Are You Ready for Business? DPULO toolkit

Are You Ready
for Business?

© Fusion 2009

Fusion Contact Details

c/o Living Options Devon
Isca House
Haven Road
Exeter
EX2 8DS

Tel: 01392 459222
SMS: 07958 517919
info@livingoptions.org

Authors:
Debbie Stafford, Dr Emma Treby

Acknowledgements:
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..............................................................................17
Evidence 18
Accountable Officer 18
Design 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......................................22
Equal Opportunity 77
Diversity 77
Externally initiated 77
Internally initiated 77
Legally driven 77
Business needs driven 77
Quantitative focus 77
Qualitative focus 77
Problem focused 77
Opportunity focused 77
Assumes assimilation 77
Assumes pluralism 77
Reactive 77
Proactive 77
Race, gender & disability 77
All differences 77

Introduction
Fusion is delighted to present the ‘Are you ready for Business?’ pack which is
intended to provide a reference and audit guide for smaller/fledgling User Led
Organisations. The purpose of the pack is to enable ULOs to assess current
business capacity and skills, provide an example of governance and
organisational structures and enable identification of strengths, weaknesses
and areas for development. The pack has been produced by the Fusion User
Led Organisation based on its own experiences.

ULOs are critical to independent living - to enable disabled people and carers
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 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.

In the current climate of ‘Choice and Control’, ‘Independent Living’ and
‘Personalisation’, now has never been a better time for voluntary and
community sector organisations to refine their services, skill-up and be better
prepared to bid for services in what is hoped to be a more stimulated market
for service delivery.

This pack does not promise any instant recipe for success, nor does it hope to
suggest a ‘one size fits all’ solution. However, it is hoped that it will provide a
wide range of tips and examples and signposting to further information. Use
of 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 and
implementation.

ULOs are in a strong position to promote their value, knowledge and the
benefits that they offer to their constituents. Business and organisational
management skills, in addition to core values and ethos provide the foundation
to building an established and sustainable User Led Organisation.

Outline of Pack

Project Initiation Document (PID)
A template which can be used to capture and record basic information needed
to correctly direct and manage a Project. A PID addresses the following
fundamental 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 timetable

Partnership Agreement
A template document provided as an example to use in the case of working
with partner organisations or as a consortium.

Business Toolkit
An audit checklist and information resource. The main part of the toolkit is to
be used in conjunction with the checklist in appendix 2 of the section in order
to provide a guide to setting up necessary policies and procedures.

Tender Section
This section provides a short guide to tendering in the hope that it will provide
a step-by-step process to smaller ULOs who are perhaps looking to expand the
repertoire 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

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Project Initiation Document (PID)
Template
Department
Project Name
Project Reference
Number
Project File Reference
Senior Responsible
Owner
Project Manager
Current Version
Number
Date

This template is based on Prince II methodology which is owned by the Office
of Government Commerce. The template has been adapted from a document
received during an accredited training programme in 2007, delivered by Raj
Khanna Associates Ltd.

Are you Ready for Business? P.I.D Template
June 2009 Version 1

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Version History

Date Revision Summary of Changes

Approval

Name Role in Project Signature Date

Distribution List
This document has been distributed to the following:

Name Title Date of Issue Version


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1 Purpose

This Project Initiation Document (PID) has been produced to capture and
record 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 to
whenever a major decision is taken about the project and used at the
conclusion of the project to measure whether the project was managed
successfully and delivered an acceptable output for the user.

1.1 Key Definitions

Project
A project is a temporary organisation set up to create one or more products
according to a specified Business Case. This is unique and not ‘business as
usual’.

Products/Deliverables
These are what the project is attempting to create. At the end of each project
there will be a number of tangible outputs. These can be referred to as
products or deliverables.
For example: A new service or a new strategy/policy document.

Benefits
Benefits are defined in measurable terms by the improvement to a service as a
result of undertaking a project. Benefits are generally achieved sometime after
the project has finished.


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For example: Members of the Consortium will be in a better position to tender
for Self Directed Support provision.

Outcomes
Outcomes are defined as intangible improvements to a service.
For example: Constituents will feel more engaged and involved.

