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1 Version 4, February 2020 Access to Work (AtW) Provider Guidance Mental Health Support Service Chapter 1: Introduction and Overview ....................................................................... 2 Chapter 2: Marketing and Communication ................................................................ 9 Chapter 3: Quality and Assurance ......................................................................... 12 Chapter 4: Referral, Start, Support Period and Leaver Process.............................. 14 Chapter 5: Financial Procedures and Claiming Payments ...................................... 21 Chapter 6: The Provider Referral and Payments System (PRaP) ............................ 23 Chapter 7: Performance and Management Information ......................................... 28 Chapter 8: Complaints and Document Retention ................................................... 32 Annexes ................................................................................................................... 34

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1 Version 4, February 2020

Access to Work (AtW) Provider Guidance

Mental Health Support Service

Chapter 1: Introduction and Overview ....................................................................... 2

Chapter 2: Marketing and Communication ................................................................ 9

Chapter 3: Quality and Assurance ......................................................................... 12

Chapter 4: Referral, Start, Support Period and Leaver Process .............................. 14

Chapter 5: Financial Procedures and Claiming Payments ...................................... 21

Chapter 6: The Provider Referral and Payments System (PRaP) ............................ 23

Chapter 7: Performance and Management Information ......................................... 28

Chapter 8: Complaints and Document Retention ................................................... 32

Annexes ................................................................................................................... 34

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Chapter 1: Introduction and Overview Background Eligibility conditions for AtW Types of Support Mental Health Support Services Contract Requirements Additional Needs Contractors Staff Supporting Apprentices

Background

1.1 People with mental health conditions have some of the lowest employment rates of all disadvantaged groups. They are also at greater risk of falling out of work without the right support. The AtW Mental Health Support Service (AtW MHSS) is an essential element of Department for Work and Pensions (DWP) support to customers with a mental health issue or condition, enabling many more people to stay in work or move to more suitable work.

1.2 The Mental Health Support Service (MHSS) is delivered through the AtW programme - a Jobcentre Plus discretionary grant scheme which assists disabled people who are in paid employment, self-employed or participating in an agreed Job/Work Trial which may have already started, or is due to start, by providing practical support to overcome work related obstacles resulting from their disability.

1.3 The AtW MHSS provides flexible and personalised support for customers experiencing mental health issues or conditions within the workplace.

Eligibility conditions for AtW

1.4 AtW is available for people who have a disability, health or mental health condition that impacts on their ability to work.

1.5 To receive AtW support, the following eligibility conditions must be satisfied. Customers must be:

aged 16 or over (there is no upper age limit for support as long as the employment is likely to continue);

in employment (employed or self-employed) or serving an apprenticeship, but not in voluntary work and earning at least the National Living Wage or National Minimum Wage (NMW) rate for each hour that they work (please note there are additional lower NMW rates for some apprentices). There is no

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minimum number of hours to be worked and the total amount of any wage is immaterial to eligibility: o National Living Wage is applicable to those aged 25 or over (but not in the

first year of an apprenticeship); o National Minimum Wage is applicable to those aged under 25; and o National Minimum Wage rates do not apply to people on apprenticeships.

be in need of help at a job interview with an employer; about to start employment; about to start a Job/Work Trial (Jobcentre Plus organised or individually

established where there is a reasonable prospect of employment after the work trial);

not receiving Employment and Support Allowance (ESA) and/or NI credits only as part of an ESA claim, (or will cease to claim whilst in work) unless the customer is about to start a JCP agreed Work Trial; on Permitted Work Higher Level; Permitted Work (PCA exempt) or Supported Permitted Work, employed and receiving ESA after exhausting statutory sick pay; and

resident in Great Britain, excluding Northern Ireland, the Isle of Man and the Channel Islands, with a job based in Great Britain, help can, however, be used to cover customer’s visits overseas for work purposes.

1.6 Support is also available for opportunities that will help disabled people get ready for employment such as DfE Traineeships, Sector-based Work Academies and Supported Internships.

N.B: The AtW Mental Health Support Service is not available to participants on Specialist Employability Support Provision, Work Choice, Work Programme, Work and Health Programme, Work Able Scotland, Work First Scotland and Fair Start Scotland. It is the responsibility of the Specialist Employability Support Provision, Work Choice, Work Programme, Work and Health Programme, Work Able Scotland, Work First Scotland and Fair Start Scotland Provider to source and fund all appropriate mental health support for participants who require it whilst on these programmes.

Types of Support

1.7 AtW MHSS provides flexible and personalised support for Customers experiencing mental health conditions and issues within the workplace

1.8 A summary of the scope of services required follow:

provision of work related support by a suitably qualified professional to help the Customer to maintain sustainable employment;

the service to Customers will be split into 2 parts: o the initial support period will be for a period of 6 months from the date of

acceptance of the support plan, as specified by the Authority; and o following this there will be a 3 month sustainment period. This is viewed as

a light touch support period, during which the contractor can with the customer decide the extent of engagement, if any, with the customer.

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provision of a specified Support Plan; a brief Monthly Update for every Customer in receipt of support; 6 Month Report; and Exit Report, within the timescales specified by the Authority;

provision of employer education where it is appropriate; provision of support that will test whether the MHSS has an impact on

employment retention rates, specifically for the Apprentice referral group and whether the service has an impact on the disclosure rates of apprentices with mental health conditions;

signposting Customers to other appropriate elements of the Access to Work scheme;

signposting Customers to other appropriate external support provisions; and provision of relevant management information, as specified by the Authority.

1.9 The MHSS is a confidential service which is delivered with no cost to the customer or their employer, and can be delivered with or without the support of the Customer’s employer.

1.10 Should the customer choose to include their employer and consent for the provider to engage with their employer, where appropriate, the provider must offer an employer education. This could include, but is not limited to:

advice and guidance for employers on how to support employees who have a mental health issue or condition, or who may need help to resolve practical and/or organisation factors related to the work environment that may have an impact on the individual’s capacity to perform the job effectively;

awareness sessions for the employer and/or colleagues on the interaction between a person’s mental health issue or condition and the job or the workplace;

a walkthrough of the employer support toolkit; signposting to the other useful tools, including self-help tools for employers; conducting job analysis, including discussions and negotiation of any

temporary adjustment that could support the individual to perform and retain employment; and

provision of first aid training for mental health conditions or issues.

1.11 All products produced by the provider for the purpose of employer education will require clearance at the point of production before delivery, by DWP and can be discussed at the monthly marketing meetings.

Mental Health Support Services

1.12 The contract period for the Mental Health Support Service Contracts commence 20th August, 2018.

1.13 The last referral date will be 19th August, 2022. You will be required to continue providing services under the Contract for 10 months and 28 working days after the end of the referral period.

