Staffordshire County Council: Partnerships Policy Version control Version Author Date of amendment 1 Louise Marsh 26th October 2009 2 Louise Marsh 2nd November 2009 3 Louise Marsh 14th December 2009 4 Louise Marsh 14th January 2010 5 Louise Marsh 8th February 2010 Approved Version Louise Marsh 17th February –

Approved by Cabinet 7 (Submitted to Communities, Crime and Culture Scrutiny Committee for consideration and comment)

Keith Luscombe 1st March 2012

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Contents Page Page

Number Why do we need a Partnerships Policy?

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Purpose

3 Working in Partnership – Our Vision

4 Defining a Partnership

5 Assessing and Mapping Partnership Activity

6 Entering into a Partnership

7 Performance Monitoring and Reviewing Partnerships

8 Legal / Constitution Issues

10 Risk Management and Partnerships

10 Financial Regulations and Requirements

12 Information Governance

13 Human Resource Issues

14 Roles and Responsibilities of Members on Partnerships

15 Appendix A: Identifying and Mapping Partnerships

18 Appendix B: Partnership Significance Assessment Scorecard

19 Appendix C: Assessing the Need for a Partnership Arrangement

21 Appendix D: Partnership Approval and Evaluation Form

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1 Why do we need a Partnerships Policy? 1.1 Partnerships are integral to the future of policy development and service

delivery for the public sector. Over recent years there has been a significant increase in the use of partnerships to deliver the council’s core business and to contribute to the achievement of Staffordshire’s priorities, whilst securing delivery of outcomes within available resources to achieve best value for money.

1.2 Staffordshire County Council works in partnership with a variety of

organisations in the public, private, voluntary and community sectors that bring significant benefits and contribute to achieving the vision for Staffordshire. However, partnerships also present challenges for all involved. It is important to understand that county council involvement in partnerships, however small or seemingly insignificant, usually carries legal, procurement, financial, personnel, reputation and service delivery risks and implications for the county council. As such, the county council needs to be assured that the partnerships it is involved in are being managed effectively to ensure that they are delivering value for money and improved outcomes for communities in Staffordshire. Historically, the county council has developed and used its Partnership Approval and Evaluation Form (PAEF) to achieve this and an amended version of the PAEF is a key part of this policy (appendix D).

1.3 This policy for partnership working will ensure that the county council is

able to manage its involvement in partnerships in a consistent way that will enable effective partnership working, reduce duplication, minimise risk and manage its reputation. This involves ensuring that the partnerships it enters into have appropriate governance standards in place and have arrangements in place to monitor and evaluate the effectiveness of the partnerships.

2 Purpose 2.1 This policy sets out how the county council wants to work in partnership. It

sets out our political vision for partnership working, the county council’s definition of a partnership and how partnership activity is mapped and assessed across the council.

2.2 The policy provides important guidance to county council members and

officers who are entering into or operate within a partnership around the measures that should be in place to provide assurance to the county council that its involvement in a partnership provides value for money, is meeting legal requirements and is providing improved outcomes for families, communities and prosperity, including:

• Entering into a partnership • Performance monitoring and reviewing partnerships • Legal / constitution issues

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• Risk management and partnerships • Financial regulations and requirements • Information governance • Human resource issues

It is important to note that while the council needs to be assured that the partnerships it is involved in have the measures and controls in place that are discussed in this policy, it does not mean that these have to be those used or developed by the county council, but rather should be appropriate to the partnership and should be negotiated and formally agreed by all partners.

2.3 This document will be reviewed on an annual basis to ensure that it

remains relevant to any changing circumstances and also to monitor and review the implementation of processes contained within the policy

3 Working in Partnership – Our Vision 3.1 Our Vision for Partnership Working “Staffordshire County Council is committed to working in partnership where joint-working with other organisations delivers better outcomes for our communities than could be achieved alone, whilst also providing value-for-money for Council Tax payers by delivering efficient services. This focus on better outcomes and efficient services means the county council will be open-minded about who delivers what. The county council will work in partnership where there are shared priorities, a common understanding of the outcomes we are trying to achieve and where working in partnership will provide added value for the community, good governance and improve the prosperity of Staffordshire and quality of life for the Staffordshire’s families and communities”

Partnership working at the county council is underpinned by the vision and priorities set out in the county council’s Strategic Plan. This echoes the Staffordshire Strategic Partnership approach where there is now more focus on fewer shared priorities, and on delivering outcomes that are enhanced through partnership working. The new partnership environment will be built on core principles which include: • Being more efficient, less bureaucratic, and partnership working

built on formal relationships, conversations and trust rather than relying upon formal meetings

• Smaller groups focused on accountable and responsible individuals as opposed to large meetings involving every organisation with an interest in the subject matter

• Being flexible to allow the engagement of appropriate partners at appropriate times

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• Taking a ‘problem solving’ approach, empowering joint lead commissioners to engage partners to develop the right solutions to meet needs. Also where appropriate, local solutions must be designed to meet local needs.

