NOTE FOR EXISTING PROVIDERS

Due Diligence Pack 2019/20 Existing Providers DO NOT need to complete the entire Due Diligence Pack.
Only complete sections where information has changed, as well as the following sections in full -
Version 7, April 2019 6. Customers & Locations
7. Staffing
The WBCLL Due Diligence pack is designed to offer assurances of your organisation's ability to meet minimum pre-contract requirements including your ability to deliver the services required to the apporpriate 8. Declaration
standard, and with the minimum of risk. Evidence Checklist

INSTRUCTIONS FOR COMPLETION

1. Please complete tabs 1 to 8 of this form fully.

2. Where supporting documentation is required this is highlighted in red, and listed in tab 8, Declaration.
3. Please submit the completed document and additional documentation to the Community Learning Manager
4. WBCLL may request further supporting documentation on receipt of the completed Due Diligence template to support its decision-making process.
5. WBCLL will assess the completed template and grade it either RED, AMBER or GREEN. WBCLL will only contract with those organisations assessed as AMBER or GREEN. Those assessed as AMBER will be
issued a Due Diligence Action Plan as a Schedule to their contract.
6. WBCLL will log all submitted and assessed Due Diligence documentation. This information will be kept on record for up to 5 years.

Legal name of organisation:

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WBCLL USE ONLY:

Date received: Assessed previously?
Date assessed: Assessor:
Assessment: RED AMBER GREEN
Remarks:
ACTIONS:
 1. ORGANISATION DETAILS

1 Legal name of organisation

2 Trading name of organisation (if different to above)

3 Contact name 4a. Job title

4 Name of Director / CEO

5 Registered legal address 6a. Postcode

6 Primary correspondance address (if different to above)

7 Telephone number

8 Email address

9 Website address

9 Company registration number

11 Charities / Housing Association / other Registration No. 11a. Please specify the relevant body

11b. Date of registration

12 Are you registered for VAT? 12a. VAT registration number

13 Type of organisation 13a. If other please state

14 Is your organisation part of a group of companies? 14a. Name of the parent company

14b. Parent company's Companies House

registration no.

15 Are you able to provide an up-to-date organisational chart? Please submit a copy of this with your completed Due Diligence pack

16 Please briefly describe your organisation's governance

structures (e.g. Board, Committees, Trustees etc.)

17 Is your organisation currently registered as a training provider 17b. If "yes" state your organisation's
on the UK register of Learning Providers? UKPRN

18 Has your organisation been accepted on to the ESFA Register 18b. If "yes" has your organisation
of Training organisations in the most recent register refresh?* been accepted as a prime contractor
or subcontractor?

19 Has your organisation been accepted on to the SFA Register of

Apprenticeship Training Providers?

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 2. FINANCE & INSURANCE

1 Please indicate which of the following documents you are submitting as evidence of financial Please submit this document
stability with your completed Due
Diligence pack

2 Has your organisation had any CCJs issued against it within the last 3 years? You may get a county court judgment (CCJ) or high court judgment if someone takes court
action against you (saying you owe them money) and you don’t respond.

3 Please indicate the size of your organisation

4 Please state your current level of insurance cover for the following:
4a. Employer's Liability
4b. Public Liability
4c. Professional Indemnity
4e. Other 4e.1 Type of other insurance

5 Claims made to WBCLL may be paid in arrears in line with Funder protocols. Please confirm your
orgnaisation has the resources and capacity to work within this framework?

6 Does your organisation have the following:

6a. Written Financial Regulations and related policies including fraud prevention, anti-bribery, 6a. Date of last review
commercial risk assessment and
procurement?
6b. A performance management system within the organisation that does not generate
perverse
employeesincentives
to falselyamong individual achievement?
claim performance
6c. An established system to enable contractor staff to report inappropriate behaviour by
colleagues
performancein claims
respecti.e.
of a “whistleblowers charter”?
6d. Do you carry our regular internal audits to apply fraud prevention principles?

7 Do you have a Business Continuity Plan that will cover your ability to continue to deliver services for
which you are / may be contracted for with WBCLL?*

8 Has your organisation ever been removed from a contract prior to its intended completion date for
failure to meet minimum levels of performance?

8a. If "yes" please give a brief description of the circumstances

9 Do any of the following apply to any key person with powers of representation for your organiastion (for e.g. Director, Partners)
9a. A conviction or criminal offence related to business or professional conduct
9b. In a state of insolvency, voluntary admionistration, compulsory winding-up, receivership, composition
with credotors, company voluntary arrangements or equivalent procedings?

9c. Failure to fulfil obligations related to the payment of tax

9d. Failure to fulfil obligations related to the payment of social security

9e. Legal or administrative finding of commission of an act of grave misconduct in the course of business

9f. Failure to provide information required or provising inaccurate or misleading information when
participating in a procurement exercise

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 3. DATA SECURITY

1 Are you registered with the Information Commissioner's Office for 1a. Data Protection Act (DPA) Registration Number
processing or intending to process personal data?