1.14 The service to the customers will be split into two parts:

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the initial support period will be for a period of six months from the date the Support Plan is accepted by DWP; and

following from this there will be a three-month sustainment period. This is viewed as a light touch support period, where you can decide the extent of engagement if any with the customer.

Contract Requirements

1.15 You should provide a telephone Help Desk that will be the contact point for both customers and the DWP. The Help Desk must:

provide an adequately staffed telephone service between the hours of 08:30 and 18:00, Monday to Friday, (where providers have offered out of hours service within their tender, the Department expects this service to be delivered);

answer all telephone calls within 10 rings; call AtW customers back within 3 hours if enquiries cannot be dealt with

immediately; for routine telephone enquiries, if a response cannot be provided at the time

of the call, or if the intended recipient is unavailable, call back should be received within 24 hours;

for urgent telephone enquiries an immediate response is required monitor your own response rates and be able to demonstrate that specified

levels of service are being met; and provide an electronic means of contact (i.e. email address) for accessibility

purposes and acknowledge receipt of enquiry.

1.16 The DWP require suitably qualified professionals to:

contact the customer within 2 working days of receiving the PRaP Mental Health Support Service referrals or confirmation of eligibility from the AtW Adviser to initiate the workplace related mental health support, (1st working day is the date you receive the PRaP referral);

on receipt of the MHSS Referral Form from the AtW Adviser, providers may commence engagement activities. However if you have not received the associated PRaP referral on the following working day, you must email the AtW Adviser immediately, sending a copy of this email to the AtW Contract Liaison Point at [email protected] ;

undertake a face to face visit, within an agreed timeframe and venue with the customer;

develop an agreed personalised six-month Support Plan with detailed steps to support the customer needs, to keep them in work or to return to work;

have an awareness of other AtW service provisions and other external support provisions which may be suitable for the customer and highlight these as appropriate;

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demonstrate a thorough understanding of the MHSS and how it can be applied to the benefit of the customer and the employer;

demonstrate an understanding of the interaction and impact of mental health issues experienced by AtW customers and implement appropriate support options to address the customer’s needs;

with customer consent, offer, and if accepted engage with their employer, provide orientation and facilitation for the customer and their employer, as appropriate, to enable them to provide support to the individual in their work place;

deliver tailored employer education to the customer’s employer if appropriate and agreed with the customer within the support period, at a time and venue acceptable to all parties;

undertake the specified support on premises that meet the requirements of the Equality Act 2010;

produce a written specified Mental Health Support Service Support Plan (Annex C) to the required standard, which shall be returned to the AtW Adviser within 1 calendar month of receipt of the PRaP referral;

deliver the agreed, and any subsequently identified, work related support to the customer to the agreed timescales;

produce a brief Monthly Update (Annex D), of the progress and how the support is helping the customer in their role (see Support Period);

produce a specified Mental Health Support Service 6 Month Report (Annex E) to the required standard, within 10 working days at the end of the 6 month (182 days) support periods;

produce a specified Mental Health Support Service Exit Report (Annex F) to the required standard, within 10 working days of the end of the 3 month (273 days) sustainment period;

if the customer leaves their job, becomes long term sick due to an illness unrelated to the original AtW MHSS referral, e.g., an accident at work, or no longer wants or needs the support within the 6-month period or the 3-month sustainment period you will notify the AtW Adviser immediately. If a customer returns to work or starts a new job during the 6-month support period, they will be referred back to you so they can continue to receive the support. The customer will restart their support at the point the original support ended and you will not be entitled to claim the initial payment (see Disengaged Customers);

if the customer becomes long term sick due to their mental health issue or condition, you should continue to engage with the customer to maintain contact throughout the period of the referral to support the customer to overcome any barriers in the work place;

signpost customers to the appropriate elements of the AtW Programme that may be suitable; and

signpost customers to other appropriate external support provision that may be suitable.

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Additional Needs

1.17 You should, wherever possible, comply with (and provide at your own cost) any reasonable requests to accommodate customers who have additional needs. Additional needs include, but are not limited to:

staff of the same gender as the customer; and an interpreter or a signer capable of British Sign Language.

1.18 When an additional need is identified at the initial contact meeting and it is not practical to accommodate this immediately, you should ensure that an alternative appointment is arranged and held within 2 working days, ensuring the customers additional need is accommodated at future scheduled appointments and interventions.

Contractors Staff

1.19 You should ensure all professionals engaged on the contract have a suitable and relevant qualification or a minimum of 1 year’s relevant background and experience of working with people with mental health issues and conditions in an employment or workplace setting. They should continually update their skills in line with professional and any regulatory requirements to ensure they have the necessary competence to deliver the contract, at no extra cost to the DWP and make available on request of the DWP, evidence of development activity undertaken by your staff.

1.20 Contractors staff should demonstrate the following key competencies and behaviours including, but not limited to:

excellent interpersonal communication and negotiation skills, both written and verbal;

proven skills, knowledge and experience to support people with mental health issues to remain in employment;

understanding and able to analyse factors relating to the working environment, such as how the nature of the job, organisational practices and culture which may enable or constrain the individual’s performance of the job;

demonstrate empathy and capacity to build trust among all parties; the ability to work under instructions and within a team; be organised with an ability to be flexible and respond to needs as they arise; ability to establish effective working relationships with customers and

employers; understand and follow policies and procedures to maintain confidentiality; seeking consent from the individual where and when necessary; demonstrate an awareness of the responsibility for safeguarding vulnerable

customers; and have an understanding of Health and Safety Issues.

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1.21 You must notify DWP before any changes are made in relation to staff providing support. Any changes should be notified through your Performance Manager.

Supporting Apprentices

1.22 The Department wants to test whether the provision of the MHSS is having a direct impact on employment retention rates amongst those taking up apprenticeships. DWP wants to establish whether directly promoting and raising awareness of MHSS has an impact on the disclosure rates of apprentices experiencing mental health issues conditions.

1.23 Supporting Apprentices is a way to deliver the same core Mental Health Support Service to a distinct customer group – Apprentices. This is not a separate service, but there are some considerations that apply:

asking all customers whether they are apprentices and flagging those that are;

in agreement with the customer adjusting communication channels in response to the demands of an audience that tends to be from a younger demographic; and

developing tailored literature and gateway website for direct referrals in order to market the offer more distinctly to apprenticeship providers to enable them to promote to apprentices.

1.24 You are required to keep separate management Information on the Apprentice referral group, this will include:

rate of disclosure of mental health conditions (MHC) amongst apprentices to their employers by region; and

apprentice’s employment retention rates.