4 Defining a Partnership 4.1 The word ‘partnership’ can mean different things to different people. To

make partnerships work effectively, they need to be differentiated from other joint arrangements such as funding regimes, contracts and informal relationships or networks.

4.2 As such, the county council defines a partnership as: Two or more separate legal entities working collectively to agreed priorities to achieve better outcomes for the local community. It must support the development of or deliver on a priority in a county council plan and normally involves bringing together or making better use of resources. 4.3 Under this definition, for a joint arrangement to be classified as a

‘partnership’, it must meet the following criteria:

• There must be two or more separate legal entities involved in the arrangement.

• There must be an agreement to work collectively to achieve a relevant priority / outcome.

• The partnership should contribute to the delivery of the county council’s corporate priorities.

• It must support the development of or deliver on a priority / outcome in a county council Plan.

4.4 Working collectively typically involves sharing/pooling resources and/or

reaching a consensus of agreement by the partnership for such things as service delivery for the benefit of the community as a whole. Therefore contracting, where an organisation becomes a contractor to another public body as a result of tender exercise is not included under this definition and is not subject to this policy.

4.5 If a joint arrangement fails to meet these criteria, it will not be registered

as a ‘partnership’ by the county council, but rather an ‘outside body’, an informal arrangement, network or other relevant classification. Please note that a list of ‘outside bodies’ is held by Member and Democratic Services.

4.6 The county council’s Register of Partnerships lists all those bodies

identified as partnerships by the above definition and criteria. Please see section 5 for further information.

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5 Assessing and Mapping Partnership Activity 5.1 The county council holds a register of partnerships, which lists all of the

partnerships within which it is involved1. This register is used as a tool for the council to have an overview of those partnerships it is involved in and to understand the level of risk and significance each partnership presents to the council in terms of the outcomes it delivers, the amount of resources allocated to the partnership and the consequences to the council and the people of Staffordshire of any failures within the partnership.

5.2 Partnerships are added to / removed from the register using the county

council’s Business Planning Process (please note that this process is being piloted as part of the 2011 / 2012 Business Planning process). Partnerships identified as supporting and delivering on outcomes in delivery plans will be assessed by the criteria highlighted in section 4 using four filtering questions (please see appendix A) and then added to the register where these criteria are met.

5.3 In addition to identification through delivery plans, Outcome and

Commissioner Plans will also highlight what are considered to be the most important partnerships, thereby ensuring a means of cross-checking the partnerships identified in delivery plans with those identified in Outcome / Commissioner Plans and providing some quality assurance for the register.

5.4 The county council’s Lead Officer for the partnership will add the

partnership to the register and by doing so; the partnership will be given a score of significance using the council’s partnership assessment scorecard (please see appendix B). The completion of the Partnerships Scorecard will result in an impact score for the partnership:

• If the impact score is 50% or greater then the partnership is to be

deemed 'high risk' and should be recorded as such in the Partnerships Register.

• If the impact score is lower than 50%, the partnership should be recorded as ‘low risk’ on the register.

It is the responsibility of Directors, through their management structures, to ensure that the partnerships on the register are up to date and maintained in line with this Partnerships Policy.

6 Entering into a Partnership 1 This is being updated to ensure that all the partnerships on it meet the definition and criteria stipulated in this policy. Please also note that the ‘Register’ is a living document and will always represent a snapshot in time, intended to reflect current partnership arrangements, updated as appropriate.

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6.1 Before the county council enters into any partnership (whether a new partnership or is invited to join an existing partnership), the need for a partnership and the potential benefit of the council’s possible participation should be assessed, by comparing the priorities and intended outcomes of the proposed arrangement with the council’s own corporate priorities.

