VoluntaryOrganisations). The guide, Full Cost Recovery: A guide and toolkit on costallocation (2005), includes a cost allocation template to help organisationscalculate the full costs of their projects and services in an easy step-by-step process.http://www.fullcostrecovery.org.uk

7 Key Checklist for Tender PreparationClosing date□ Note the day, date and time by which the tender must be submitted□ Acknowledge receipt of the invitation to tender and advise that you intend to submit a bidAward criteria□ Note whether it is lowest price or most economically advantageoustender.□ If the latter, what are the factors involved?Company□ Information on company structure, management and organisation□ Details of shareholding(s)□ Details of personnel□ Details of current order bookFinancial information□ Turnover for the past two to three years (government guidance recommends two years)□ Most recent audited accounts□ Bank references□ Tax Clearance Certificate□ Guarantees and bondsTechnical information□ Details of IM&T (Information, Management and technology)Specification□ Do you understand the full requirements of the specification? If not, seek clarification□ What standards are quoted?□ Can you meet the requirements of the specification?

Health and safety□ Details of health and safety policy□ Details of accident records□ Environmental issuesQuality assurance□ Details of quality assuranceInsurance□ Ensure the appropriate insurance is in placePricing□ Structure the pricing as specified□ If tender pricing sheets are included complete in full and total the costsSign-Off: Don’t forget to sign all tender documents – unsigneddocuments will not be considered8 Award of ContractContract award noticeThe PSO will publish a contract award notice to notify the outcome of thetender. The notice will specify, amongst other things, details of thesuccessful tenderer and total price to be paid, although the latter is oftenwithheld on the ground that publication of the price would prejudicelegitimate commercial interests.The contract award may take some time from the date that yousubmitted your bid, especially for larger value contracts. You should beprovided with a timetable of the decision-making process. If you have notheard anything after some time, you should contact the PSO and get anindication of when the decision will be made.Notification letter

Before the contract has been concluded, you should receive a notificationletter from the PSO to whom you submitted your bid. It will give youdetails of:• The award criteria• Where appropriate, your evaluation score and the successful tenderer’s score• The name of the successful tenderer.Note though that the directives allow, and in some cases require, PSOsnot to publish certain confidential information. This is also subject to theFreedom of Information Act 2000, which may prevent the disclosure ofsome of the above information in the notification.Standstill periodThe UK government now requires all procurements subject to the full EUDirectives to include a standstill period of at least ten calendar daysbetween informing the tenderers about the award decision andconcluding the contract.Before, there was no obligation to inform participants of a decision priorto the conclusion of a contract, and only limited scope to challengeconcluded contracts by aggrieved or unsuccessful tenderers. The changemakes the rules comply with the EU Remedies Directive (see below).The standstill period does not apply to contracts below the EU thresholdor to contract awards outside the full scope of the directives, such as PartB Services contracts. It also need not apply to procurement processeswhere there is only one tenderer.Potential delayIf another bidder makes use of the standstill period to question the awarddecision, there may be a delay in concluding the contract arrangementsto enable you to commence. You should bear this point in mind in alltenders where these rules apply and consider having a ‘price inflationclause’ in the contract that will give you the opportunity to make changesto contract prices, especially where there is a substantial delay.

What EU Rules say about Standstill Periods.Within two working days of the start of the standstill period a bidder canrequest additional debriefing from the PSO.The PSO, due to the new standstill obligation, must provide the bidderwith such additional information at least three working days before theend of the standstill period.The time periods will start the day after the award decision is issued andmust end on a working day. PSOs will be required to take account of UKpublic holidays in calculating standstill time periods, and extend it whereappropriate.For more information on the standstill period go to www.ogc.gov.uk andwww.ipfprocurement.netWhen your bid is successfulFeedbackIt is always useful to find out why your bid was successful to be clearabout the award criteria and what the strong points of your offer were.For contracts above the EU threshold, the PSO must award a contract onthe basis of one of the following two award criteria (which it will state inthe contract notice):• Lowest price – feedback on the bids received or range of prices can behelpful• Most economically advantageous tender – it will be useful to requestfeedback on how you scored against each of the criteria when your bidwas evaluated.When your bid is unsuccessfulIf your bid is unsuccessful, you can write to the PSO to request adebriefing and feedback as to why your bid was unsuccessful. The PSO is