1.25 Apprentices will be required to give their consent to be referred to the service by an employer or education or training provider

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Chapter 2: Marketing and Communication Marketing Key Issues Communications

Marketing

2.01 You are expected to promote the AtW Workplace Mental Health Support Service and recruit participants externally (including apprentices) through proactive marketing, PR and engagement activity. This activity should be targeted at the key audiences:

potential customer; employers; providers; and advisory and support organisations.

2.02 To enable promotion and measurement of the impact of the promotion of the service and allow for customers to apply directly, you will be expected to accept applications online and via telephony. AtW Advisers will retain control over customer eligibility for all applications to the AtW Mental Health Support Service.

2.03 You must not engage in direct marketing of individuals you have supported under the contract once the MHSS engagement period has ended.

2.04 All promotional activity must be evaluated robustly and outcomes shared with DWP strategic communications. To support this evaluation, as a minimum all applicants must be asked which activity or channel prompted their action at the time of initial contact. Other evaluation tools and methods are encouraged.

2.05 You will prepare and share yearly and monthly marketing and PR plans with strategic communications and attend monthly marketing meetings. These meetings will provide a forum for you to showcase your activity in the previous month and share in month plans to facilitate collaborative communications activity. Strategic communications will share their high level strategy with you and ensure you are alerted to any planned activity that could impact your service levels.

2.06 All creative work and draft content must be reviewed and signed off by DWP Strategic Communications.

2.07 The Department retains final approval on all marketing activities and initiatives.

Key Issues

2.08 The creative approach to the products can reflect the company’s own design criteria but they must carry the DWP logo as the primary logo. It must be clear that

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the service is delivered as part of AtW and all mentions to the service should state it is the AtW Workplace Mental Health Support Service.

2.09 Information on how to apply our logo and endorsement can be found in the Communication Standards for DWP Providers. For Further information please visit https://communicationcentre.dwp.gov.uk/

2.10 All the marketing products you produce must adhere to the standards, as written in your contract, and within this guidance. These standards are in place in order to protect the integrity of DWP programmes and the reputation of DWP and JCP.

2.11 These standards apply to all information sharing, press activity and marketing products or activities that you undertake.

2.12 Some key issues you must consider for the content of your communications, marketing and press activity are:

Reputational Risk. Materials you produce must not adversely affect the reputation of the service being provided by the Government, DWP or JCP, e.g. risks that could lead to adverse media attention, or messages that could be misunderstood or misinterpreted; and

Disability Equality Duty/Equality Act 2010. You must ensure that all our participants can access our information by providing a variety of alternative formats (e.g. large print, audio format, Braille) on request; and ensuring that people can still access our information when their chosen alternative format is not available.

2.13 More information about delivering inclusive communications is available from the Office for Disability Issues,https://www.gov.uk/government/publications/inclusive-communication.

2.14 In producing your marketing material, you must be aware that there are propriety conventions that you will have to follow. Adhering to these conventions ensures that the government Department, Ministers, Civil Servants and those delivering on their behalf act properly and are seen to be acting properly.

2.15 If you pay a subcontractor to do your marketing, you are both responsible for complying with PECR. You should ensure have a written contract setting out your contractor’s responsibilities. Having a written contract ensures you meet your contract obligations under the GDPR. Please see Guide to the GDPR for more information on contracts.

Communications

2.16 You should establish and maintain effective communication channels with all your delivery partners to ensure prompt and accurate transmission of information.

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2.17 It is your role and responsibility to keep the AtW team and your DWP Performance Manager up to date with any issues/developments that could impact on this contract and ensure that all stakeholders have the information they need.

2.18 All proposed press activity must be cleared through DWP press office https://www.gov.uk/government/organisations/department-for-work-pensions/about/media-enquiries.

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Chapter 3: Quality and Assurance

3.01 DWP expects service and provision under AtW to be of the highest quality and considers this to be a shared responsibility.

3.02 You are responsible for ensuring that customers and their employers have access to suitable and high quality support in a way that provides a good service and an excellent customer experience. For AtW to offer the most effective support possible to customers, a number of key features are integral to delivery. We expect you to:

focus strongly on speed and accuracy; and demonstrate a sound understanding of the breadth of mental health issues

which may be experienced by Access to Work Customers and appropriate support options to address the Customer’s work place barriers.

3.03 The MHSS Support Plan, MHSS Monthly Updates, MHSS 6 Month Report and the MHSS Exit Reports are required to enable AtW Advisers to determine that customers are receiving or have received the support they require to help them sustain employment.

3.04 It is important that the reports are of good quality and the AtW team will define whether reports are ‘to the specified standard’, based on the criteria in the following paragraph. (Please note: this is not an exhaustive list).

3.05 Support Plans, Monthly Updates, 6 Month Reports or Exit Reports may be deemed as not meeting the specified standard and therefore rejected and returned for re-work if one or more of the following reasons applies:

incorrect information is reported; there are spelling and grammatical errors; there is no full justification for the support recommended; there is no explanation of how recommendations will overcome difficulties; it contains personal/confidential information reported to your staff that is

identified that the customer requested be confidential and did not want disclosing on the report;

your staff should ensure that they advise the customer that they will report anything they tell them unless otherwise stated; and

if your staff want to make the AtW Adviser aware of any issues, a separate document can be added for the AtW Adviser.

3.06 If the report has been rejected, you will be notified by e-mail. Whenever possible, this will be within 5 working days of the receipt of the report. The standard notification stencil which will be used to inform you can be found at Annex G.

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3.07 If the AtW team decides that a report is not to the specified standard, you will be notified of the reason and you will be required to review and resubmit the report using secure encrypted email within 1 working day of its return.

3.08 If you are concerned about reports that have been returned for rework, you should refer to your DWP SPOC, the AtW Contract Liaison Point, within the AtW Team. In the absence of the SPOC you can contact the Contract Support Officer to determine the appropriate action to take.

3.09 The AtW team will monitor the quality of reports and the number returned to each provider as unacceptable on a monthly basis.

3.10 This information will be discussed formally as part of regular performance reviews led by your Performance Manager. When appropriate, remedial measures, including a Performance Improvement Plan, will be agreed to address areas requiring improvement.

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Chapter 4: Referral, Start, Support Period and Leaver Process How to refer a customer to AtW Identity checks Inappropriate referrals Starting AtW Mental Health Support Services Cancellation of an AtW MHSS Referral Support Period Disengaged Customers Leaving AtW Mental Health Support Services Special Customer Records (SCR) Multi Agency Public Protection Arrangements (MAPPA) cases Handling of Sensitive Customer Referrals

How to refer a customer to AtW

4.01 Customers can apply for AtW support in any of the following ways:

online at the AtW section of GOV.UK; by telephoning the AtW Service Centre between 8am to 7.30pm Monday to

Friday on 0800 121 7479 (Textphone 0800 121 7579); or directly applying to the provider.