6.2 When an issue, idea or need has been identified, it is important to

thoroughly test the need for a partnership arrangement. There should be a common purpose between the parties involved, the opportunity to achieve co-ordinated and cohesive outcomes, value for money and the potential to deliver more than the sum of individual contributions, (i.e. the partnership will provide “added value”), with an acceptable level of risk. There may be other ways to achieve the desired outcomes, and all alternative mechanisms must be assessed before entering into any partnership agreement. To assist with this, a flowchart of the steps to follow in testing the need for a partnership accompanies this policy (please see appendix C). Please note this is not a compulsory document to be completed, but is aimed to provide a quick checklist to assess the need for a partnership.

6.3 The outcomes and expectations of the proposed partnership must always

be considered against the legal framework in which the council has to operate. Put simply, is it within the council’s legal powers to enter into such a partnership?

6.4 To the extent that a partnership will normally involve the use of the

resources of the council, the council will remain accountable in law and to the public for the use of those resources and therefore partnership arrangements need to be approved, implemented, monitored and evaluated in the same way as the use of the council’s resources for any other service provision. The steps outlined in paragraphs 6.5 to 6.8 should be considered and undertaken.

6.5 Once the relevant checks have been undertaken and the decision taken

that it is necessary for the county council to enter into partnership, the county council’s involvement in the partnership needs to approved by the county council. The process for approval is dependent on whether the partnership is classified as high or low risk:

High risk: those high risk partnerships need to be approved by the relevant Cabinet Member under delegated powers from Cabinet, unless the proposed partnership is one for which approval, in principle, is reserved to the full Council, or which in law cannot be dealt with by the Cabinet. This is through completion of part one of the Partnership Approval and Evaluation Form (PAEF) – please see Appendix D.

Those partnerships that are classed as ‘high risk’ should complete and have the arrangements in part 2 of the PAEF in place, where relevant, and these should be captured in a partnership agreement document.

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Low risk: Unless the proposed partnership is one for which approval is reserved to the full County Council, Directors are responsible for taking the decision to approve proposals for entering into those partnerships defined as low risk using part one of the Partnership Approval and Evaluation Form. Following approval of a low risk partnership, Directors should be satisfied that the intended governance arrangements are robust, having regard to part 2 of the PAEF. It is strongly advised that county council members and officers ensure that the controls in Part 2 of the PAEF are in place for partnerships that are classified as low risk to ensure that these partnerships are operating effectively and as a matter of good practice. Please note that this does not mean that the measures and controls in place in the partnership need to be those developed by the county council, but that in partnerships in which the county council is involved, members and officers should ensure and be satisfied that suitable and robust controls are in place.

6.6 Directors, through their management structures, are responsible for ensuring that all necessary reports are produced and approval obtained prior to any commitment being entered into, ensuring that the relevant sections of the PAEF are completed, that records are retained and stored securely and for ensuring that appropriate information is passed to the Director of Finance and Resources to enable a note to be entered into the council’s Statement of Accounts.

6.7 Any partnership arrangement therefore should have a partnership

agreement in place which provides assurance to the council that all the governance measures highlighted in this policy are in place that are appropriate and relevant to that particular partnership. Please seek advice from Legal Services on partnership agreements.

6.8 The contacts highlighted in the various sections of this policy will provide

further support in their specialist areas regarding what is required for a particular partnership.

7 Performance Monitoring and Reviewing Partnerships 7.1 The county council will monitor and review partnerships within which it is

involved. There are two aspects to this:

• Monitoring and review within the partnership itself. • For the council to provide assurance about the effectiveness and

value of its own input. 7.2 Performance monitoring and review in relation to the partnership

itself. Members and officers working within a partnership need to ensure that the partnership has proper governance systems in place, which

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means that performance against outcomes and priorities, are monitored, reported and evaluated. Partnerships should have an appropriate performance management framework in place that is appropriate to that partnership to monitor and manage the partnership’s performance. The partnership should receive regular performance reports. Arrangements should be highlighted in the Partnership Agreement.

The council’s Partnerships Approval and Evaluation Form (PAEF) is a useful checklist for Members and Officers to use to understand the measures that a partnership should have in place (please see appendix D). Part 2 of the PAEF could be used in terms of monitoring and reviewing the governance arrangements in place.

7.3 For the council to provide assurance about the effectiveness and value of its own input, whether the council’s own expectations of its involvement in the partnership are being met and assessing whether any alterations need to be made to its involvement in that partnership. Cabinet is ultimately responsible for ensuring that this takes place for partnerships classified as high risk.

