CLIENTS RELATIONSHIP AND CONTRACTS GUIDELINES
UNIVERSAL TRADING & INVESTMENT CO., INC.
A Massachusetts corporation, incorporated on February 11, 1993.
(Adopted by the ad hoc Executive Committee for review of guidelines)
Clients Relationship and Contracts. Corporate Guidelines.
Partnership or cooperation agreements and contracts are documents that record the agreed terms and conditions of collaboration between separate agencies and/or sectors. The term 'agreement' is sometimes used interchangeably with guidelines and Memoranda of Understanding (MOU). There can be both legally binding and non-legally binding agreements. MOUs are non-legally binding agreements. A formal contract is legally binding.
Cooperation agreements and contracts or protocols can serve a number of purposes:
•
clarifying roles and responsibilities
clarifying roles and responsibilities•maintaining consistency of inter-company relationships and practices
maintaining consistency of inter-company relationships and practices•explicitly stating what agencies and/or sectors have committed to
explicitly stating what agencies and/or sectors have committed to•providing a basis for negotiation of responses to a situation or resolution of differences between agency approaches, and/or
providing a basis for negotiation of responses to a situation or resolution of differences between agency approaches, and/or•providing an agreed process for resolving inter-company differences.
providing an agreed process for resolving inter-company differences.Inter-company or partnership agreement:
An inter-company or partnership agreement is a document outlining the basis of a new relationship and the agreed objectives between partners.
Agreements can be developed at a statewide, regional or local level.
An agreement may be a broad, high-level agreement that documents the relationship between groups of agencies. For example:
•state government and the non-government sector about their roles and responsibilities
state government and the non-government sector about their roles and responsibilities•local government and the non-government sector about community development activities
local government and the non-government sector about community development activities•government and a consumer peak body about the interests of service users
government and a consumer peak body about the interests of service users•peak bodies representing different interest groups identifying the boundaries of their constituencies
peak bodies representing different interest groups identifying the boundaries of their constituencies•professional groups such as social workers, psychologists, welfare workers agreeing on inter-professional practices
professional groups such as social workers, psychologists, welfare workers agreeing on inter-professional practices•universities and the non-government sector agreeing to provide learning and development pathways for community services workers
universities and the non-government sector agreeing to provide learning and development pathways for community services workers•the non-government sector and business about pro bono contributions and volunteers.
the non-government sector and business about pro bono contributions and volunteers.An agreement may also be a simple agreement between two agencies about specific aspects of their work. For example:
•a homeless men's shelter having an agreement with the local integrated mental health team for responding to crisis situations involving their residents with mental health issues
a homeless men's shelter having an agreement with the local integrated mental health team for responding to crisis situations involving their residents with mental health issues•a disability support service having an agreement with an accommodation service to access weekend respite care services for clients, or
a disability support service having an agreement with an accommodation service to access weekend respite care services for clients, or•a network of after-school care programs having an agreement about delivery and access of workers to a training program operated by one of the agencies.
a network of after-school care programs having an agreement about delivery and access of workers to a training program operated by one of the agencies.Agreements should be contractually binding if there are consequences for partners for not complying with the agreed terms.
Protocols:
A protocol is the more detailed process by which inter-company partners will work together. Protocols document how partner agencies will interact and what each partner can reasonably expect from the other. Protocols can provide legitimacy to relationships and processes already in place but have not been formally documented.
Protocols are a practical, hands-on way to outline specific processes and procedures between service delivery agencies.
Protocols are not usually contractually binding but are used to set agreed good practice standards that parties should meet.
Agreements and protocols can occur together. A partnership agreement might contain the general aims and commitments of the partnership and the protocols outline how agencies work together.
The reasons for developing service agreements and protocols are many and varied. Sometimes it is in response to issues that are having adverse effects on partners. Other times it will be to embark on a new initiative or take action on a common goal.
Agreements are most typically developed to:
•outline strategic priorities and planned commitments
outline strategic priorities and planned commitments•provide guidance around allocation of resources
provide guidance around allocation of resources•clarify roles and responsibilities
clarify roles and responsibilities•signify a commitment to part of a process such as an integrated service system
signify a commitment to part of a process such as an integrated service system•respond to new legislation or other compliance requirements, or
respond to new legislation or other compliance requirements, or•establish the principles and agreements for co-location.
establish the principles and agreements for co-location.Protocols are most typically developed to:
•share information about service users across organizational boundaries
share information about service users across organizational boundaries•obtain priority access to services for clients in crisis or where high-risk circumstances exist
obtain priority access to services for clients in crisis or where high-risk circumstances exist•outline specific management and service arrangements for co-location, or
outline specific management and service arrangements for co-location, or•manage case management and coordination responsibilities for clients with multiple and complex needs where several corporations are involved.
manage case management and coordination responsibilities for clients with multiple and complex needs where several corporations are involved. If the corporation is drafting an agreement or protocol, these documents usually cover a standard format. The following formats are provided as a guide to assist in the development process.