4.02 Applications made to the DWP for the Mental Health Support Services will be referred to the AtW Adviser on the same day. The AtW Adviser will contact the customer to discuss their eligibility and how the customers’ mental health condition effects then in the workplace. Customers who are eligible for AtW, the AtW Adviser will email the MHSS Referral Form to the Provider, and a referral will be made via the Provider Referrals and Payment system (PRaP), to the Provider. Providers may commence engagement activities. However, if you have not received the associated PRaP referral the following working day, you must e-mail the AtW Adviser immediately, sending a copy of this e-mail to the AtW Contract Liaison Point at [email protected]

4.03 Referrals will be allocated to providers on a National Insurance Number split. Referrals will be regularly monitored by the AtW Team to ensure an equal market share to each provider. Any provider having excess referrals, AtW Advisers will make additional referrals to the competing provider.

4.04 Customers applying to you through your marketing and promotional activity, you should send the AtW MHSS Direct Referral form, Annex A, by encrypted email to the AtW Adviser, for the AtW to determine eligibility. The AtW Adviser will notify

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you if the customer is eligible for the Mental Health Support Services and a referral will be made via PRaP.

4.05 The decision if a customer is eligible for AtW Mental Health Support Service remains with the AtW Adviser.

Identity checks

4.06 You must ensure that in all communication with Customers that you are satisfied that you are engaging with the correct person.

4.07 To do this you may decide to ask them to state a combination of their personal information, such as:

full name; address; NINO; other information that was included in the AtW Adviser referral; and details you hold on your records.

Inappropriate referrals

4.08 Situations may arise where AtW Advisers may make an inappropriate PRaP referral in error. When the error is discovered by the AtW Adviser, they will contact you and advise how the error occurred. If you discover the error, you must contact the AtW Adviser and inform them.

4.09 Where the error is discovered prior to acknowledging the PRaP referral, you should reject the referral in PRaP with the rejection reason ‘Other’.

4.10 Where the error is discovered before and notified after acknowledging the PRaP referral, prior to start in PRaP, you should cancel the referral in PRaP recording the reason as ‘Did Not Start’.

4.11 Where the error is discovered after the ATW MHSS Support Plan Start has been recorded, a PRaP 14 should be sent the PRaP Operational Support Team, [email protected] to request all dates recorded to be backed out. Once all the dates have been backed out, you should cancel the PRaP referral recording the reason as ‘Did Not Start’.

Starting AtW Mental Health Support Services

4.12 Key to scheduling a meeting with the customer to develop and agree the Support Plan is to ensure that it takes place as quickly as possible but takes into account the availability of all parties to be involved. We expect you to:

contact the AtW customer within 2 working day (not including weekends or public holidays) of receiving the PRaP referral, (the day you receive the PRaP referral is the first (1st) working day), to arrange and agree a date and time to meet with the customer, to develop and agree a Support Plan;

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offer the customer several appointment slots within the timeframe specified in your contract;

keep a record of all appointments offered to the customer; make several attempts at various times within 2 working days of the PRaP

referral to contact the customer to agree a meeting. Once the initial contact has been made and an appointment scheduled, record on PRaP within 5 working days of receipt of the PRaP referral, (receipt of referral being 1st working day);

use a variety of media (eg: mobile phone, landline, email, whichever is the customer’s preferred method) and record all information regarding attempted customer contact; and

ensure that the attempts to contact the customer are made at different times of the day to avoid conflicting with regular scheduled commitments the customer may have (eg: school run).

4.13 If you are unable to contact the customer within the first 2 days, you should confirm the customer contact details with the AtW Adviser, informing them of the dates and methods you have used when attempting to contact the customer. The AtW Adviser will offer advice on further action to be taken.

4.14 At the face to face meeting you must develop and agree a Support Plan with the customer (Annex C). Discuss the Customer Consent Form (Annex B) to confirm if the customer agrees for you and the DWP to contact their employer. The Support Plan and the Consent form should be sent to the AtW Adviser within 1 calendar month, ensuring this meets the required quality and standard. Record in PRaP, within 5 working days of confirmation by the AtW Adviser that the Support Plan has met the required standard.

Cancellation of an AtW Mental Health Support Service Referral

Cancellation by the customer

4.15 If a customer cancels an appointment it is important that you act quickly, as delays could impact on the achievement of the target specified in your contract. This applies if a customer cancels a scheduled appointment or does not require AtW MHSS.

4.16 In the event of a cancellation by the customer, you should reschedule a new appointment. However, you should notify the AtW Adviser if:

the customer is not available in the timeframe specified in your contract from the original referral. The AtW Adviser must be informed of the reasons for the customer cancellation and any rescheduling attempts you have made;

the customer does not want to join the AtW MHSS; the customer is not sure when they will be available; you are unable to contact the customer within 2 days of the PRaP referral and

the customer has not contacted you. The AtW Adviser must be informed of all

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the dates and times you have attempted to contact the customer and the method of contact used;

where you are unable to contact a direct referral customer within 2 working days of receiving the PRaP referral, you must contact the AtW Adviser on the second working day (if the AtW Adviser confirms that no further contact attempts are required, a No Contact can be input to PRaP); and

the Support Plan is going to be sent outside the 1 calendar month period stating the reasons.

4.17 You will need to notify the AtW Adviser if the customer does not wish to join the AtW MHSS provision, and close the PRaP referral accordingly.

4.18 Please note, no PRaP referrals should be cancelled prior to contacting the AtW Adviser.

Cancellation by the Provider

4.19 If you need to postpone a scheduled appointment or if you are unable to meet with the customer to develop and agree the support plan, you should contact the AtW Adviser for advice, giving the reasons for cancelling the appointment.

4.20 It is not acceptable to return referrals due to provider’s staff availability.

Support Period

4.21 Customers will receive the initial work related support period for 6 months, (182 days from AtW Adviser notifying you that the Support Plan has been approved), from the date of acceptance of the Support Plan. Customers can work independently to manage their mental health condition in the work place. At the end of the 6-month support, you and the customer should agree and complete the Mental Health Support Service 6 Month Report (Annex E), to the required standard and forward to the AtW Adviser.

4.22 You must ensure a Monthly Meeting is held with the customer each month, and is conducted within 10 working days of the monthly anniversary date, (the date the Support Plan was sent to the AtW Adviser, subject to the AtW Adviser’s approval of the Support Plan or any subsequent approved re-work).