Scrutiny of Partnerships; The effectiveness of the Partnership Policy will be scrutinised by the relevant scrutiny committee to ensure the Council retains an effective overview of the partnerships it is involved in and the impact they have on the Council’s key priorities. In general the effectiveness of most partnerships will be scrutinised within the context of an investigation of a wider outcome or impact (e.g. the scrutiny of services and joint activity to support the victims of domestic violence as opposed to simply the partnerships involved with that theme). Where however the Council has identified partnerships that it deems to be high risk, on the Register of Partnerships, then the Communities Scrutiny Committee (from May 2012), individually or through recommendation to another committee, may undertake specific scrutiny of that partnership as and when appropriate. The purpose of that scrutiny will to ensure that the Council's interests and reputation are protected and that the partnership is delivering the intended outcomes within its remit. The Director of Strategy and Transformation (Assistant Chief Executive) will produce an annual report at the end of each financial year on the status of the county council’s involvement in high risk partnerships to Cabinet, the Communities Scrutiny Committee (from May 2012) and the Senior Leadership Team. Responsibility for assessing the council’s input into and continued involvement in partnerships classified as low risk lies with Directors and Senior Management Teams through the relevant management processes. This should be through regular performance reports and through annual reviews of the partnership that ensure its continuing

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relevance to council priorities and to provide assurance that adequate governance arrangements are in place.

8 Legal / Constitution Issues 8.1 There are legal implications to consider when debating whether to enter

into a partnership and there are various issues that need to be considered by Members and Officers who work on partnerships. Key points to consider include: • Whether the council has the legal powers to enter into the partnership. • A partnership agreement document should be in place that addresses

the governance issues set out in this policy, where they are relevant to the partnership.

8.2 Within the partnership agreement itself, legal issues in relation to

governance of the partnership also need to be addressed where relevant and include such things as:

• Terms of reference for the partnership • Decision-making process for the partnership • Audit arrangements • Dispute resolution procedure • Equalities and Anti-Discrimination • Partnership management structure • Sub-contracting and Assignment • Ownership of balances and assets • Exit clauses • Indemnities and insurance • Health and Safety

The PAEF Form (appendix D) provides a comprehensive checklist of all the factors that should be considered. Please contact the Legal Services Team for further guidance. 9 Risk Management and Partnerships 9.1 Risks within partnerships can be looked at from two angles:

• The risk to the council in getting involved, maintaining that involvement or not getting involved in the partnership

• The risk to the partnership being successful

9.2 The risk to the council in getting involved in the partnership

The risks to the council should be considered prior to entering into the partnership, and may help with that decision. These risks (and mitigating actions) should be detailed within Part 1 of the PAEF (Appendix D).

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9.3 The risk to the partnership being successful The aims of Risk Management in Partnerships are as follows:

• Partners are aware and understand the nature and extent of the risks

they face individually and in partnership working • To have an effective strategy in place to manage those risks within the

partnership and individually • Everyone effectively manages risk to ensure the partnerships

outcomes are achieved.

Successful Risk Management enables the partnership to effectively manage strategic decision-making, service planning and delivery to safeguard the well-being of the beneficiaries of the partnership. The process involves identification, analysis, control and monitoring of risks and the maximisation of opportunities that can impact on the Partnership’s priorities and outcomes. It is therefore important that county council members and officers involved in a partnership can ensure that the partnership has sound Risk Management arrangements in place. In this regard, it is considered that those areas defined within Part 2 of the PAEF (Appendix D) represent a basis for the assessment of governance related risk. Following on from section 5 and in order to develop a proportionate risk management process it is considered that a distinction should be drawn between high and low risk partnerships as follows:

Key Requirements – High Risk Partnerships

• Risks are formally identified, analysed, monitored and actions identified

to mitigate risks are captured and jointly managed and owned by partners. The partnership could use a Partnership Risk Register for this purpose.

The county council has developed formal risk management methodology, which may be used by the partnership or to support partnerships to develop and undertake successful risk management.

• Risks should be reviewed and reported as and when it is appropriate to

the partnership, at a minimum, this should be at least every six months • Actions to mitigate risks should be monitored as part of the Partnership

Performance Management / Governance Arrangements

• Examples of High Risk partnerships include the ‘Staffordshire and Stoke on Trent Partnership NHS Trust’ and the ‘Staffordshire Strategic Partnership’

Key Requirements – Low Risk Partnerships

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• Annual Assessment of risks facing the partnership, approval and

monitoring of mitigating actions jointly managed by partners by reference to partnership outcomes

• The above process to be evidenced for audit purposes (for example, within minutes of a Board meeting).