obliged to respond to you within 15 days of your written request,providing you with reasons why you were unsuccessful and, if you hadsubmitted a compliant tender, also the characteristics and relativeadvantages of the successful tenderer and the name of the successfultenderer.Although it is a requirement under EC Procurement directives for PSOs toprovide feedback, some PSOs may be uncomfortable about givingfeedback to you, fearing that anything they say can be used againstthem. However, if you have developed a good working relationship with aPSO you are likely to get more meaningful and constructive feedback.It is important to gather feedback from unsuccessful bids and analyse itas this may lead you to reassess and improve your approach for futurebids as well as determine your weaknesses and strengths.9 Delivering the ContractDelivering the contract is a serious undertaking; ensuring day by day thatservice and standard are delivered, and that deadlines and targets aremet.If you become a contractor you will have to satisfy the wishes of yourcustomer. Make sure your Board agrees who this is.Customer satisfactionYou should carry out your own customer service work, to ensure that youcan answer any questions from the client officer and that you canmaintain or increase the level and standard of service over the life of thecontract.Ensure you are on track to fulfill requirements and if there are problemsthen seek advice.Cashflow and targets

You will need to monitor your costs. In addition you will need to keep aclose watch over cash flow at all times. While agreed payment regimesare fixed once the contract starts you will need to make sure that themoney does arrive in the manner agreed.Take stock of the targets and any improvement requirements included inthe contract. Ensure you are on track to fulfil the requirements of thedescribed service. If at any time there are problems then do not put offseeking advice and help. Make sure that the relationship with the clientoffice is as effective as possibleFinally: make the most of your opportunity to deliver public contracts. Beproud to be meeting the needs of residents and service users – and to becontributing directly or indirectly to public service! Ensure the wholeworkforce and all your stakeholders (including suppliers, sub contractors,and supporters) are aware of this important contribution. Keep theminvolved and informed of progress and achievements and celebrate yoursuccesses and the way you are achieving your social and other goals too!

Appendix 1: GlossaryAccreditation: External recognition that you meet certain standards.This can be general (for example, your quality assurance system if youhave one), or specific to a particular activity such as aspects of healthcare.Added value: Features and benefits that you offer which exceed thespecification for the contract.Best Value: the performance framework for regulating local governmentand health services, which includes the need to consider whether servicesare being delivered in the most appropriate way, and by whom, and theneed to secure continuous improvement.Bid: A formal proposal to supply goods or services at a specified price,usually describing how the contract requirements will be met.Business case: A document setting out the information a managerneeds before deciding whether to support a proposed project, beforesignificant resources are committed to its development. The core of thebusiness case is an assessment of the costs and benefits of proceedingwith a project.Business unit: formerly known as DSO or direct service organisation– atrading unit within a council that delivers services or consultancy work ona similar basis to outside contractors. It is covered by legal requirementsto make a surplus.Charitable: In England and Wales, charitable purposes are defined asbeing:• The relief of financial hardship• The advancement of education• The advancement of religion• Certain other purposes for the benefit of the community.

Co-financing: A public sector intermediary body approved to act onbehalf of a government office. For example, Derbyshire Learning SkillsCouncil acts for the Government Office of the East Midlands and EastMidlands Objective 3 Monitoring Committee. The co-financingorganisation is responsible for setting priorities for the allocation ofEuropean Social Fund (ESF) resources within the framework of the EastMidlands regional development plan, and for managing the delivery ofESF supported activity.Contract: A binding agreement to perform a certain service or provide acertain product in exchange for valuable consideration, usually money.Contract notice: A notice published in OJEU, (see below) announcing apublic sector organisation’s intention to let a contract for specific goods orservices, and explaining the type of procurement process to be used.Contracting party: The leading organisations that have entered intocontractual obligations. If you have a contract with a PSO and you havesubcontracted some of the work to others, you are the contracting party,the sub-contractors are not.Contractor: Someone (a person or entity) who enters into a bindingagreement to perform a certain service or provide a certain product inexchange for valuable consideration, usually money.Costs: The money spent on resources to deliver the service.eAuction: A tendering process where bidders go online and bid againsteach other live to offer the lowest price. Bidders will already havesubmitted technical details of their offer and will only be allowed to bid aprice if their offer has met all the requirements.Efficiency: Getting more out of your resources, could be doing:• More with the same resources• More with fewer resources• The same with fewer resources.

