Professional Documents
Culture Documents
Due Diligence Pack WCLL v7
Due Diligence Pack WCLL v7
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
7 Telephone number
8 Email address
9 Website address
11 Charities / Housing Association / other Registration No. 11a. Please specify the relevant body
14 Is your organisation part of a group of companies? 14a. Name of the parent company
15 Are you able to provide an up-to-date organisational chart? Please submit a copy of this with your completed Due Diligence pack
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?
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.
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?
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?
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?
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
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?
2 Do you have an information security policy in place? Please submit a copy of this policy with your completed Due Diligence pack
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?
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
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?
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?
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
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?
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?
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:
3a. Do you have your own internal verification process, including appropriately qualified staff?
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
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
Name
Position
Date
Telephone Number
Email Address
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