• Examples of Low Risk partnerships include the ‘Staffordshire Business

and Environment Network’ and the ‘Staffordshire Rural Forum’.

For more information on the county councils formal risk management methodology or for further advice contact : Contacts: Lisa Andrews (Corporate Risk Lead Tel: 01785 276402 Email: Lisa.andrews@staffordshire.gov.uk Kathy Maitland (People) Tel: 01785 277095 Email: kathy.maitland@staffordshire.gov.uk Pam Rushton (Place) Tel: 01785 277210 Email: pam.rushton@staffordshire.gov.uk Louise Bushnell (One Council) Tel: 01785 854561 Email: louise.busnell@staffordshire.gov.uk .

10 Financial Regulations and Requirements Please note-At the time of submission to the Communities, Crime and Culture Scrutiny Committee (5th March 2012) this section is yet to be refreshed. 10.1 There are a range of financial issues that members and officers need to

consider when entering into a partnership, such as:

• adopting appropriate financial regulations, • having arrangements in place for internal and external audit, • providing assurance that VAT status relating to the partnership have

been identified, • arrangements for approving budgets and monitoring expenditure, • arrangements for making payments to partners and arrangements

for dealing with over spends and under spends.

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10.2 Please see the PAEF (Appendix D) for a more comprehensive checklist of all the financial issues to consider.

10.3 Directorate Joint Finance Units are the first point of contact for further

advice around the financial issues that need to be addressed when working in partnership.

11 Information Governance 11.1 Information is an asset of the council and it is important that responsibility

is assigned and appropriate controls are put in place when working within a partnership. This section only applies to partnership arrangements that involve the sharing, storing or collecting of information. Where a partnership does meet this criteria, county council members and officers working within that partnership should consider the following key points:

Records Management 11.2 Records management controls should be applied to information being

shared with or passed to other organisations. Particular protection should be given to confidential or personal information.

11.3 When the council is working in partnership with other organisations,

sharing information and contributing to a joint records system, the council needs to ensure that all partners agree protocols that specify:

• What information should be contributed and kept, and by whom • What level of information security should be applied • When and by who data breaches are investigated • Who should have access to the records • What disposal arrangements should be in place • Which partner holds the information for the purpose of the

Freedom of Information Act and Data Protection Act.

11.4 If the council’s records are held on its behalf by another partner, the council is responsible for ensuring that active records management is applied to those records.

11.5 For further information, please consult the county council’s Records

Management Policy. Other tools are also available to assist in active records management, please see the Information Governance Unit’s intranet site.

Information Security 11.6 If the partnership involves giving partners access to county council

information, appropriate controls need to be in place to ensure that the council is complying with its role and responsibilities. Officers need to be

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aware of the council’s responsibility relating to information security when operating in a partnership.

11.7 For further information, please see the Information Governance Unit’s

Information Security pages on the intranet: http://www.intra.staffordshire.gov.uk/igu/itsecurity/.

Addressing Freedom of Information Considerations 11.8 The council needs to ensure that it meets its requirements under the

Freedom of Information Act in any partnership arrangement within which it is involved. Members and officers involved in partnership arrangements need to ensure that as part of any partnership agreement there is clarity regarding responsibilities for Freedom of Information requests. It should be stated in the partnership agreement that Freedom of Information requests will be responded to and partners need to be clear on who is responsible for dealing with a request.

11.9 For more information and guidance on all Information Governance

matters, please refer to the county council’s Information Governance Framework. For advice on information governance in partnerships, please contact the Information Governance Unit as early as possible in the development of any partnership arrangement.

12 Human Resource Issues 12.1 Partnerships may require the employment or secondment of staff. In

such circumstances there are specific HR issues to consider, which are dependent upon the partnership requirements

12.2 It is essential that appropriate HR advice is sought at the outset.

Managers involved in the partnerships are therefore advised to consult their appropriate HR Adviser or the Shared Service Centre, in the first instance, to discuss the HR implications arising from partnership working. HR will offer appropriate advice and ensure that the relevant policies and procedures are applied in relation to the partnership agreement, including those governing the behaviour and conduct of individuals within the arrangement, where necessary referring to the Human Resources and/or Head of Organisational Development.

