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Code UK Partnerships
Code UK Partnerships
Introduction
1. This document sets out a suggested checklist of good practice for governance in partnership organisations. It has been developed by a
working group comprising representatives from the Department of Health, Health Action Zones (HAZs), District Audit, and Merseyside
Internal Audit (see Appendix 1).
2. The checklist has been developed in the context of increasing emphasis by government of the need for a more joined-up, holisticapproach
to addressing social issues, leading to the development of a wide range of planning and operational partnerships, involving not only the
core public services but often including the voluntary and private sectors, and wider communities. Examples of these partnerships are at
Annex 2. From April 2001, Local Strategic Partnerships (LSPs) will provide a single local co-ordination framework within which local service
providers and existing local partnerships can operate.
3. This checklist was developed in the first instance for use by HAZs1. However, since many of the issues which it addresses are relevant to
other public sector partnerships, it is hoped that other partnerships will find the document helpful. Implicit in its development has been the
acknowledgement of the considerable variation in the range and scale of partnerships - in terms of size, complexity, population coverage,
and objectives. With this in mind, the checklist is not intended as a definitive framework of governance issues applicableto all partnerships.
Nor it is intended to be prescriptive. Rather, building on much existing good practice, it is intended to set out a baseline of governance
issues applicable to partnerships, subject to local circumstances and intended outcomes.
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Health Action Zones (HAZs) established in 1998 and 1999 as local partnerships involving the NHS, local authorities, local communities, the voluntary and business sectors,
to adopt a whole systems approach to public health. There are 26 HAZs in England, covering some of the most deprived areas of the country, and covering a population of
some 13 million people. HAZS were not set up with centrally prescribed governance arrangements. In many aspects of their work, HAZ governance takes place through
existing Health Authority structures. However, many HAZ partnerships are complex, and can involve complex arrangements for the delegation of responsibilities and decision
making. Following the issues of a questionnaire to HAZs on governance issues, and a subsequent workshop in April 2000, a number of HA Zs agreed that a checklist of good
practice for governance would be helpful, in particular to identify the governance issues which HAZs need to be aware of, and so to help HAZs underpin the effective delivery of
their objectives.
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Governance: What Does it Mean?
4. Governance is a process by which an organisation or business is managed and regulated. Effective governance enables an organisation to
solve its problems and deliver its objectives. Principles relating to Governance have been addressed by a number of bodies. The Report of
the Committee on the Financial Aspects of Corporate Governance (the Cadbury Report) identifies three fundamental principles of
Governance:-
• Openness
• Integrity
• Accountability
5. The Report of the Committee on Standards in Public Life (the Nolan Committee) defined a similar set of principles:-
• Openness
• Integrity
• Accountability
• Selflessness
• Honesty
• Leadership
• Objectivity
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6. In its 1998 publication Accountability, A Framework for Public Services, the Chartered Institute of Public Finance and Accountability
(CIPFA), suggested that governance includes the following elements and principles:-
7. Other publications are also relevant – e.g. the Code of Practice on Openness in the NHS, the Joseph Rowntree Foundation Code of Practice
for the Voluntary Sector.
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Using the Checklist
8. The checklist is intended as an aide-memoire. It aims to help partnerships address some of the key governance issues which can arise in
partnership working. Under each of the headings describing elements of governance (eg “Perfomance Management”, “Audit” etc) is a list of
issues which partnerships may wish to consider in determining whether their processes for decision making and accountability are
transparent and robust. Each list cross-refers to a subsequent table setting out issues which might be incorporated into good governance
practice for the partnership. Neither the lists nor tables are definitive, and may include elements which are not appropriate to all
partnerships. Partnerships may wish to add or substitute other features to address their own circumstances.
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CONTENTS
AUDIT
page 15
LEADERSHIP
page 6
LEGALITY
PLANNING page 14
page 7
REPORTING COMPLAINTS
PERFORMANCE page 13
page 8
DECISION
MAKING
page 9 APPOINTMENT OF
STAFF
page 13
5
• Does a strategic policy See Pages 16/17
making body exist for the for what good
partnership? practice might look
• Does it have Terms of like
Reference?
6
PLANNING
7
REPORTING PERFORMANCE
8
DECISION MAKING
9
• Is there a clear definition of what
constitutes appropriate conduct by
members of the partnership?