An agreement format covers:
•principles for the agreement
principles for the agreementoThe types of principles that might be found in an agreement include a commitment to:
The types of principles that might be found in an agreement include a commitment to:equity
equitydiversity
diversityinterconnectedness
interconnectednessdemocratic decision making processes
democratic decision making processesopen communication
open communicationcooperation
cooperationconsistency of process
consistency of processefficiency of processes
efficiency of processesfocus on client outcomes and quality of life outcomes
focus on client outcomes and quality of life outcomestransparency and accountability, and
transparency and accountability, andkeeping stakeholders informed.
keeping stakeholders informed.•parties involved and their roles
parties involved and their roles•desired outcomes
desired outcomes•achievement of desired outcomes or how the partnership agreement will be enacted (such as activities to be undertaken or procedures to be followed)
achievement of desired outcomes or how the partnership agreement will be enacted (such as activities to be undertaken or procedures to be followed)•review processes and time frames
review processes and time frames•life of partnership agreement
life of partnership agreement•status of the agreement (whether it is legally binding or not)
status of the agreement (whether it is legally binding or not)•any terms the parties agree to abide by and any consequences for breaching the agreement, and
any terms the parties agree to abide by and any consequences for breaching the agreement, and•signatories and date.
signatories and date.An inter-company protocol format covers:
•background/ introduction
background/ introduction•purpose of the protocol, including aims and objectives
purpose of the protocol, including aims and objectives•parties to the protocol
parties to the protocol•the protocol's perceived benefits
the protocol's perceived benefits•principles that inform the protocol, such as committing to working together and open communication
principles that inform the protocol, such as committing to working together and open communication•the legal background or other important contextual information about compliance requirements
the legal background or other important contextual information about compliance requirements•a conceptual framework or map which provides a whole of system diagram outlining the agencies involved in the protocol
a conceptual framework or map which provides a whole of system diagram outlining the agencies involved in the protocol•participating agencies' roles and responsibilities
participating agencies' roles and responsibilities•any structures or existing networks that have a role and what that role is
any structures or existing networks that have a role and what that role is•a set of procedures that provide practical guidance on how the protocol will be implemented
a set of procedures that provide practical guidance on how the protocol will be implemented•arrangements for monitoring and reviewing the use of the protocol and responding to any breaches or grievances
arrangements for monitoring and reviewing the use of the protocol and responding to any breaches or grievances•complaints procedures, and
complaints procedures, and•attachments, including forms, legislation, check lists, flow charts and a glossary of terms.
attachments, including forms, legislation, check lists, flow charts and a glossary of terms.There are some generic steps which can assist in developing inter-company service agreements and protocols. These are shown below:
1.Identify the need for and purpose for establishing a protocol
Identify the need for and purpose for establishing a protocol2.Check if there are existing protocols that are relevant or could be adapted and used
Check if there are existing protocols that are relevant or could be adapted and used3.Identify who should be involved (government, non-government, and community players)
Identify who should be involved (government, non-government, and community players)4.Contact potential inter-company participants and gain preliminary support for the proposal
Contact potential inter-company participants and gain preliminary support for the proposal5.Organize an initial inter-company meeting to discuss:
Organize an initial inter-company meeting to discuss:•why a protocol is needed
why a protocol is needed•issues the protocol is trying to address
issues the protocol is trying to address•purpose of the protocol
purpose of the protocol•who is involved
who is involved•issues or barriers to protocol development
issues or barriers to protocol development6.Establish a shared commitment to working together to develop the protocol
Establish a shared commitment to working together to develop the protocol7.Develop a process such a working group with cross-agency representation to develop the protocol
Develop a process such a working group with cross-agency representation to develop the protocol8.Develop the draft protocol document for circulation and feedback
Develop the draft protocol document for circulation and feedback9.Finalize the protocol and distribute
Finalize the protocol and distribute10.Develop a working/steering group to oversee and support the process of implementation of the protocol including briefings and training to staff, staged implementation processes, mechanism for early detection of any problems, any additional resources/other supports required
Develop a working/steering group to oversee and support the process of implementation of the protocol including briefings and training to staff, staged implementation processes, mechanism for early detection of any problems, any additional resources/other supports required11.Implement the protocol
Implement the protocol12.Establish a mechanism for regular monitoring and review the protocol
Establish a mechanism for regular monitoring and review the protocol13.Revise the protocol accordingly
Revise the protocol accordinglyWhen implementing agreements and protocols it is inevitable that tensions will occasionally arise. This can be because of:
•a lack of clarity about roles
a lack of clarity about roles•professional and organizational philosophies
professional and organizational philosophies•different expectations about priorities and ways of working
different expectations about priorities and ways of working•perceived power differences between partners
perceived power differences between partners•communication failures, and
communication failures, and•varying degrees of commitment to the agreement or protocol.
varying degrees of commitment to the agreement or protocol.The early recognition of problems and a shared commitment across agencies to deal with the problem are keys to resolving differences. Solving issues within the inter-company group is the preferred approach. Only in extreme circumstances would the assistance of external mediators be sought.
Disclaimer: the material is largely based on research by Pamela Spall and Shirley Watters, who are given full credit.