12.3 Examples of the HR issues which may be relevant to any partnership

arrangement include:

• Application of recruitment and selection procedures; • Appropriate employment related checks, e.g. CRB/ISA; • Establishment of employment status, contract type and duration of

contract (e.g. fixed term); • Consideration of Transfer of Undertakings (Protection of

Employment) Regulations (TUPE) implications • Determination of potential costs arising from employment rights;

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• Application of appropriate policies and procedures; • Accommodation • Consideration and application of appropriate pension rights • Appropriate supervision of partnership employees.

The above list is not to be exhaustive but highlights the main issues that require specialist HR advice.

12.4 Some partnership arrangements may require employees to be

seconded between organisations. Where a secondment arrangement is appropriate it should be recognised that these can be complex and give rise to liabilities. Managers involved in establishing the partnership arrangements should refer to the county councils secondment policy which can be accessed through the appropriate HR Adviser/Shared Service Centre.

12.5 Some of the HR issues which will need to be considered affecting

employees include:

• Transfer of staff; • Recruitment of employees; • Terms and conditions of employment and rates of pay; • Management arrangements, including appraisals, annual leave; • Performance management; • Conduct inclusive of disciplinary and grievance matters; • Communications; • Secondments; • Record keeping- sickness absence, annual leave etc.

12.6 Any formal partnership arrangement will need to set out the terms,

conditions and arrangements between the organisations and it is important that all terms of the partnership agreement are clear and agreed by both organisations and that the employees concerned are provided with appropriate consultation.

12.7 For more information and guidance around Human Resource Issues, in

the first instance please contact:

Jason Woodruff (Strategic HR) Tel: 01785 278800 Email: jason.woodruff@staffordshire.gov.uk

13. Roles and Responsibilities of Members on Partnerships 13.1 As a Member led organisation Members have an important role on the

key partnerships the County Council is engaged in. This guidance relates particularly to County Councillors in their role as the nominated County Council representative on a partnership rather than being there in any other capacity.

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The role of a Member on a partnership is to articulate and champion the Council’s interests on that partnership and to foster joint working and shared activity that will deliver real outcomes and impact from the work of that partnership. To ensure this, Members will be responsible for:

• Understanding and articulating the Council’s position on the issues

under consideration. To achieve this they should develop an ongoing dialogue with relevant Cabinet Members and officers to understand the environment in which that partnership is working and the Council’s priorities in those areas. Where Member’s are attending in their official capacity then they should make clear when they are expressing a personal, rather than County Council, view.

• Building a working relationship with others round the table to gain a wider understanding of the position others are coming from and to develop an ongoing dialogue that will aid consideration of issues and decisions.

• Highlighting reputational risks to the County Council and the partnership. Where risks are emerging then the Member should feed these back to the Council and seek assurances from the partnership that mitigating measures are in place.

• Playing an active role in the partnership. In being asked to be on a partnership Members are encouraged to play an active role. Where they are in a position to agree actions on behalf of the Council then these can be fed back to Cabinet colleagues and officers concerned. Where a Member doesn’t feel comfortable in making a commitment then they should seek advice and support prior to going back to the partnership with a response.

• Feeding issues to the County Council on a regular basis. Members’ views on the working of the partnership are essential in managing the Council’s role and reputation on that partnership.

13.2 Time Commitment

Members should be clear of the time commitment of the partnership prior to taking on the role. They should take into account the preparation time, reading papers and dialogue with officers. Whilst it may not always be possible to attend meetings regular attendance will be important to retain the Council’s influence on the partnership. When regular attendance isn’t possible then seek advice from the Leader of the Council and officers.

13.3 Support

There will normally be a lead officer support to a partnership. In addition the District Commissioning Leads and Community Partnership Officers will have a good understanding of the work and priorities of key

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partnerships. Members shouldn’t be asked to sit on a partnership as a County Council representative without some form of officer advice and guidance in that role. These key officers will be able to advise and support Members that sit on partnerships and assist in the feedback process back into the Council.

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Appendix A: Identifying and Mapping Partnerships Partnership Filtering Questions 1. Are there two or more separate legal entities involved in the arrangement? If yes, continue to question 2. If no, it is not a partnership and this process does not apply. Note: To answer yes, the bodies represented must be separate legal entities such as the county council and a primary care trust. Two Directorates of the county council, for example, would not count as separate. 2. Have they agreed to work collectively to achieve a relevant outcome / priority? If yes, continue to question 3. If no, it is not a partnership and this process does not apply. Note: To answer yes, there must be evidence of this agreement such as: Terms of Reference; established priorities and outcomes in for example a business plan; a statutory requirement to fulfil a particular purpose etc. Relevant implies that the priority / outcome relates broadly to an area of the county council’s activity. 3. Does this partnership support or contribute to the delivery of the county council’s corporate priorities? If yes, continue to question 4. If no, move to section of outside bodies list for other bodies. Note: To answer yes, there must be a clear link between the objective of the partnership and the county council’s priorities. 4. Does this partnership help deliver an outcome / priority in a county council plan? If yes, please enter onto the Register of Partnerships. If no, move to section of outside bodies list for other bodies. Note: To answer yes, there must be a direct contribution to the achievement of a priority / outcome in the Strategic Plan, Outcome, Commissioner or Delivery Plans.