Evaluation: The process of assessing each bidder’s tender so as to beable to select the best one.Feedback: Discussion with a PSO to find the reasons for success orfailure of a tender so as to learn how to respond effectively in future.Framework agreement: An arrangement where a purchaser selectssuppliers and fixes terms and prices for a period in advance (often threeyears), and then calls on the suppliers to deliver as and when required.Full cost recovery: Covering all the costs of providing a service,including a suitable proportion of overhead costs.Grant: Money provided by a PSO to support a particular activity. Grantsusually do not cover the entire cost of the activity. There will usually beconditions attached to the grant, and the voluntary and communityorganisation (VCO) can generally choose how to operate.Invitation to tender (ITT): A formal communication from a PSO to asupplier inviting it to submit a tender. The ITT will usually also include aspecification for the contract, instructions for submitting an acceptabletender, and the terms and conditions, which will govern the contract onceit is active.Lot: Some contracts are divided into a number of parcels of work (called“lots”) and suppliers are invited to state whether they are bidding for thewhole contract or just parts of it.Method statement: account of the procedures being proposed in aservice.OJEU: The Official Journal of the European Union, where all contractnotices must be published for tenders that fall within the Europeanprocurement laws.

Overheads: The indirect costs incurred in running a business. Theseinclude rent and rates, marketing and publicity, administrative andfinancial costs.Partnership: A cooperative relationship between people or groups whoagree to share responsibility for achieving some specific goal.Performance: Delivery of goods or services, judged against the standardspecified in a contract.Performance Bonds: Performance Bonds are typically required as aguarantee to the ultimate service provider (for example, the localauthority) in the event that the contractor fails to deliver– a bondprovides the public authority with a fund to rescue the service, which mayrequire immediate replacement. It has been possible for some socialenterprises to negotiate an alternative though you may need to pursuethis from an early stage in discussions about bidding.Pre-qualification: A questionnaire used by PSOs to check the suitabilityof suppliers and shortlist the ones they will invite to tender.Procurement: The process of buying goods and services.Procurement card: Like a credit or debit card, but for organisationsrather than individuals. It allows purchasers to order and pay for goodsand services in the same way.Public sector: The part of economic and administrative life that dealswith the delivery of goods and services by and for the government,whether national, regional or local.Public sector: A public organisation that provides or managesgovernment and public sector services.Purchasing: The buying of goods and services.

Quality: Fitness for purpose when judged against the standards specifiedin the contract.Quotation: A less formal (often non-competitive) written offer to supplygoods or services at a particular price.Request for tender: Same as invitation to tender.Resources: People, equipment, facilities, funding, or anything elserequired for the completion of an activity.Select list: A list of suppliers that a PSO has already assessed andaccepted as credible bidders for one or more services. If you are not onthe select list, you may not be eligible to bid for the work. Not all PSOsoperate select lists.Selection criteria: The factors that a PSO will take into account whendeciding which tender to accept. Usually some factors will count for morethan others.Service level: Like a contract, but often less formal, and not normallybinding in law. Often used between two PSOs, or between two differentparts of the same PSO. A local authority social services department mighthave SLAs with the legal department (to get advice) and with the directservices department (to provide domiciliary care).Specification: A description of the essential technical requirements forgoods or services to be delivered under a contract, including the methodfor checking that the requirements have been met.Sub-contractor: Someone (a person or entity) who signs a contract toperform part or all of the obligations of another’s contract.Sustainable: Capable of being maintained for the full duration of thecontract.

Two envelope: A tendering process where tenders are first evaluated ontechnical and quality factors. The purchaser will only look at a supplier’sprice (in the second envelope) if it is acceptable on those grounds.Unique selling point: A unique proposition that causes a PSO tochoose a particular supplier.