If "no", is your organisation exempt from registering?

2 Do you have an information security policy in place? Please submit a copy of this policy with your completed Due Diligence pack

Does the policy cover the following:

2a. User (staff) access to data 2f. Hard file storage
2b. System management procedures 2g. Data back-up
2c. Asset storage and destruction 2h. Preventing attacks on data
2d. Data access requests & information disclosure 2i. General Data Protection Regulation (GDPR)
2e. Building and asset access

3
Which member of staff has lead responsibility for data protection,
including GDPR?

4
Is information security an integral part of your employees' job
descriptions?

5 Does your organisation hold any data security standards, such as ISO
27001?

5a. If yes, please state the standard(s) held

5b. When were you last assessed for this standard?

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 4. POLICIES
HEALTH & SAFETY

1 Do you have a written Health & Safety Policy that clearly demonstrates your 1a. Date of last review
compliance with Health & Safety legislation?

2 Has your organisation ever been prosecuted under Health & Safety 2a. If "yes", please provider further details
legislation, or been served prohibition / improvement notices by an
Enforcing Authority?

3 Does your Health & Safety policy refer to and make arrangements for
beneficiaries / learners?

4 Do you have a clear, written procedure for undertaking and reviewing Risk
Assessments?

5 Please give the full name of your Health & Safety representative responsible
for beneficiaries / learners

6 Do you currently hold any Health & Safety quality standards? If yes, please
state

EQUALITY & DIVERSITY

7 Do you have a written Equality & Diversity Policy that clearly demonstrates 7a Date of last review
your compliance with Equality & Diversity legislation?

7a. Which member of staff has overall responsibility for ensuring equal
opportunities practice is followed in accordance with relevant legislation?

8 Do you collect & monitor Equality & Diversity data relating to your
orgnaisation and the services it providers, including that on ethnicity,
gender & disability?

9 Do you produce an Equality & Diversity Action Plan with regularly reviewed
targets based on the analysis of data?

9 Do you ensure all staff undertake training to ensure they aware of their
responsbilities under your Equality & Diversity Policy and the Equality Act
209?

9a. Please provide brief details on your approach to this training, including
how frequently this takes place

SAFEGUARDING
11 Do you have a written Safeguarding Policy that clearly demonstrates your 11a. Date of last review
compliance with child protection legislation and commitment to protecting
vulnerable adults?

12 Does the policy (and/or any related policies) include:

12a. Safer recruitment & vetting 12e. Dealing with allegations & concerns
12b. Training of all staff & learners 12f. Whistle blowing
12c. Bullying & harrassment 12g. Technology - acceptable & safe use
12d. Staff & Volunteers Code of Conduct
12e. Prevent awareness / recognising and challenging radicalisation

13 Please give the full name(s) of your Safeguarding lead(s)

13a. Please give their contact details (telephone, mobile, email), including
those for out-of-hours incidents

14 Do you ensure all staff undertake annual training to ensure they aware of
their responsbilities under your Safeguarding Policy and child protection
legislation?

14a. Please provide brief details on your approach to this training, including
how frequently this takes place

COMPLAINTS
15 Do you have a written Complaints procedure which is shared with
beneficiaries / learners?

ENVIRONMENTAL & SUSTAINABILITY

16 Do you have a written Environmental & Sustainability Policy? 16a. Date of last review

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 5. QUALITY & CONTINUOUS IMPROVEMENT

1 Does your organisation undertake a written annual self-assessment of its youth,

employment or skills-related delivery in line with a Quality Framework ?

1a. If "yes", please state which quality framework you use

Please state:

2 Does your organisation produce an action plan to support continuous

improvement based on its annual self-assessment?*

2a. Which member of staff as lead responsibility for the quality of provision?

3 Please confirm whether your organisation is currently accredited in any of the following Quality Standards:
3a. MATRIX Date accredited
3b. ISO 9001 (Quality) Date accredited
3c. ISO 27001 (Information Security) Date accredited
3d. ISO 14001 (Environmental) Date accredited
3e. Merlin Standard (Supply Chain Management) Date accredited
3f. Momenta-Accredited Date accredited
3g. PQASSO Date accredited
3h. Customer First Date accredited
3i. Investors in People Date accredited
3j. Two Ticks
3k. Career Mark

3l. Other (please state below) Date accredited

3m. If your organisation is not currently MATRIX accredited, is it actively working

towards achieving it?

4 Has your organisation been directly inspected by Ofsted in the last 5 years?
If "yes",
4a. What was the date of your last inspection?
4b. What was your overall grade?
What grade did you achieve in the following inspection categories:
Outcomes for learners?
Quality of teaching, learning and assessment?
Personal development, behaviour and welfare?
Effectiveness of leadership and management?

4c. Has your organisation been visited by Ofsted in the last 5 years as part of the
inspection of another organisation to whom you are contracted?