4.23 The Monthly Update, (Annex D) should be completed each month, recording agreed activities and progress made whilst the customer has been supported. This should be forwarded to the AtW Adviser by encrypted email, within ten working days of the monthly anniversary date. They must not be sent before the monthly anniversary date, ensuring the customer has the opportunity to receive full support, and Annex D reflects the support received. The 10 working days from the monthly anniversary date, will allow flexibility for customer availability.

4.24 In exceptional circumstances, where the customer is unavailable for longer periods due to holidays, illness, etc., and you are unable to meet the 10 working day deadline, you must contact the AtW Adviser, explaining the reason for the delay. The Monthly Meeting and submission of Annex D must then be completed at the

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earliest convenience. Please note: DWP does not expect this to be a frequent occurrence and will be monitored.

Disengaged Customers

4.25 DWP expects AtW MHSS providers to have a strategy in place to minimise the instances where customers disengage from the AtW programme.

4.26 If the customer leaves their job, becomes long term sick or decides they no longer need or require your support within the 6 Month Support Period or 3 Month Sustainment Period, you must notify the AtW Adviser immediately by encrypted e-mail. The AtW Adviser will update the Department’s systems noting the customer has disengaged from the provision.

4.27 You should not record an end date in PRaP under the circumstances above. An end date should only be recorded when you are certain the customer will not re-engage with the AtW MHSS provision.

4.28 Where the customer has informed you not to attempt to contact them again as they have decided that they will not re-engage with the AtW MHSS, you should advise the AtW Adviser by encrypted e-mail and submit a final Monthly Update form (Annex D) within 10 working days of the monthly anniversary date, recording the date of the final contact and a brief explanation of the customer requesting no further contact.

4.29 For all other customers, including customers who are no longer employed, you should continue to conduct the Monthly Meetings and submit the MHSS Monthly Update form (Annex D) within 10 working days of the monthly anniversary date, which should include a description of the customer’s circumstances, e.g., a return to work, and whether they wish to re-engage with AtW MHSS.

4.30 If the customer starts a new job, returns to work or wishes to re-engage during the 6 Month Support Period or 3 Month Sustainment Period, you should notify the AtW Adviser by encrypted e-mail. The AtW Adviser will confirm that you should recommence support from the point that the customer disengaged for the balance-of-time, using the original PRaP referral and AtW Unique Reference Number.

4.31 Where a customer re-engages (e.g., having recommenced employment) on or before the end of the 6 Month Support Period (i.e., on or before calendar-day 182), you should submit the 6 Month Report signed by the customer when the 6 month point is reached. You will be entitled to claim the associated payment, subject to the criteria being met.

4.32 Where a customer has not re-engaged on or before the end of the 6 Month Support Period (i.e., on or before calendar-day 182), you are not required to submit a 6 Month Report and are not entitled to claim the associated outcome payment.

4.33 Under the circumstances described in paragraph 4.32, you should continue to attempt to engage with the customer during the 3 Month Sustainment Period; as the

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customer could re-engage (e.g., having recommenced employment) on or before the end of the 3 Month Sustainment Period (i.e., on or before calendar-day 273).

4.34 Where a customer re-engages (e.g., having recommenced employment) on or before the end of the 3 Month Sustainment Period (i.e., on or before calendar-day 273), you should submit the Exit Report signed by the customer when the 3 month sustainment period ends. You will be entitled to claim the associated payment, subject to the criteria being met.

4.35 Where a customer has not re-engaged on or before the end of the 3 Month Sustainment Period (i.e., on or before calendar-day 273), you are not required to submit an Exit Report and are not entitled to claim the associated outcome payment.

4.36 Should it not be possible to deliver the balance of the 6 Month Support Period/3 Month Sustainment Period and claim the associated outcomes before the automatic end-date is recorded, you will not be able to claim the associated outcomes. Under these circumstances, you should direct the customer back to AtW.

Leaving AtW Mental Health Support Services

4.37 For the next 3 months/91 calendar-days or 273 calendar-days from the date that you submitted the Support Plan to the AtW Adviser (as notified by the AtW Adviser in the Support Plan approval e-mail), a light touch support is available if this is required by the customer.

4.38 At the end of the 3-month sustainment period or 273 calendar-days from the date that you submitted the Support Plan to the AtW Adviser (as notified by the AtW Adviser in the Support Plan approval e-mail), the MHSS Exit Report should be completed, Annex F, signed by the customer and sent to the AtW Adviser within 10 working-days of the end of the 3-month sustainment period.

Please note: for customers who started AtW MHSS before 01/11/19, the 6-month support period and 3-month sustainment period will be calculated from the date the AtW Adviser approved the Support Plan.

4.39 Customers who may require additional support after the 9-month support period, should be signposted to alternative support agencies in their area.

4.40 The end date should be recorded in PRaP.

Special Customer Records

4.41 Customers who have been granted Special Customer Records (SCR) status (as determined by HRMC Special Section D), must not have their records held on any electronic system. These customers will be referred to you clerically. Information on these customers must be held securely with restricted access. You must ensure you have full understanding of the SCR process.

4.42 You are required to submit the claim following the SCR clerical claim process. Where DWP identifies that SCR status is not granted the claim will be rejected.

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Further information regarding managing SCR’s is available is available in Chapter 2 of DWP Generic Guidance.

4.43 If a Special Customer Records Customer is identified, please liaise with the AtW Business Support Management Team, by e-mail, at [email protected] to determine appropriate action.

4.44 The AtW Business Support Management Team will then process a clerical payment that mirrors the PRaP automated process. All clerical documents carrying personal information should be retained securely.

Multi Agency Public Protections Arrangements (MAPPA) cases

4.45 The Multi-Agency Public Protection Arrangements (MAPPA) are the statutory arrangements for managing sexual, violent and certain other offenders in the community in Scotland, England and Wales.

4.46 MAPPA cases who have not been given Special Customer Record (SCR) status will be referred through PRaP. You will receive the referral, minus the address, postcode and telephone number.

4.47 The nominated AtW Adviser will contact your nominated officer to discuss restrictions that should be in place for each MAPPA referral. They may forward you a copy of the MAPPA J form, which will detail the restrictions.

4.48 The MAPPA J form and any other clerical document for each claim must be held securely, with restricted access, following the same process as the clerical records for the SCR.

4.49 The AtW Adviser will also provide you with the customer’s contact details.

4.50 You can set up normal electronic records on your IT system for MAPPA customers. However, the record must only contain information you receive from PRaP and information of the day to day running of the record, such as support given to the customer. Further information regarding managing MAPPA’s is available is available in Chapter 2 of DWP Generic Guidance.