Appendix 2: Useful linksAssociation of Chief Executives of Voluntary Organisations(ACEVO)They connect, develop and represent the Third sectors leaders. Theyhave over 2000 members and have been providing support and advice totheir members for 20 years.www.acevo.org.uk.Audit CommissionThe Audit Commission’s job is to ensure that public services deliver valuefor money. It covers local government, housing, health, criminal justiceand fire and rescue services.www.audit-commission.gov.ukBusiness Information PublicationsBusiness Information Publications is a comprehensive source ofinformation and library of publications in relation to all centralgovernment procurement guidance and contact points, includes NationalHealth Service, EU Directive updates and some high level local authoritymaterial.www.bipsolutions.comBusiness LinkBusiness Link provides the information, advice and support you need tostart and maintain your business, and help it to grow. Whatever yourbusiness issues, they can put you in touch with the expert help you need.Advisers in your local area deliver the Business Link service and aresupported by a national website (www.businesslink.gov.uk) and anational phone line (0845 600 9 006).Chartered Institute of Purchasing and Supply- CIPSwww.cips.org.Commission for Racial EqualityFor guidance on race equality and procurement. www.cre.org.uk

Department for Children, Schools and FamiliesSupport Pack for the Joint Planning and CommissioningFrameworkInformation for any one seeking to tender for work including children’sservices.www.everychildmatters.gov.uk/resources-and-practice/IG00044/Department for Communities and Local GovernmentThis website provides key documents and references for implementationof the government’s National Procurement Strategy for Local Governmentwww.odpm.gov.ukDepartment of HealthProcurement and proposals. These pages provide information aboutpurchasing and tenders within DH and the NHS, and also serve as a guidefor submitting proposals; for research and development, and coverspublic private partnerships (PPP), whose two main areas are the privatefinance initiative (PFI) and NHS Local Improvement Finance Trust (LIFT).DirectgovA brief guide to finding more specialised government informationDirectories. In Directgovs Directories section you can browse or searchfor contact details and websites of many government organisations andpublic bodies.www.direct.gov.ukDTI regional (Department of Trade and Industry)Information on regions, including links to all the Government offices’,Regional Development Agencies’ and Devolved Administrations’ websites.www.dti.gov.uk/regions/index.htmFuturebuilders

If you are a voluntary or community organisation looking for finance tohelp you expand your services to the public, then Futurebuilders could bethe right fund for you. Its’ website has advice on finding a purchaser.www.futurebuilders-england.org.ukImprovement and Development Agency (I&DeA)The Improvement and Development Agency is the body promoting bestpractice in services development and delivery for local government inEngland and Wales. It works with elected members and localgovernment officers. Through the organisation’s website you can getaccess to publications such as Sustainable Procurement Guidance andother useful documents. www.idea.gov.uk/procurement.IPFIPF is the management support services company of the CharteredInstitute of Public Finance and Accountancy (CIPFA) and is the author ofthis guide. It provides comprehensive procurement related informationand is a valuable tool and resource for anyone who wants to access up-to-date information about current initiatives, toolkits, research anddevelopments in procurement, and the sharing of best practice.www.ipf.co.uk/ipfprocurement.netAlso www.cipfa.org.uk/shopLGAThe Local Government Association represents all the local authorities inEngland and Wales www.lga.gov.ukNational Council for Voluntary Organisations (NCVO)NCVO has set up links to sources of information and advice onprocurement through its Sustainable Funding Project’s microsite onearning and public sector delivery.www.ncvo-vol.org.uk/sfpNew Approaches to Public Procurement (NAPP)