2 Project Brief

2.1 Aims

2.2 Background


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2.3 Links to Commissioning Strategy and Operating Plan

2.4 Scope of the Project

2.5 Exclusions

2.6 Constraints

2.7 Outline Deliverables

2.8 Stakeholders
Stakeholder How affected?


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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 Arrangements

3 Business Case

3.1 Reasons

3.2 Options
3.2.1 Options
Option Benefits & Costs Timescale Risks
Disadvantages

3.2.2 Recommended Option


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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 Realisation


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4 Project Management Team Structure

4.1 Project Board

The Project Board has the responsibility and authority to provide overall
direction and management of the project making sure that the project remains
within any specified constraints. Its’ primary concern must be to ensure that
all the resources – staff, time and finance – are available to allow the project
to happen.

Name Role Job Tile and Contact Representing
Details

4.2 Project Assurance

Name of Role Job Tile and Contact Appointed By
Group Details

4.3 Project Management

Name Role Job Tile and Contact Representing
Details

4.4 Team Leaders/Team Members

Name Role (Team Job Tile and Contact Responsible
Manager or Details for
Team Member)

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4.5 Project Management Structure

Project Board

Project Sponsor

Senior Responsible
Senior Users Senior Supplier
Owner

User Assurance Business Assurance Supplier Assurance

Project Manager

Project Coordinator

5 Product approach

Product Off the shelf or Source – Internal Go live approach
designed from or External
scratch
Objective 1

Objective 2

Objective 3

Objective 4

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6 Management of Risk

6.1 Risk Log

Risk Risk Risk Contingency Status
number owner
1

2

3

4

5

6

6.2 Risk Management

The project manager has overall responsibility for managing the process, but
the whole Project Team has responsibility for contributing to it, as described
below:

The Senior Responsible Owner (SRO) responsibilities include checking that the
risks are being monitored effectively. The Project Board responsibilities
include:
• 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.


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7 Project Plan

7.1 Identification of Workpackages & Deliverables

Expected Expected End Responsibility
Start
Workpackage 1

Workpackage 2

Workpackage 3

Workpackage 4

An example of a workpackage structure is given below:-


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Workpackage 1: Example

Action and Learning Site (ALS) Objective 1
Outcomes/ Outputs

Evidence

Accountable Officer
Design Criteria


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Actions to achieve this Milestones/ Success Criteria Timefra
objective 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.

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Project Manager will review the Communications Plan (See section
10.1) to see if there are any additional progress reports required
for other stakeholders.

9.2 Monitoring Progress

Project 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 Approach

Regardless of how well the project has been planned, there are a
number of issues that may arise. These include:

Request for Change (where a request is made for something not
originally specified – these may come from users or suppliers)
• Off-specification (failed quality requirement)
• Query or concern

The originator must be sent a Change Request Form to ensure
their needs are understood completely.

When a Change Request Form is received, the Project Manager
must assess the impact of the change proposed in terms of time,


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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
information
Project Board
Project Team
Public
Stakeholders

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.


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11.3 Storage of Deliverables
The project deliverables will be stored with all other hardcopy
documents and electronically as listed above.

11.4 Approach to Deliverable Version Control
All documents produced in the project will be version controlled.
Each document will have their respective version number as part
of the footer.
During draft production, documents will be numbered Draft 1.0,
Draft 2.0 etc. Once the document has been approved, it will be
versioned 1.0. This document will then be baselined.

Any grammatical changes will increment the version numbers by
0.1 and any major ones will be incremented by 1.0.

12 Glossary of terms

Project Brief
A description of what the project is to do: a refined and extended
version of the project Mandate, which the Project Board approves
and which is input to project initiation.

Business case
The business case is used to say why the forecast effort and time
will be worth the expenditure.
Its purpose is to document the justification for the undertaking of
a project based on the estimated cost of development and
implementation against the risks and the anticipated business
benefits and savings to be gained. The total business change must
be considered, which may be much wider than just the
development cost.

Project Management Structure

Project Board
The 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.


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- 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 Manager
Is given the authority to run the project on a day to day basis on
behalf of the Project Board within the constraints laid down by the
Board. The Project Manager’s prime responsibility is to ensure that
the project produces the required products, to the required
standards of quality and within the specified constraints of time
and cost. The Project Manager is also responsible for the project
delivering an outcome that is capable of achieving the benefits
defined in the project initiation document.

Project Assurance
There is a need in the project organisation for monitoring all
aspects of the project’s performance and products independently
of the Project Manager. This is the role of Project Assurance. Each
member of the Project Board is responsible for appointing one or
more persons in the Project Assurance role aligned with their area
of concern- business, user or supplier.