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Appendix B: PARTNERSHIP SIGNIFICANCE ASSESSMENT SCORECARD PARTNERSHIP NAME: INSERT Please enter the score in the last column which most closely represents your partnership. Answer all applicable questions, using scores 1-5 (where 1 is low risk through to 5, which is high risk). This table assesses the significance of your partnership/the partnership you are proposing. Impact No

Description Low risk: score (1)

Score (2) Score (3) Score (4) High risk: score (5)

Score 1 Partnership costs: the Council

contributes money to the partnership, contributes resources (officer time/ work done), or money is directed through the Council’s accounts (Accountable Body status)

< £50k per annum £50k to £75k per annum

£75K to £100k per annum

£100k to £500k per annum

> £500K per annum

2 Relationship to the Corporate Priorities: to what extent is the partnership’s success critical to the achievement of a corporate priority

Not linked to any corporate priority

Indirect links to successful achievement of a corporate priority

Moderate contribution to successful achievement of a corporate priority

Significant contribution to successful achievement of a corporate priority

Essential to the successful achievement of 1or more corporate priority

3 What are the consequences (financial/reputation/liability/political) for the Council of failures within the Partnership

Insignificant consequences

Minor consequences Moderate consequences

Major significance

Highly significant

4 The partnership makes decisions on behalf of or which are binding on the Council

The partnership does not take decisions on behalf of the Council

The partnership does not take decisions on behalf of the Council but Council representatives feedback/lobby the Council

The partnership does not take decisions on behalf of the Council but Council representatives with decision making authority attend the

The partnership does not take decisions on behalf of the Council but representatives with decision making authority attend the partnership and

The partnership has decision making responsibilities directly delegated to it from the Council/ Cabinet

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partnership and consider and influence its recommenda-tions

agree to be bound by its decisions

5 Statutory and Regulatory Context: is the Council required to set up the partnership by law or is the Council required to set up the partnership in order to receive addition funding/meet a requirement of the assessment regime/statutory guidance

Not required by law or for funding

The law requires consultation between partners only.

The law requires the co-operation of partners to work together.

The Council is required to participate in this partnership by law or to receive specific funding

The Council is required to participate in this partnership by law or receives specific funding that has onerous conditions attached, for example claw back of funding

6 Risk: the partnership contributes to the management of risks identified on corporate or directorate/service risk registers

The partnership does not contribute to the management of high priority risks identified on directorate/service risk registers

The partnership indirectly contributes to the management of high priority risks identified on directorate/service risk registers

The partnership directly contributes to the management of high priority risks identified on a directorate/ service risk register

The partnership indirectly contributes to the management of a high priority corporate risks

The partnership directly contributes to the management of high priority corporate risks

TOTAL: Highest possible score (No. of questions answered x 5) IMPACT SCORE: (Total divided by Highest Possible Score x 100) Summary of scores 0-50% Limited Significance Approval by Corporate Directors Officer review 50% - 100% Significance Approval by Cabinet Review by Scrutiny

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Is there an issue / need identified by Members / Officers / Community?

Is this issue / need shared by other organisations? Are they suitable?

Explore other options

Does the law allow the partnership to proceed? (Identify statutory powers of partners)

Does the potential ‘added value’ of the partnership outweigh the ‘costs’ of setting up the partnership?

Is there a clear, agreed purpose for the proposed partnership?

Reconsider the need for the partnership

Have the key outcomes of the proposed partnership been identified and agreed? For more information on outcomes, please see our Business Planning Intranet pages.

Develop and agree key priorities / outcomes with the other organisations

Do the proposed outcomes fit with the strategic priorities for Staffordshire or the Council’s strategic priorities (Council’s Strategic Plan)?

Reconsider the partnership priorities/outcomes or reconsider Council involvement

Are there any groups or other partnerships undertaking similar work?