The New Approaches to Public Procurement (NAPP) network of localauthorities aims to help participants address legal, policy and practiceissues that have up to now been obstacles to achieving communitybenefits through contracts, in particular by maximising training and jobopportunities for disadvantaged residents. The network enablesparticipants to share information on their policies and practice, andsupports them in developing pilot procurement projects to achievecommunity benefits. For further information, contact the NAPP secretariaton 0121 200 3242.NHSThe NHS holds events such as ‘Selling to the NHS’, ‘Meet the Buyer’ andnumerous industry specific conferences. Assistance is available throughthe NHS PASA Purchasing Helpdesk on 0118 980 884;www.pasa.nhs.uk/suppliers/OGCOGC has a small business service (for all small organisations)www.sbs.gov.uk and the new portal for low-value contract opportunitieswww.supplyinggovernment.gov.ukOfficial Journal of the European Union (OJEU, previously calledOJEC)Almost all public-sector contracts worth more than the value set in the EUprocurement directives must be published in the daily supplement toOJEU. This provides information on the current requirements and invitessuppliers to express an interest, or to tender directly in some cases,depending on the contract procedure. It also sets out information aboutcontracts that have been awarded.www.ojec.comPublictenders.netA site delivered by a private sector company, Public Technology Limited,providing up to date listings of public sector tenders across England.www.publictenders.netSmall Business Service

The Small Business Service offers a comprehensive service to SMEs(Small and Medium Enterprise). The website includes useful advice onsources of funding; regulations which can affect small businesses; adviceon exploiting innovation and improving efficiency, and a variety ofstatistics, papers and studies. 0845 600 9006; www.sbs.gov.ukSocial Enterprise CoalitionThe Social Enterprise Coalition (SEC) is an alliance of social enterprisesfrom across the UK. It aims to provide a national voice for the sector; topromote the sector; to build capacity through information sharing, and toencourage co-operation. 020 7968 4921. www.socialenterprise.org.ukSustainable Funding ProjectProject run by the National Council for Voluntary Organisations.www.ncvo-sfp.org.ukSupply2.gov.ukSupply2.gov.uk is a government-backed service designed specifically togive companies easy access to lower-value contract opportunities(typically worth under GBP100,000) offered by the public sector. Thisportal brings buyers and suppliers together and aims to be the first portalof call for lower-value business opportunities.Tenders electronic daily (TED)Tenders which have a total value which is above the threshold arepublished in the Official Journal of the European Union and can be foundon Tenders Electronic Daily. This is published six days per week and canbe found atwww.tendermatch.co.uk

Appendix 3: BibliographyInformation compiled from:-• ACEVO (2005): Full Cost Recovery: A guide and toolkit on cost allocation http://www.fullcostrecovery.org.uk/main/fcr_toolkit.php• Charities Aid Foundation (2006): Introductory pack to trading. Finance Hub http://www.financehub.org.uk/projects/procurement/default.aspa• Charities Aid Foundation (2006): Introductory Pack on Funding and Finance Guide to Procurement and Contracting. Finance Hub http://www.financehub.org.uk/projects/procurement/default.aspa• Charities Aid Foundation (2007): Tools for Procurement and Contracting: Funding and Finance Toolkit 3. Finance Hub http://www.financehub.org.uk/projects/procurement/default.aspa• Charities Aid Foundation (2008): Impact Briefing: Putting impact at the heart of the tendering process. Finance hub http://www.financehub.org.uk/projects/procurement/default.aspa• Charities Aid Foundation (2008): Tendering and Bidding Briefing: Give your tender a winning chance. Finance Hub http://www.financehub.org.uk/projects/procurement/default.aspa• Charities Aid Foundation (2008) Tendering and negotiating: Finance Hub. http://www.financehub.org.uk/selling_goods_and_services/tenderinga ndnegotiating/resources.aspa• Social enterprise unit DTI (2003): Procurement Tool kit for social enterprise.

http://www.cabinetoffice.gov.uk/media/cabinetoffice/third_sector/asse ts/toolkitforsocialenterprise.pdf• Whiter. R et al (2006): Before signing on the dotted line all you need to know about procuring public sector Institute of Public Finance contracts http://www.ncvo- vol.org.uk/uploadedFiles/Sustainable_Funding/Publications/Procureme nt_Guide.pdf