4.51 Outcome payments for MAPPA customers will be claimed through PRaP.

Handling of Sensitive Customer Referrals

4.52 There may be occasions where members of the AtW Team will be referred to AtW Mental Health Support Services. These referrals will be made clerically. You must ensure that any contact regarding these referrals are to specified members of the AtW Team stated on the clerical referral.

4.53 Clerical payments will be made for Sensitive Customer Referral outcome payments as per SCR.

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Chapter 5: Financial Procedures and Claiming Payments AtW MHSS Payments Payment Validation

AtW MHSS Payments

5.01 Payment for the provision will be via the Provider Referrals and Payment (PRaP) system. (Please see Chapter 6 for PRaP processes).

5.02 The initial payment will consist of 30% of the fee. This will be paid on receipt of the specified MHSS Support Plan, which must be signed by the customer, and being approved as being to the required quality standard by the AtW Adviser.

5.03 The second payment will consist of 50% of the fee. This will be paid on receipt of the specified MHSS 6 Month Report, which must be signed by the customer and approved as being to the required quality standard by the AtW Adviser, providing the customer is in employment at the end of the 6-month support period.

5.04 The final payment will consist of 20% of the fee. This will be paid on receipt of the specified MHSS Exit Report, which must be signed by the customer and approved as being to the required quality standard by the AtW Adviser, providing the customer is in employment at the end of the 3 month sustain period.

5.05 You are entitled to claim either or both of the second and third payments if the customer is employed at the given stage.

Payment Validation

5.06 For all claims you are required to maintain a robust system of internal control, that needs to be sufficient, not only to support claims but also to allow you to include appropriate checks, monitoring arrangements and adequate records to demonstrate that you entitled to make the claims. The records maintained should be sufficient to not only support the claim for the outcomes, but also to allow internal management checks, scrutiny from external bodies and DWP validation checks.

5.07 DWP does not prescribe the way in which you should track customers or record information about their employment activity. There is however specific information that you are required to input in the job Details screen within the PRaP system when you submit the claims, including Employment Type, Job Title, Job Start Date and Employer Contact Details (Please see Chapter 6).

5.08 This information must be provided for each claim and failure to provide all or part of this information may result in the payment being recovered, if DWP invalidate the outcome as a result.

5.09 You must ensure that you only submit claims for payment to which you are entitled and have received the approval for the claim from the AtW Adviser. DWP will, conduct pre-payment checks and a sample of post payment validation checks

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on claims, to the extent it deems necessary. Claims which fail validation will be recorded and monitored and any payments recovered.

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Chapter 6: The Provider Referral and Payments System (PRaP) General information PRaP Operational Support Team (POST) Security Using the PRaP system Provider acknowledges a referral ATW MHSS Support Plan Start AtW 6 Month Report Outcome AtW Exit Report Outcome Referral end date

General information

6.01 The Provider Referrals and Payments (PRaP) system enables secure, automated exchanges of information about customers referred to DWP provision and payments from DWP for these customers.

6.02 You will access PRaP via DWP Authenticate and download information to manage on your IT system, where you will be able to manage and update information about customer progress into PRaP.

6.03 Payment claims and calculations are generated automatically.

6.04 The PRaP system also provides transparent data about the cost and performance of DWP provision and payments, supporting contract and performance management.

6.05 For further information about PRaP, please see our questions and answers at https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/436672/prap-qanda.pdf

6.06 More information on the PRaP system can be found at https://www.gov.uk/government/publications/provider-referrals-and-payments-prap-system-for-dwp

PRaP Operational Support Team (POST)

6.07 The PRaP Operational Support Team (POST) will carry out administration and approval functions to support your referrals on PRaP. Further information and full details of the POST role can be found in the PRaP UPK guidance, which is available within the PRaP on-line help function.

6.08 If you have a further query about the system, you can request live help from the PRaP Operational Support Team (POST) at [email protected] or contact the Help Line on 0345 604 5406, Option 2.

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Security

6.09 To access and use the system, you have to meet your responsibilities under the Data Protection Act to keep all data securely and confidentially. You should be aware that system security monitoring is carried out.

6.10 You must ensure you meet relevant security requirements when contracts go live and thereafter. Details on Provider security information can be found at https://www.gov.uk/government/publications/data-protection-and-security-of-information-supplying-to-dwp

Using the PRaP system

6.11 There are points within AtW Mental Health Support where you must ensure you update the AtW referral on the PRaP system.

6.12 The Oracle User Productivity Kit (UPK) is available to access via the ‘Help’ function within PRaP. UPK should be used in conjunction within this guidance to ensure accurate and timeous input. Please also see the process map (Annex J).

6.13 You will use the PRaP system to receive your referrals and to record customer activity.

6.14 Direct access to PRaP is limited to prime service providers/ contract holders (you).

6.15 You must ensure that you update the PRaP system promptly and accurately.

6.16 The job details screen must be completed prior to recording certain activities, including input against all job outcome lines. Instructions on how to complete the job details screen can be found within the Oracle User Productivity Kit (UPK) under topic ‘Provider Manage Outcomes’, with the relevant recordings being ‘Enter Job Details’, ‘Update Job Details’, View Job Details’ and ‘Delete Job Details’.

6.17 The following lines are available to be claimed:

ATWMHSS001 – ATW MHSS Support Plan Start; ATWMHSS002 – AtW 6 Month Report Outcome; ATWMHSS003 – AtW Exit Report Outcome; and ATWMHSS004 – ATW MHSS End

6.18 You must ensure that you only submit claims for payment to which you are entitled and have received the approval for the claim from the AtW Adviser.

Provider acknowledges a referral

6.19 Upon receipt of the PRaP referral, and the Support Plan meeting has been scheduled, you should access the PRaP system and acknowledge the referral.

6.20 Chapter 6 of this guidance, should be used in conjunction with The PRaP Operational Support Team Guidance for AtW Mental Health Support. (Further

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information regarding the use of the PRaP system can be found within the on-line UPK guidance).

6.21 If you have not received the associated PRaP referral the following working day from receiving the MHSS Referral Form, you must e-mail the AtW Adviser immediately, sending a copy of this e-mail to the AtW Contract Liaison Point at [email protected] . You must undertake any further activities that will require you to input information to PRaP, e.g. Completing and gaining the approval of the AtW MHSS Support Plan. (Please see Paragraph 4.02).

6.22 Failure to ensure the PRaP referral has been received could adversely affect payments and provider performance.

AtW MHSS Support Plan Start

6.23 Once the AtW Adviser has reviewed the Support Plan, all rework has been undertaken and the AtW Adviser notifies you they have approved the Support Plan, the Support Plan Start Line that initiates the payment can be claimed.