There is a need to develop a new partnership arrangement. Consider how the Council will get involved (funding partner, accountable body etc)

Reconsider the need for a new partnership – no new partnership should be formed if existing partnerships cover the same priorities and outcomes

PARTNERSHIP AGREEMENT SIGNED BEFORE ANY LIABILITIES ARE INCURRED

Add partnership to the Register of Partnerships and use this guidance document to develop partnership arrangements and agreements

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

No

No

No

No

No

No

No

PARTNERSHIP MUST BE APPROVED THROUGH THE APPROPRIATE ROUTE (please see section 6 of the Partnerships Policy)

Appendix C: Assessing the Need for a Partnership Arrangement

Appendix D: PARTNERSHIP APPROVAL AND EVALUATION FORM

STAFFORDSHIRE COUNTY COUNCIL

PARTNERSHIP APPROVAL AND EVALUATION FORM The Partnership Approval and Evaluation Form is to be completed by the county council’s lead officer for the partnership to account for the involvement/conduct of the county council in the partnership. NAME OF PARTNERSHIP: PART 1- APPROVAL 1. Name of partnership, Membership and start and finish date

2. What are the aims/objectives of the partnership? 3. Detail the Partnership Assessment Impact Score and attach completed

sheet 4. Name(s) of Member(s)/Officer(s) representing the county council on the

Partnership including the basis on which they were selected 5. What does the county council expect to benefit from entering into the

partnership and how can value for money be demonstrated?

6. What does the partnership expect from the county council?

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7. What are the risks to the county council of entering into the partnership and how will these be mitigated (e.g. who will be the Accountable Body?

8. What net additional costs will be incurred by the county council in

participating in the partnership and how will these be financed? Staff Premises

Other (Define)

Total 9. To what extent will the county council provide resources (that are not

costed above) from existing budgets to support the partnership? Staff

Premises

Other (Define)

Total

10. Confirmation that the governance arrangements to be in place will have

regard to the checklist reproduced within Part 2 of the Partnerships Approval and Evaluation Form. Please summarise below potential areas of concern and proposed mitigating actions.

11. Date the partnership and the county council’s contribution to the partnership will be reviewed and evaluated:

Date of completion of form: Signature of Director or Nominated Officer:

23

PART 2: PARTNERSHIP APPROVAL AND EVALUATION FORM – GOVERNANCE CHECKLIST NAME OF PARTNERSHIP:

LEGAL/ GOVERNANCE ISSUES

• Terms of Reference • Management Structure (to include Treasurer and Secretary) • Decision making process / Delegations • Sub-Contracting and Assignment • Dispute Resolution • Ownership of balances and assets • Anti–Discrimination and Equal Opportunity • Exit Clauses and mechanism for other variations to the agreement • Indemnities and Insurance • Health and Safety • Performance Management and Inspection • Confidentially

PERFORMANCE MANAGEMENT RISK MANAGEMENT AND BUSINESS CONTINUITY ISSUES

• Performance Management Framework • Risk Management Framework • Business Continuity Considerations

FINANCE ISSUES Adoption of Key Policies and Processes

• Financial Regulations • Contract Standing Orders • Arrangements for Internal and External Audit

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Confirmation that the following have been defined • VAT status relating to the partnership • Arrangements for approving budgets, partner contributions and monitoring

expenditure • Arrangements for dealing with overspends/underspends • Contributions in kind costed and included in cost sharing arrangements • Administrative/management costs including basis of calculation /

apportionment and last date of review • Specific arrangements to be met where grant income is recovered • Arrangements for making payments to the lead organisation and/or

accountable body INFORMATION GOVERNANCE ISSUES

• Records Management • Information Security • Addressing Freedom of Information Considerations • Data Protection

HUMAN RESOURCE ISSUES

• Application of recruitment and selection procedures • Appropriate employment checks e.g. CRB/ISA • Establishment of employment status, contract type and duration of contract

(e.g. fixed term) • Consideration of TUPE implications • Determination of potential costs arising from employment rights • Application of appropriate policies and procedures • Accommodation • Consideration and application of appropriate pension rights

Date of completion / evaluation of Checklist: Signature of Director or Nominated Officer: (This Form should be retained for audit purposes)

24 25

Contact Details:

Keith Luscombe Policy and Performance Officer (Corporate) Staffordshire County Council Wedgwood Building Tipping Street Stafford ST16 2DH

Tel: 01785 854093 Email: keith.luscombe@staffordshire.gov.uk