Appendix 4 : Tender Process maps

Map 1: Public Procurement Project Initiation Bid Continue contract (PID) or re-commission Engage service users and providers in design of the serviceDecide on core Requirements Monitor and evaluate theSet standards and objectives contract’s results over for service requirement time Review progress towards outcomes and value created to service, Council & public sector Develop a pre -qualificationquestionnaire , also focusing on Start the contract outcomes Focus the specification on outcomes and incorporate the council’s corporate level goals (e.g. from community strategy). Involve users here! Write the invitation to tender Develop a way to track resultswith final service specifications over time with the provider and schedules Relate ongoing tracking of results to value created by provider activity for the council (both financial anD Other) Appoint theEvaluation of pre-qualification Build outcome service provider questionnaire framework in to tender schedules and award criteria Assessment of technical and financial ability to provide Interview and service, requirements and select the contractor standards Public procurement Adapted from Finance hubImpact Briefing Putting impact at the heart ofhe tendering process : : t . www.financehub.org.uk Accessed on line 12th may 2009

Map 2: Organisation: Process map to tender Review progress towards outcomes and Research and understand value created to service, Council & public sector Contract continues or is being service structures of councils re-commissionned and research literature for bids Engage in discussion with commissioners, share your thoughts and what you can offer as a way to influence the scope of the service Get hold of strategic plans , and Monitor and evaluate the consider how their priorities link contract’s results over with the aims and objectives of time your organisation Keep in contact with commissioning bodies Identify the strengths and weakness of your organisation Start the contract and the uniqueness of the service it could/does provide Start gathering information which could be used for this tender or for a later one (see checklist ) be prepared. Invitation to tender advertised Work in collaboration with Possible pre tender commissioner to establish a questionnaire . Do you want to recording , assessment and bid? If yes see check list Relate the results to aim reviewing tool . Set in place last information for pre tender . and objectives as well as details. added value Ask for the tendering scoring The document you mechanism that is to be used . submit might become Make sure you leave plenty of the basis for a time for writing and submitting . contract and difficult Service provided appointed Keep all information on to change at a later date. Make sure you electronic format for quick have your costs right editing. Think ahead . Key issues to consider: -Value for money -Affordability and sustainability , -Added value to service When invited to fully bid for the Interview and selection of the tender , build a business case . contractor. Emphasise your Write a detailed proposal expertise and your ability to explaining why the service is provide the service , your right for the organisation , and capacity to grow and adapt . values, aims and objectives shared by commissionner and your organisation Organisation: process map to tenderAre you Ready for Business? Tender Section ` June 2009 Version 1 Page 125 of 143

Appendices for‘Are you Ready for Business?’ pack

Appendix 1: Partnership Agreement Example (Project based example providing an initial agreement when partners firstcome together to build the foundations of a consortium and establish shared values)

Contents1. Purpose of the Agreement Page 1272. Objectives Page 1273. Partners individual vision, mission and values Page 1294. Benefits of collaboration Page 1315. Duration Page 1326. Operational structure and accountability Page 1337. Delivering the Agreement Page 134

1. Purpose of the Agreement. 1.1 Living Options Devon (LOD), Westbank and SURF have been successful in a bid to be one of 12 pilot Action and Learning Sites who are to receive funding from the Department of Health in order to provide a minimum set of services for a fully functional User Led Organisation. We wish to ensure that through our cooperation we will support disabled people and carers to have more support and control over their lives; empowering constituents and service users. 1.2 The purpose of this agreement is to set out how LOD, Westbank and SURF will work together, how we will achieve the design criteria as set out by the Department of Health, and how this relationship is managed. 1.3 This agreement provides a basis for working relationships in order to fulfil the primary objectives identified in the ‘Framework for User-led Organisations Action and Learning Sites’ (DH, 2007). 2. Objectives. In particular, the scope of the project intends to: • Establish a Devon-wide Consortium of three user-led organisations (LOD, SURF and Westbank). • Evaluate broadening Consortium membership and widening the constituency base to include Physical and Sensory Disability, Learning Disability, Mental Health and Older people. This will include the involvement of carers for each group.Are you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 129 of 143