6.24 The AtW MHSS Support Plan Start Line has four options. These are:

did not attend (DNA) when the customer did not attend the initial assessment meeting;

did not start (DNS) when the customer does not want to join AtW MHSS; no contact (NC) when you are unable to contact the customer. Note this must

be approved by the AtW Adviser; and start when a suitable appointment with the customer has been undertaken,

the AtW MHSS Initial Assessment has been delivered to AtW Adviser, all Rework has been undertaken and the AtW Adviser has issued approval for the claim to be made.

6.25 You are required to input dates into PRaP to confirm the AtW MHSS Support Plan Start. These are:

a unique reference - this is something to easily identify this Advance Shipping Notice (ASN) to you. It could be a reference which relates directly to your own system, or something to help you identify this customer. This must not contain a NINO;

date 1: the date the Support Plan was submitted to the AtW Adviser (as notified by the AtW Adviser in the Support Plan approval email); and

date 2: the same date as date 1.

AtW 6 Month Report Outcome

6.26 Once the customer has remained in work for six months, the MHSS 6 Month Report has been completed, all rework has been undertaken and the AtW Adviser notifies you they have approved the MHSS 6 Month Report, the 6 Month Report Outcome Payment can be claimed in PRaP.

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6.27 AtW 6 Month Report has been delivered:

a unique reference - this is something to easily identify this Advance Shipping Notice (ASN) to you. It could be a reference which relates directly to your own system, or something to help you identify this customer. This must not contain a NINO;

date 1: the date the Support Plan was submitted to the AtW Adviser (as notified by the AtW Adviser in the Support Plan approval email); and

date 2: the date you submitted the 6 Month Report to AtW Adviser, (as notified by the AtW Advisers in the 6 Month Report approval email).

AtW Exit Report Outcome

6.28 If the customer remains in employment and the Exit Report has been completed, rework undertaken and the AtW Adviser notifies you they have approved the Exit Report, the Exit Report Outcome can be claimed in PRaP.

6.29 Exit Report has been delivered:

a unique reference - this is something to easily identify this Advance Shipping Notice (ASN) to you. It could be a reference which relates directly to your own system, or something to help you identify this customer. This must not contain a NINO;

date 1: the date the Support Plan was submitted to the AtW Adviser (as notified by the AtW Adviser in the Support Plan approval email); and

date 2: the date you submitted the Exit Report to the AtW Adviser (as notified by the AtW Adviser in the Exit Report approval email).

Referral end date

6.30 The end date should be recorded in PRaP following claiming the Sustained Outcome. If an Assessment has not been delivered, for example, where a customer arranges an appointment and subsequently cancels it, the end date must always be recorded in PRaP.

6.31 PRaP will automatically record an end date 365 days after the AtW MHSS Support Plan Start which will prevent any outcomes being claimed. All outcomes must be claimed within 365 days of the AtW MHSS Support Plan Start.

6.32 The following End Date information needs to be entered:

a unique reference: this is something to easily identify this Advance Shipping Notice (ASN) to you. It could be a reference which relates directly to your own system, or something to help you identify this customer. This must not contain an NINO;

date 1: the date the end has been entered into the system; date 2: the date the end has been entered into the system; and end reason: the reason the provision has ended.

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PRaP Leaver Code number

Standard End Reason Descriptor

AtW END REASON DESCRIPTOR

36 No longer engaging with JCP

Cancelled by customer

37 No longer eligible

Cancelled by Provider

39 Completed Provision

Assessment completed

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Chapter 7: Performance and Management Information Monthly MI Yearly MI Ad-hoc MI request Performance Management Key Performance Indicators (KPI’s) and Performance requirements

Monthly MI

7.01 You Should submit your monthly MI by the 3rd working day of each month to your Performance Manager. Please also copy it to the SPOC (the AtW Contact Liaison Point) and any other agreed DWP contacts.

7.02 Monthly MI should include:

key Performance Indicator reports; number of referrals received in month and year to date; the number of Apprentice referrals received in month and year to date; number of Support Plans completed in month and year to date; number of 6 Month Reports completed in month and year to date; the number of Support Plans returned outside 1 calendar month, in month and

year to date; the number of 6 Month Reports returned outside 10 working days, in month

and year to date; the number of Exit Reports returned outside 10 working days, in month and

year to date and as a percentage of the total reports; the volume of withdrawals made by customers, in month and year to date

prior to completion of the minimum 6-month support period; employment retention rates for Apprentices at the 6 Month Report stage and

at the Exit Report stage; where the customer sourced information on AtW; the number of complaints you have handled and the time taken to resolve to

the customer’s satisfaction (working days), in month and year to date; the number of complaints referred to the DWP, in month and year to date; and a list of all staff engaged with the customers on the contract, detailing their

skills, experience, clearances and qualifications.

Yearly MI

7.03 You should submit your yearly MI by the 3rd working day following the anniversary of the contract to your Performance Manager. Please also copy to the SPOC (the AtW Contract Liaison Point).

7.04 Yearly MI should include:

list of customer’s primary mental health conditions;

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key customer demographics e.g. age, geographical location; summary report for all delivery staff detailing all continuous professional

development activities undertaken in the last 12 months, and a forward look plan for the next 12 months, showing:

o how and why activities were selected; and o the benefits of these activities to the service delivered.

report provided using data from the Support Plan, 6 Month Report and Exit Report on the customer’s evaluation of their mental health and MHSS journey. This should include:

o all questions from the second table (completed by the customer) of the Support Plan, 6 Month Report and Exit Report; and

o mental health disclosure rates from the Support Plan, 6 Month Report and Exit Report.

Ad-hoc MI request

7.05 Occasionally you may be asked to provide other statistical data that is relative to the services you deliver. In these circumstances you should make available for inspection all such records and work counts as requested within a reasonable timescale.

7.06 You shall allow DWP access to all MI throughout the life of your contract and maintain all data as specified in your contract.

Performance Management

7.07 You will have regular Contract Performance Reviews with your Performance Manager, which will include discussions about performance against contractual requirements. Other appropriate DWP representatives may also attend these reviews.

7.08 You will update your PM and commercial contact immediately on any changes to information, data, progress, processes, procedures and issues relating to this service.

7.09 DWP operates a robust performance management regime to hold providers to account for their performance within their contract. This Performance Management Regime (PMR) has been developed to support the delivery of Provision, and underpin your contract.

7.10 The aim is to ensure you meet the performance levels and customer service standards stipulated in your contract. At its discretion, the DWP will invoke the right to move through the four stages of intervention, as deemed appropriate by level of performance.