Management of risk

Risk
Can be defined as uncertainty of outcome, whether positive
opportunity or negative threat. Every project has risks associated
with it. Project management has the task of identifying risks that
apply and taking appropriate steps to take advantage of
opportunities that may arise and avoid, reduce or react to threat.

Risk Log
Contains all information about the risks, their analysis,
countermeasures and status. Also known as risks registers.


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Project Plan

Work packages
The set of information relevant to the creation of one or more
products.
It contains the Product Description(s), details of any constraints on
production such as time, cost and interfaces.
It also includes confirmation of the agreement between the Project
Manager and the person or Team Manager who is to implement
the Work Package that the work can be done within the
constraints.
Work is released to a Team Manager or member in an authorised
Work Package.

Deliverable
An item that the project has to create as part of the requirements.
It may be part of the final outcome or an intermediate element on
which one or more subsequent deliverables are dependent.
According to the type of project, another name for a deliverable is
“product”.

Quality

The totality of features and characteristics of a product or service
that bear on its ability to satisfy stated needs. Also defined as
“fitness for purpose” or “conforms to requirements”.

Communication plan
Part of the Project Initiation Document describing how the
project’s stakeholders and interested parties will be kept informed
during the project.

Reference:
Great Britain. Office of Government Commerce (2005) Managing
successful Projects with Prince 2. London: The Stationery Office.


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Partnership Agreement
Template

DATE Enter date

(1) [Parties involved]

______________________________

Consortium Agreement
Relating to
““
______________________________

THIS AGREEMENT is dated Enter date

PARTIES

(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]

Background

In 2005 the government produced the ‘Improving the life chances
of disabled people’ report. This report outlined how the
government intends to improve the quality of life for disabled
people; giving them more choice and control so they can be
included as equal members of society. As part of this report, the
government 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 all
aspects of its day to day services and functions. ULOs work in
partnership with local councils and Primary Care Trusts (PCTs) in
order to improve or change services that disabled people use.

[Contents to be provided as to why and how the
consortium exists]

Are You Ready for Business? Partnership Agreement Template June 2009
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Agreed Terms

1 Interpretation

1.1 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.

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'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.
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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 Services

2.1 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 from
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time to time be applied by the parties to the
delivery of the Service(s).

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3 Matters Requiring Consent of the Parties

3.1 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 arm's-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; or

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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 termination

4.1 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 month's 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.

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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 users

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5 Disputes

5.1 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 party's
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 precedence

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over, any use of the termination procedures
detailed.

6 Insurance

6.1 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
party's liabilities under this agreement.

7 Liability and Indemnities

7.1 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 any
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person the party employs or engages to carry out their
obligations under this agreement.

7.2 A party's liability for any Losses, which relate to
death or personal injury, shall be unlimited.

7.3 Otherwise a party's 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 1998

8.1 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 1999

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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 Safety

10.1 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 Interests

11.1 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 TUPE

12.1 [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 Waiver

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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
remedy

14.2 Unless specifically provided otherwise, rights arising under
the agreement are cumulative and do not exclude rights
provided by law.

15 Severance

15.1 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 Agreement

16.1 The agreement constitutes the whole agreement between
the parties and supersedes all previous agreements between
the parties relating to its subject matter

16.2 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).
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16.3 Nothing in this clause shall limit or exclude any liability for
fraud.

17 Assignment

17.1 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 Confidentiality

18.1 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 Notices

19.1 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 details
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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 Jurisdiction

20.1 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 the
beginning of it.

Caveat: any new partnership should seek legal advice when
constructing a legally binding agreement.

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Business Audit Toolkit

An audit toolkit to support the business
development skills and capacity of User Led
Organisations.

Introduction

1.1 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

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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:


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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 independence

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• 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.

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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.


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• 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 planning

2.4 Financial Management

• Legislation and regulation – including taxation,
accounting, etc.
• Financial planning, budgeting – including costing services,
cash flow, etc.


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• 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 go

2.6 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:-


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o Consortium
o Partnership agreement

2.7 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.


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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:-

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• 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 policy

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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 organisational


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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.


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• 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.

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Contracts must have a minimum value of £30,000.

3.4 Business and Management Schools

A source of support for capacity building is the range of
management short courses available from Business Schools
(usually attached to universities) and from colleges working in
collaboration with an awarding university.