10
FINANCIAL
ARRANGEMENTS
(see also next sheet)
• Are clear arrangements in place for the See p ages 25/26 for
delegation of the partnership budget and what good practice
accounting of spend, where appropriate might look like
(e.g. for individual projects, or to external
bodies-such as the voluntary or private
sector)
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FINANCIAL ARRANGEMENTS
(continued)
12
• Does the partnership have
clear arrangements in See Page 27 for what
place for consulting on good practice might look
CONSULTATION
proposals? like
13
LEGALITY
14
AUDIT
15
LEADERSHIP
16
NO /YES / BEING DEVELOPED /
• Conflict resolution NOT APPLICABLE
17
(Where appropriate), Terms of Reference for
an operational body overseeing Does your partnership have this
implementation of partnership activities
might include the following issues:- element of governance?
NO /YES / BEINGDEVELOPED /
• Arrangements for chairing meetings NOT APPLICABLE
18
• Conflict resolution NO /YES / BEING DEVELOPED /
NOT APPLICABLE
• Annual stocktake/review of
arrangements NO /YES / BEING DEVELOPED /
NOT APPLICABLE
19
Statement of partnership Does your partnership have this
leader’s responsibilities element of governance?
might include:-
• To whom accountable
NO /YES / BEING DEVELOPED /NOT
APPLICABLE
• Review of responsibilities
NO /YES / BEING DEVELOPED
/NOT APPLICABLE
20
PLANNING Do you have this element of
A good practice document might governance?
include the following elements:-
21
An effective
performance
management system
Do you have this element of
might include the governance?
following elements:-
• Consultation with
stakeholders, including NO /YES / BEING
DEVELOPED /NOT
service users
APPLICABLE
NO /YES / BEING
• Clear aims and objectives DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
• Clear targets, including DEVELOPED /NOT
baselines APPLICABLE
NO /YES / BEING
• Clear project plan DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
• A clear, time-limited process to DEVELOPED /NOT
update the plan following APPLICABLE
feedback
22
Decision making a good
practice document might Do you have this element of
include the following governance?
elements:-
23
A Code of Conduct, or a record
of an agreement within the Do you have this element of
partnership that records an governance?
agreed set of standards.
These might include:-
NO /YES / BEING
• Access to information DEVELOPED /NOT
APPLICABLE
24
FINANCIAL ARRANGEMENTS
HAs and LAs will already have Do you have this element of
standing financial instructions in governance?
place. It is unlikely these will need
to be defined from scratch
However, it may be useful to revisit
Standing Orders and Standing
Financial Instructions to ensure
these cover:-
• Declaration of interests
NO /YES / BEING DEVELOPED
/NOT APPLICABLE
• Ownership of partnership-funded
NO /YES / BEING DEVELOPED
assets
/NOT APPLICABLE
25
• Tax (e.g. VAT) liabilities for
partnership activities NO /YES / BEING DEVELOPED
/NOT APPLICABLE
26
CONSULTATION
Do you have this element of
A policy statement setting out governance?
arrangements for consultation,
possibly covering the following
issues:-
27
Do you have this element of
A Communications Protocol governance?
which might include the
following issues:-
28
A personnel policy Do you have this element
statement, including clear of governance?
arrangements for:-
Recruitment, including
ensuring that:-
29
A complaints protocol agreed Do you have this element of
governance?
by the partnership, including
coverage of the following
issues:-
NO /YES / BEING
• Responding to complaints DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
- at strategic level DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
- for employees DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
- users of services DEVELOPED /NOT
APPLICABLE
NO /YES / BEING
• Who is responsible for responding DEVELOPED /NOT
to and handling complaints APPLICABLE
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LEGAL ADVICE
31
AUDIT PROTOCOL Do you have this element of
Elements of good practice governance?
might include:-
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APPENDIX 1
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APPENDIX 2
EXAMPLES OF PARTNERSHIPS
26 HAZs exist in England as partnerships involving the NHS, local authorities, local
communities, the voluntary and business sectors, to tackle inequalities and adopt a
whole system approach to public health. HAZs cover a population of about 13 million
in some of the most deprived areas of England.
NCRs include representatives from the public, private, community and voluntary
sectors. They have voluntarily developed strategic plans for the regeneration of their
areas, including a strategic vision and an action plan. Individual partners take
responsibility for delivery of particular areas of the action plan.
CDRPs are led by local authorities and the police and include other local
organisations. They conduct a full audit of crime and disorder in their areas and then
develop a strategy for dealing with the main problems identified. They are required to
consult with the community in carrying out their work.
Connexions Partnerships
From April 2001, these partnerships will provide support and guidance to young
people aged 13-19 to help them to participate effectively in learning and to reach
their full potential. They will be the responsibility of Local Management Committees
(LMCs), working on a county or unitary local authority boundary, or groupings of local
authority areas where partners decide.
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