This will be realised by achieving the following objectives:- Objective 1 – Making Links To establish a Devon-wide Consortium of three user-led organisations; broadening the group of people we work with either directly or via establishing links with other agencies. To set up working relationships with local networks and organisations who may work with a different constituency base. To identify how networks can best be used to achieve cohesion across all user groups. Objective 2 – Promote Independent Living To develop the Consortium’s services and wider work to promote independent living. Both constituents and stakeholders will have a greater understanding of why the concept of independent living is important and how it will shape the Consortium’s work. We will carry out an audit to review how current work fits with the concept of independent living and develop services accordingly. Objective 3 – Promote people’s human and other legal rights To develop an understanding of people’s human and other legal rights. We will audit the Consortium’s services to see how its’ work incorporates/relates to people’s human and other legal rights and develop a toolkit to ensure rights are embedded within all processes across the Consortium. Objective 4 – Recognise that carers have their own needs and requirements. The Consortium will develop work to address the needs and requirements of carers. We will explore ways of focusing on the common and different perspectives of carers, disabled people and other people who use support. We will build upon areas of commonality where the Consortium can speak as one voice regarding carers and in turn seek to develop servicesAre you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 130 of 143

holistically, i.e. so the needs of carers are considered by disability organisations and the needs of disabled people are part of the work of Carers Plus. 3. Partners’ individual vision/mission/values. Living Options Devon 3.1 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: • 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.Are you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 131 of 143

Westbank3.2 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 independence • 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 our 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 DCC for the delivery of the Devon carers link network, and the flexible breaks grants and Take a Break schemes. SURF3.3 Surf is a project that is managed and supported by Royal Society Mencap. Mencap support Surf to actively contribute to the development of the Fusion consortium. The project is funded primarily by Devon County Council through the Learning Disability Development Fund. The role of Surf is to support adults with learning disabilities to have a say about their services and to inform local, countywide and national decision making. Surf is working towards being an organisation led by its members. This work is led by the Surf Board, a group of members that take part in planning and consultation. In the next year members will focus on key aspects of theAre you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 132 of 143

organisation, gain new skills and shape the future of the organisation. As Surf progresses towards becoming user led, members will take effective control of decision making processes. Mencap are pleased to support Surf’s contribution to Fusion.4. Benefits of collaboration. Involvement of people who use services and their carers.4.1 Although the partnership must meet specific objectives as set out by the Department of Health, the project can be seen as a strategic piece of work which serves to engage with all stakeholders across the public and voluntary sectors and service user groups.4.2 The work of the Consortium will be steered and guided by users and will help to achieve delivering choice and control for disabled people and carers in Devon. Sharing knowledge and information.4.3 The work of the Consortium will build upon established links and networks to cover all local disabled people, carers and other people who use support.4.4 Living Options Devon, Westbank and SURF are committed to broadening the group of people who the Consortium works with and will share existing networks and information in order to do this.4.5 The Consortium is also contributing to wider partnerships between the third and statutory sector and will link to Commissioning Strategies and local operating plans, i.e. theAre you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 133 of 143

Devon County Council Modernisation and Personalisation Agenda.4.6 LOD, Westbank and SURF will look for opportunities to disseminate and promote awareness of each other’s work.5. Duration.5.1 The key objective outlined by the Department of Health (DH) is to ensure that Action and Learning Sites are delivering against project plans within the timescales and in line with the funding agreed with DH. In accordance with the key objective this Partnership Agreement will terminate upon completion of the four objectives within the agreed timescale of one year from March 2008 to March 2009. Any extension or review of the partnership agreement will be subject to further funding or the Consortium becoming the User Led Organisation for Devon.5.2 The Consortium agrees to submit quarterly reports to DH no later than the close of business on the following dates: Quarter 1 14th July 2008 Quarter 2 13th October 2008 Quarter 3 15th January 2009 End of year report 21st April 20095.3 Living Options Devon will ensure reports are submitted by the relevant dates and are signed by the Senior Responsible owner as identified in the Project Initiation Document.6. Operational structure and accountability.Are you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 134 of 143

