cfo checklist

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					CFO Provider Checklist


Project Details
Co-Financing Organisation
Agreement Number
CFO Contract Number
Contract Value
Start Date
End Date

Visit details
Initial or follow up visit?

Date and Time of Visit

Provider Contact

Telephone no


Address of Visit

CFO staff present for visit
(including titles)

Provider staff present for
visit (including titles)

MA staff present for visit
(including titles)

                                Page 1 of 8
CFO Provider Checklist
Provision Overview                                                          Provider Response
    Please give an overview of your organisation
      and the staff working on the ESF provision
      (names, roles and working patterns).
    Are there any subcontractors and/ or partners?
      Were these named in the original tender
      application as ‘named partners’?
    Who has overall responsibility for the project
      (i.e.) steering group/ directors board?
    Please give a description of the activities
      including length and geographical coverage
    What are the contractual outputs?
    Have there been or will there be any changes to
      the provision?
    How does the provider monitor project
      performance/ progress of its delivery partners?
      How is under performance/ risk managed?

Performance monitoring                                                      Provider Response
      How many participants have been on the provision
       (broken down into key priority target groups)?
      What is the success rate on outcomes?
      Is there an issue with ‘early leavers’ or outcomes
       ‘not known’?
       What action is the provider taking to overcome any
       such issues?
      What system is used to capture MI on starts, leavers
       and outputs (if different to the above)?
      Has the CFO audited the provision and if so when
       was this and what issues had arisen?
      Has the quality of provision been inspected by
       OFSTED and if so what grade was awarded and
       issues highlighted?
      Has any evaluation been undertaken to date, and if
       so how are outcomes escalated/ addressed?

                                                              Page 2 of 8
CFO Provider Checklist
Participant Support                                                         Provider response
      How is client progress including outcomes
       monitored and reviewed?
      What additional support does the provider offer such
       as childcare, travel and flexible opening times?
      How are complaints dealt with
      What are the tracking arrangements for clients who
       have completed their provision?

Sub Contractors                                                             Provider response

      How were Sub Contractors/ partners selected?
        Through an open competitive tender exercise;
        On a commissioned basis;
        Specialist business need that could not be found
        Other reason.
      What is their role in the project and how are they
       monitored against contractual outcomes and
      How does the provider monitor their progress
       against ESF requirements?
      Are ESF requirements incorporated into contracts
       and SLAs?
      How and what are the payment processes involved
       in paying sub contractors for the services they
      How do sub contractors feed into any MI supplied
       through the provider?

                                                              Page 3 of 8
CFO Provider Checklist
Claims Procedures                                                            Provider response

      Are there any issues affecting the rejection of
       claimed outputs from the CFO?
       What is the claim process?
       Is this documented and are adequate quality
       assurance mechanisms in place for checking and
       authorising claims? (Same applies to delivery
      Is their a financial delegations document
       (highlighting ceiling approval amounts of finance
      What financial records are required/ maintained to
       support claims/ payments?
      Are there any costs which are not attributable to the
       contract? If so how do they account for such
      How are partners/ sub contractors paid? What
       information do they need to supply for payment?

Working relationship and Support from CFO                                    Provider response
      Is the provider being informed about changes to
       policy and ESF guidelines through their monitoring
      How could the working relationship with the CFO be
      As a provider do you have the opportunity to
       feedback and feel a valued member of the
       partnership with the CFO?

                                                               Page 4 of 8
CFO Provider Checklist

Publicity                                                                      Provider response
      Does the provider have the ESF logo displayed on
       all project related documentation and its website?

      Does the provider ensure its sub contractors and/ or
       delivery partners have the ESF logo displayed on all
       project related documentation and their website(s)?

      Does the provider display an ESF Plaque in a
       prominent position at their premises and ensure
       their delivery partners do the same in line with ESF

      Do participants know there provision is part funded
       by ESF and how is this conveyed?

      What evidence can the provider supply to effectively
       demonstrate how the project and ESF is marketed/
       publicised/ promoted?

      Can the provider supply samples of Good News
       Stories / Case Studies relevant to the provision and
       delivery timeframe tested?

      Does the provider maintain a publicity strategy/
       action plan?

      Is publicity incorporated into contracts/ service level
       agreements with sub contractors and partners?

                                                                 Page 5 of 8
CFO Provider Checklist

Cross Cutting Themes                                                           Provider response
      Is there an equal opportunities policy and action
       plan in place?
      Is their a policy in place for sustainable development
       (including an environmental implementation plan)?
      Are cross cutting themes included in all monitoring
       activities including that of the sub contractors and/
       or partners?
      Are cross cutting themes embedded into contracts
       and/ or service level agreements?
      Is their a champion in place for equal opportunities
       and sustainable development?
      Health (London region only). Are there appropriate
       policies/ plans in place to cover health related
       issues in the project activities?
Document Retention                                                             Provider response
      Is their a written policy in place (covering electronic
       data retention requirements) that meets ESF
      Is document retention covered in all contracts/
       SLA’s with sub contractors/ partners?
      If records are archived using an external source,
       what is the retrieval turn around time?
      What security measures are in place to protect data
       including confidentiality?

                                                                 Page 6 of 8
CFO Provider Checklist

Recommendations and Action Points (Managing Authority to complete)

Participant Records Check (This page to be completed by the ESF Managing Authority)

The provider will need to supply participant files for each individual selected below which should demonstrate the following:

When the client started and exited their provision (including reason for early exit if applicable);
Evidence of eligibility – (usually supplied within the application/ enrolment form which are also required);
Benefit entitlement (unless referred from JCP for DWP inspection purposes);
Individual Action/ Training Plan;
Individual Learner Record (ILR) for SFA purposes only;
Improvement plans/ reviews and self assessments;
Record of attainment whether a job outcome or qualification has been achieved;
Client feedback and/ or evaluation;
Attendance records;

                                                            Page 7 of 8
CFO Provider Checklist

1. Name                  DOB               Provision         Start Date   End Date

Summary of Evidence, Findings and Action

2. Name                  DOB               Provision         Start Date   End Date

Summary of Evidence, Findings and Action

3. Name                  DOB               Provision         Start Date   End Date

Summary of Evidence, Findings and Action

4. Name                  DOB               Provision         Start Date   End Date

Summary of Evidence, Findings and Action

5. Name                  DOB               Provision         Start Date   End Date

Summary of Evidence, Findings and Action

Copy of final report sent to applicant on…………………………………………………………..

Signature of behalf of MA-D ……………………………………………. Date: ………………………………………

Name in BLOCK CAPITALS………………………………………………….
                                               Page 8 of 8

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