Examples of relevant courses range from unaccredited short
courses, (such as communication skills), through to accredited
Certificate in Management Studies (CMS) and Diploma in
Management Studies (DMS). At the top end there is Masters in
Business Administration (MBA) and universities can also offer
Masters of Arts (Mas) in Management Studies.

3.5 Books and Literature

There is an abundance of business development literature, much
of it including checklists and templates. There are a couple of
recommended publications referred to in the Breakthrough
toolkit:-

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 Building

Further to initial development work on setting up (UKDCP’s
document “The Way Forward” is useful here), new user-led
organisations would need to follow the steps described below in
order to consider an effective framework to design and deliver
capacity 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. Some

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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.


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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 schools


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5. Conclusion

The business toolkit provided by Breakthrough UK is an excellent
resource and has informed the structure of this document. It is
hoped that in using the information and resources provided in this
paper, in addition to the planning and analysis checklist, budding
ULOs will be in a position to identify areas for improvement,
growth and training. Audit results should subsequently support the
production of an action plan which can be taken forward in line
with a strategic and business plan for the organisation.


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Appendix 1.

Fusion Partner policies – example

Living Options

Leave Policy
Maternity Pay & Leave Policy
Paternity Pay
Adoption Leave & Pay
Parental Leave Policy
Dependant Leave Policy & Procedure Statement
Compassionate Leave
Flexible working hours
Appearance and dress code
The use of mobile phones whilst driving
No smoking policy in the workplace
Sickness Absence
Retirement Policy
Equality and Diversity Strategy
Disciplinary Procedure
Grievance Procedure
Harassment policy and procedure
Recruitment and Selection Guidelines
Appraisal and Development Planning
Working with Children and Vulnerable Adults Policy
Lone Working Policy
Compliments and Complaints Procedure
Lay-off/Redundancy Guidelines
Mobile phone, email and internet policy
Data Protection Policy
Confidentiality Policy
Volunteer Policy
CRB Policy


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Westbank

Absence Policy
Child Protection Policy
Complaints procedure
Confidentiality Policy
Equal Opportunities Policy
Fire Safety Policy

Grievance & Disciplinary procedure
Health & Safety Policy
Induction Policy
Information Security for staff Policy
Information Security for Volunteers Policy
I.T Policy
Lone Working Policy & Procedures
Minibus Policy
Probationary Reviews, Supervision & Appraisals Policy
Smoking Policy


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Appendix 2.

Planning and Analysis Checklist

Use this checklist to audit your organisation. Where you have
ticked ‘No’ or ‘In Part’, please refer to the Business Toolkit to guide
you in setting up the necessary policies or procedures. There are
no right or wrong answers to the questions; it is the intention that
completion of the checklist will highlight areas needing
implementation and/or improvement.

Governance
In
Do you have:- Yes No
Part

A trustee board/committee of which 75% or
more have a disability or are carers?

An agreed organisational structure which is
recognised by all staff, users and trustees?

Comprehensive person specifications for
organisation employees and trustees?

A membership association?

An agreed plan, which is fully inclusive, to
support and grow your membership?

An Equality Policy?

Is equality embedded in all your organisation’s
policies – i.e. have you equality proofed your
policies?


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Yes No In
Part
Do you have an equality champion?

Have you sought to ensure that membership of
your trustee board and staff is representative of
the 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

In
Do you have:- Yes No
Part

An operational plan for each area of work in
your organisation?

A user-led 3 or 5 year business strategy/plan in
place?

A strategy in place to network with public sector
bodies and voluntary sector organisations?

A checklist of required policies for development?

An agreed process for policy implementation
within your organisation?

Are you aware of key personnel external to your
organisation?

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Risk

In
Yes No
part
Contracting:

Is entering into contract work part of your
business strategy?

Have you tendered for work with a public
authority or other large organisation before?

Do you have a process for appraising the
implications of entering into contract work?

Have you a process for undertaking a cost
benefit analysis of preparing and submitting
every bid?

Do you have the expertise or access to relevant
expertise to put together a feasible business
case with realistic costings?

When considering an individual proposal, have
you undertaken the necessary research to
ensure you are pitching it at the right price?

Do you have an exit strategy in place within
your business case to include workforce issues
and long term financial planning?