5 Do you formally gather, analyse and act upon feedback received from beneficiaries
/ learners / customers?
5a. If you answered "yes" to 5 please state briefly how this feedback is collected, assessed and used

6 Does your organisation undertake observations of its own teaching, learning and
mentoring/coaching activities?

6a. Are staff members given formal feedback on these observations?

6b. Does your organisation use this feedback to inform Quality & Continuous
Improvement processes?
6c. If you answered "yes" to 6b please state briefly how this feedback is used

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 6. CUSTOMERS & DELIVERY LOCATIONS
1 Customers
To provide WBCLL with a sense of your range and volume of customers, please indicate the volume of customers you have supported over the past 12 months, based on the headline categories

Of the total how many

were...
Volume past 12
Customer Group NEET Minority Group LDD / High needs
months
Young People (16 – 17 years old)
Young People (18 – 24 years old)
Adults 25 +
Adults 60 +

Please indicated the customer groups your services are specifically designed to meet (use tick boxes) . Those who are;
Customer Group Yes/No
are furthest away from work
are in low paid employment and/or are low qualified
have a government entitlement to basic skills and/or up to level 2
are socially isolated (or at risk of social isolation)
live in an area of poor social cohesion
would benefit from improved health or wellbeing
have a learning difficulty or disability
are older learners who would benefit from more social interaction
are underachieving or under-represented
need to retrain
are learners whose first language is not English
are learners without a level 2 qualification
are men who are traditionally under-represented in adult learning

2 Delivery locations
Area(s) of interest
Please indicate below ALL areas where you can deliver your services and whether those locations are permanent or used on a temporary basis, if a recent H&S risk assessment has been completed (within the last
six months) and if they are compliant under the Disability Discrimination Act (DDA).
Permanency
Address Postcode Risk Assessed?
Permanent? Temporary?

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 7. Staffing
1a How many permanent, full-time delivery staff does your organisation currently employ?
1b How many part-time delivery staff does your organisation currently employ?

2 With regard to your current staffing levels, how many members of permanent staff have the following professional qualifications:
Level 1
Level 2
Level 3
Level 4
Level 5
Level 6
Level 7
Level 8

Please state Other Qualifications held and the number of staff holding each qualification:

3 Do you currently deliver any accredited training programmes?

3a. Do you have your own internal verification process, including appropriately qualified staff?

4 Do you have a written policy for managing Volunteers?

5 Please complete the below table, detailing the Disclosure Barring Service details for all delivery staff:
Please note that DBS records must be current (Within the last 3 years)
First Name Surname Job Role Disclosure No Issue Date Comments

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 8. DECLARATION

By submitting this document electronically I/We confirm that the information supplied within this
document is accurate to the best of my/our knowledge, and that I/ we accept the conditions and
I/we understand that submitting false information could result in my/our exclusion from this and future
contracting exercises, and I/we understand that if the organisation or its employees does anything which
I have attached the following documentation as required:
1. Organisational chart
2. Evidence of financial stability
3. Information Security Policy

I can confirm the following statements

1. The provider will take steps to ensure they
do not inadvertently fund extremist
organisations.

2. Any potential conflict/s of

interest have, or will be declared
to the lead provider

Name

Position

Date

Telephone Number

Email Address

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 ADDITIONAL DOCUMENTATION CHECKLIST
As part of the due diligence completion process, a WBCLL representative will sample a selection of the following documentation
Please submit the documents listed below with your application

Commissioning Team Checks -

Contract Documentation Category Authenticated Comments
All Record of current Disclosure and Barring Service disclosure numbers for all delivery staff Compliance
All Photo evidence of ESF Plaque on display Compliance
All Public Liability Insurance Compliance
All Last set of financial accounts Compliance
> £100k contract Evidence of Matrix Accreditation, or evidence of working towards Compliance

Quality Team Checks -

Contract Documentation Category Authenticated Comments
All Health & Safety Policy Policies
All Safeguarding Policy - Including Radicalisation, Prevent and lockdown procedure Policies
All E-Safety Policy Policies
All Evidence of current safeguarding training for all staff within the last year Policies
All Prevent Risk Assessment & Action Plan Policies
All Equality & Diversity Policy Policies
All Complaints Policy Policies
All Data Protection Policy Policies
All Staff Training & Development Policy Quality
All Latest copy of Health & Safety Risk Assessment for all delivery sites, including safeguarding risk assessments Quality
All Self Assessment Review Quality
All Quality Improvement Plan Quality
All Copies of Lesson Observations undertaken Quality
All OFSTED Reports if applicable Quality
All Evidence of data that has been gathered from learner surveys Quality
All CVs, certificates and staff qualification matrix for all delivery staff Quality
All Evidence of planning learning Quality

OFFICE USE ONLY:

Yes / No
o Common directors do not exist at both the Company and the subcontractor.
o Subcontractors with a contract value £90,000 or greater for the funding year are listed on the Register of Training Organisations.
o The legal status of the subcontractor has been verified, for example on the Companies House database.
o Credit Check Completed for Provider

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