7.11 The four levels are:

Level 1 - Performance Management Regime; Level 2 – Informal action, Performance Manager led; Level 3 – Informal action, Nationally led; and

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Level 4 – Formal action.

KPI’s and Performance requirements

7.12 You are under an obligation to meet or exceed the following performance targets. Failure to meet all or any of the agreed defined target performance levels, shall entitle DWP to serve notice to terminate on the contract.

Ref Service or Procedure

Description of Standard Required

Monitored by

Compliance Risk Rating

KPI 1

Initial contact made

Initial contact and appointment made within two (2) working days following receipt of the DWP PRaP referral. (Date of PRaP referral being first (1st) working day).

DWP 96% & above Green 95% - 91% Amber 90% & below Red

KPI 2

Submission of MHSS Plan to AtW Adviser

90% of reports to be returned within one (1) calendar month of DWP referral, to the AtW adviser, to the required quality and standard.

DWP 90% & above Green 89% - 85% Amber 84% & below Red

KPI 3

Rework of the MHSS Support Plans to the AtW Adviser

MHSS Plans not deemed to be to the required quality by the DWP, reworks to be submitted within one (1) working day of return to the AtW Adviser.

DWP 99% & above Green 98% - 97% Amber 96% & below Red

KPI 4

Submission of MHSS 6 Month Report to the AtW Adviser

90% of reports to be returned to the AtW Adviser within ten (10) workings days of the of the end of the 6 month support period to requested quality and standard, with confirmation that the customer is still in employment.

DWP 90% & above Green 89% - 85% Amber 84% & below Red

KPI 5

Rework of the MHSS 6 Month Reports to the AtW Adviser

MHSS 6 Month Reports not deemed to be the required quality by the DWP, reworks to be submitted within one (1) working day of return to the AtW Adviser.

DWP 99% & above Green 98% - 97% Amber 96% & below Red

KPI 6

Submission of MHSS Exit Report to the AtW Adviser

90% of reports to be returned to the AtW Adviser within ten (10) working days of the end of the 3 month sustainment period to the requested quality and standard, with confirmation that the customer is still in employment.

DWP 90% & above Green 89% - 85% Amber 84% & below Red

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KPI 7

Rework of the MHSS Exit Report to the AtW Adviser

MHSS Exit Reports not deemed to the required quality by the DWP, reworks to be submitted within one (1) working day of return to the AtW Adviser.

DWP 99% & above Green 98% - 97% Amber 96% & below Red

KPI 8

Accuracy (quality)

Minimum of 99% of reports to meet the standard of acceptability defined in Annex H of the AtW MHSS Specification.

DWP 99% & above Green 98% - 96% Amber 95% & below Red

KPI 9

PRaP input within five (5) working days

Within five (5) working days of confirmation by the AtW Adviser that the required standard is met, record the following in PRaP; (minimum 96% for each element listed):

Support Plan; 6 Month Report; and Exit Report.

DWP 99% & above Green 96% - 91% Amber 90% & below Red

KPI 10

Provide detailed MI

Monthly returns by the third (3rd) working day of each month. Yearly returns by the third (3rd) working day following the anniversary of the contract.

DWP 100% Green 99% & below Red

KPI 11

To forward all provider’s complaints and proposed draft responses to the DWP

Within five (5) working days of receipt for approval ahead of issue to the customer. Rework to be done within one (1) working day of notification by the DWP.

The Provider 99% & above Green 98% - 96% Amber 95% & below Red

KPI 12

To forward any complaints relating to the DWP

Forward any complaints relating to the DWP within two (2) working days.

The Provider 99% & above Green 98% - 96% Amber 95% & below Red

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Chapter 8: Complaints and Document Retention Enquiries and complaints Issues management Document security Document retention

Enquiries and complaints

8.01 You must have an appropriate and effective complaints process across your whole supply chain to resolve customers’ complaints. You must explain your complaints process to the participant in your first contact with them.

8.02 Where a formal complaint has been received from a customer, a drafted response should be submitted to [email protected] before replying to the customers complaint. AtW Operations will review the draft response and request a rework if appropriate or confirm their approval. Once you have received an approval from AtW Operations, the response should then be sent to the customer.

8.03 You should refer to the Complaint Resolution Core Briefing Pack for providers and the DWP Customer Charter when reviewing your processes.

8.04 If a customer is unhappy about the service they receive from you and raises a complaint, you should ensure that you follow each step of your detailed process robustly in order to bring the complaint to a satisfactory conclusion.

8.05 After following all steps in your process you must include in your final response to the participant a standard text which signposts the customer to contact ICE should they wish to pursue their complaint. The text can be found in Annex H of this Provider Guidance.

8.06 The Independent Case Examiner (ICE) will mediate between you and the customer to broker a resolution. If a resolution cannot be agreed between either party, ICE will ask to see the evidence. You must provide all the evidence which relate to the complaint. ICE will again attempt mediation between you and the customer (known as a ‘settlement’ if the evidence is needed to broker an agreement). If this cannot be achieved, ICE will undertake a full investigation of the complaint.

8.07 Please note that under normal circumstances, if a complaint is upheld against you at investigation stage, £5,000 is recovered from you to go towards funding the ICE service for provider complaints in the following year.

8.08 Further information on complaints procedures can be found in your contract and in Chapter 2 of the Generic guidance for DWP Providers - Delivering DWP Provision.

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Issues management

8.09 When you identify problems relating to any aspects of the services you deliver, you should resolve such problems in an appropriate manner.

8.10 You should report any proposed changes to the way in which your services are accessed or suggestions for improving the efficiency of the services provided to your Performance Manager in writing. Their approval is required prior to implementation.

Document security

8.11 Please refer to Chapter 8 of the Generic Guidance for DWP Providers - Information Security.

Document retention

8.12 You should keep and maintain for 6 years after the end of the contract period, (or as long as may be agreed) a full and accurate record of the contract including the services supplied under it, all expenditure reimbursed by the Department and all payments made by the Department.

8.13 In respect of completed specified reports, documents and personal notes, these can be retained for up to six months after the exit report payment. At which point they can either be:

securely destroyed and disposed of; or anonymised and retained for up to 6 years.

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Annexes Annex A: MHSS Referral Form

Annex B: Customer Consent Form

Annex C: MHSS Support Plan

Annex D: MHSS Monthly Update

Annex E: MHSS 6 Month Report

Annex F: MHSS Exit Report

Annex G: Specified Standard

Annex H: Issue Resolution Template

Annex I: Standard wording for complaints

Annex J: PRaP Process

Annex K: Monthly MI Pack