Working with other organisations6.1 This agreement will underpin our work with other agencies and organisations where it is in the best interests of the Consortium, i.e. to widen the constituency base to include Mental Health and Older People.6.2 Partners will share best practice on working with organisations outside of the Consortium and individual methods for establishing effective networks. This will in the long term work towards achieving a strategy to become the ULO for Devon. Organisational Structure and Accountability Roles and responsibilities of the Consortium are identified in theProject Initiation Document (PID). We agree to work according to themethodology of Prince II Project Management, thereby ensuring arobust and efficient reporting and monitoring system. Living Options Devon, Westbank and SURF agree to form partof the Project Board and carry out their role as commensurate with thatas stated in the PID.6.5 As part of the Project Board, partners will ensure they provide overall direction and management of the work of the Consortium and that the project remains within any specified constraints.6.6 Partners agree to inform each other in the first instance of any risks or difficulties they may encounter during the course of this agreement. The project team may also provide support where needed.6.7 Where progress has not been made to resolve the issue, assistance may be sought through the South WestAre you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 135 of 143

representative for the Care Services Improvement Partnership (CSIP).6.8 A sustained lack of progress will lead to the involvement of the Department of Health and we agree to meet with the Project Board before making such a decision.6.9 This agreement may be terminated, with written notice, should either of the partners default on any of the following:- • Ceasing to be a ULO, or to be engaged with service users or carers. • Failure to communicate risks as noted in 6.6. • Failure to complete objectives as commensurate with the project plan.6.10 Should a partner default on any of the above they will be issued with a plan of action to rectify the default within an agreed timescale set by the project board. It is the duty of all partners to bring notice of a default to the attention of the project board.6.11 If the default has not been rectified within the time limit specified then the project board, including the other partners, will be entitled to exclude the partner from the consortium and end this agreement.7. Delivering the Agreement.7.1 To support the delivery of this agreement Living Options Devon, Westbank and SURF will incorporate their principles into the overall Consortium objectives. We agree to respect and abide by the fundamental values of each other’s organisations and any person who uses their services.7.2 We will use this agreement as the basis for monitoring our joint working and the development of our relationship in the future.Are you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 136 of 143

7.3 We are committed to ensuring that there is good communication between our organisations. We will have formal meetings monthly in the first instance with the rest of the Project Board.7.4 We will update each other on developments and learn from each other’s work.7.5 xxxxxx from Living Options, xxxxxx, from Westbank and xxxxxx, from SURF will be the lead contacts to develop practical arrangements to ensure that each partner organisation informs each other of relevant activities to the work of the Consortium.7.6 These arrangements may include: • Sharing of network and partnership working information. • Future meetings of the Project Board. • Setting up advisory groups across the county to inform the work of the Consortium. • Regular meetings between the partners to keep up to date with project progress or to deal with issues as they emerge.Signatories…….Are you Ready for Business? Appendix 1 ` June 2009 Version 1 Page 137 of 143

Appendix 2:Governance Structure Example

Governance Structure Diagram Trustee Board Service User Finance Subcommittee Involvement Subcommittee Senior Management Team Disabled People Director of Chief Company Disabled Director of Director of Disabled Research Executive Secretary + People Finance Service User People and Officer HR Involvement Development Staff Staff Staff Staff Staff Team Team Team Team Team Governance structureAre you Ready for Business? Appendix 2 June 2009 Version 1 Page 139 of 143

Appendix 3:Organisational Structure Example

Staff Organisational Chart - Template Chief Executive Officer Director of Director of Assistant to CEO Director of R&D Service User Finance Disability Project Lead Involvement Disability AccessService Manager Advisor Advocacy Coordinator Operational Finance Office Manager Manager Assistant Project Advocate Peer Support Devon Link Research & Officer Access Auditors Assistant Consultancy magazine Correspondents Receptionist/ Pathways Advocate Consultation & Disability Advisor Research Campaigns Awareness Assistant Officer Trainers Business Development Coordinator Advocate Deaf Project Coordinator Administrator Lead Training Coordinator D4 PA to Senior Management Team Senior Independent Mental Capacity Advocate (IMCA) Premises & Practitioner Project Support Offier IMCA IMCA Within each team, positions are function based rather than hierarchical IMCA IMCAAre you Ready for Business? Appendix 3 June 2009 Version 1 Page 141 of 143

Appendix 4:Project Structure

Are you Ready for Business? Appendix 4 June 2009 Version 1 Page 143 of 143

Are You Ready for Business? DPULO toolkit

by Rich Watts on Jun 29, 2012

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Are You Ready for Business? DPULO toolkit Document Transcript