In
Yes No
Part
Consortium working in relation to contract
work:

Do you have the necessary agreements and
documentation in place to ensureAudit Toolkit June 2009 Version 1
Are You Ready for Business? Business all partners
are aware of their roles and responsibilities?
Page 65 of 143
Does your agreement include an established
procedure to address a breakdown of

Financial management
In
Yes No
Part
Do you have a finance manager (or access to
such expertise)?

Are you aware of relevant financial legislation
and regulation governing your organisation and
its practices?

Do you have standardised and agreed processes
for ensuring financial planning and budgeting?

Do you have standardised and agreed financial
functions and recording processes?

Do you know where to seek funding?

Do you have the necessary expertise (or access
to such) to prepare and negotiate funding bids
and tenders?
Organisational Management
In
Yes No
Part
Do you have policies and procedures
incorporating up to date legislation and
regulation for your organisation?

Do you have quality and performance
management systems in place within your
organisation?

Do you have an established model of service
delivery to ensure an effective and efficient
service?


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Do you have a process for assessing, providing
and maintaining the suitability of your IT
systems?

Do you inform all staff, trustees and service
users of their responsibilities in line with the
organisation’s equality policy?

Do all line managers respond to the diverse
needs of the workforce appropriately and in line
with the equality policy?

Do you have training in place to support this?

Do you have a HR manager (or access to such
expertise)?

Partnership working
In
Yes No
Part
Are you aware of the different models of
partnership working?

Are you aware of the benefits of partnership
working?

Do you know the processes required in order to
build and work within a successful partnership?

Do you have strategies in place to influence
others to contribute effectively to your
partnership work?


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Are you aware of the requirements in order to
maintain a successful partnership?

Marketing
In
Yes No
Part
Do you have a Corporate Image?

Do you have a Mission Statement?

Have you identified a suitable marketing
consultant and/or organisation/s to promote
your services/work?

Do you have a website?

Do you have leaflets and information about your
organisation (and in accessible formats)?

Have you established links with other
organisations?

Do you actively seek network membership or
affiliation?
Additional areas for development not highlighted in checklist:-


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Page 69 of 143

Appendix 3.

Example Terms of Reference

1. 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)


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Appendix 4.

Planning and Analysis tool

User-led organisations will raise the bulk of their income from
donations, grants and contracts and are in the business of selling a
service or services, competing in a market in reality. Business
planning must address the nature of that market, future trends
and the organisation’s position in the market.

A PEST analysis looks at the Political, Economic, Social and
Technological factors that have a bearing (or might do) on the
organisation. This is best done in a facilitated open discussion
group, where creative and analytical ideas can be generated.

The SWOT analysis is often linked to the PEST analysis. This is a
brainstorming exercise in which points under the following four
headings are listed and evaluated: Strengths and Weaknesses, the
Opportunities to the organisation and the potential Threats that
there may be. A table is often used –

Strengths Weaknesses
- -
- -
- -
- -
Opportunities Threats
- -
- -
- -
- -

The SWOT analysis helps to outline the directions the organisation
can follow, what obstacles it needs to overcome and what
opportunities it wants to exploit and make priorities which can
then inform corporate objectives in the plan.


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SMART TARGETS are used to describe a framework to analyse the
practicality and achievability of targets, it is also useful when
setting 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?


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Appendix 5

Equality and Diversity

It is against the law for a company to discriminate against
anyone on the grounds of race, colour, nationality, ethnic origin,
gender, marital status, disability, religion, age, or sexual
orientation. Similarly if your employees discriminate against a
colleague or customer your organisation could be held vicariously
liable for their acts, and be responsible for paying the
compensation or damages to the victim of the discrimination.

An Equal Opportunities Policy (also called an Equality and
Diversity Policy) should be written in accordance with current
best practice. If a company can prove that it has done all that was
reasonable to prevent discriminatory acts from occurring then its
liability can be reduced or entirely eliminated. Having an equal
opportunities policy, and appraising all staff of its existence is
one of the things that a reasonable employer should do.

An Equal Opportunities and Diversity Policy may contain the
following sections:

1. Policy Statement
2. Objectives of this Policy
3. Designated Officer
4. Definition of Discrimination
5. Types of Discrimination
6. Unlawful Reasons for Discrimination
7. Reasonable Adjustments
8. Responsibility for the Implementation of the Policy
9. Acting on Discriminatory Behaviour
10. Advice and Support on Discrimination
11. The Extent of the Policy

The Policy should relate to:

• Staff


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Are You Ready for Business? DPULO toolkit

Are You Ready for Business? DPULO toolkit

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