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1 Version 8, January 2020
Access to Work Holistic Assessments
Provider Guidance
2 Version 8, January 2020
Contents
Chapter 1: Introduction and Overview of the Programme .................... 3
Chapter 2: Target Group and Eligibility ................................................ 6
Chapter 3: Marketing and Communications ....................................... 13
Chapter 4: Quality .............................................................................. 14
Chapter 5: The Provider Referrals and Payment System (PRaP) ...... 18
Chapter 6: Performance ..................................................................... 24
Chapter 7: Complaints and Retention of Documents ......................... 28
Annexes ............................................................................................. 30
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Chapter 1: Introduction and Overview of the Programme
Background
Eligibility conditions for Access to Work
Types of support
Background
1.1 The Access to Work programme is a DWP 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. Support is also available for young disabled people to
enable them to take up an offer of a Work Experience placement or
Supported Internship.
1.2 Access to Work does not fund normal business running costs or general costs
that every employer and employee has but it may contribute to additional
employment costs resulting from disability over and above those costs
considered to be reasonable adjustments required by the Equality Act 2010.
1.3 Access to Work cannot pay for the costs of setting up a business such as:
standard items of equipment
support for fact-finding and
attending courses, seminars or similar events.
1.4 The vast majority of “reasonable adjustments” required under the Equality Act
2010 are able to be delivered at low or no cost and the bulk of working
disabled people are able to continue their employment on that basis.
However, for the minority of customers with disability related workplace needs
beyond reasonable, Access to Work can provide funds to meet those costs in
order to increase the opportunities for recruitment and retention of those
people with the highest needs. In some cases, (for example, larger
employers) DWP and the employer will share these extra costs.
Eligibility conditions for Access to Work
1.5 Access to Work is available to people who have a disability, health or mental
health condition.
1.6 To receive Access to Work help, the following eligibility conditions must be
satisfied. Customers must be:
disabled, or have a health condition that has lasted for or is likely to last for
more than 12 months and that impacts their ability to work
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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 rate for each hour that they work (there is no
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
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
trial)
in need of help at a job interview with an employer. It is normally used by
deaf/hearing loss customers requiring British Sign Language interpreters
or lip-speakers. It is available to anyone who has a disability which affects
their ability to communicate (eg: mental health needs or people with
learning disabilities needing a job coach to support them whilst
undertaking a “working interview” to demonstrate their ability to do the job).
It is available for all job interviews, including internal promotion
Communication Support at an interview cannot be used for:
o communication within a job such as job induction and job reviews,
when you should consider a Support Worker;
o customers attending interviews with a Disability Employment Adviser,
Jobcentre Plus Specialist Adviser or other DWP staff; and
o attending other DWP programmes such as the Work Programme (or its
successor, the Work & Health Programme, which starts from
November 2017)
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
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.
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1.7 Support is also available for opportunities that will help disabled people get
ready for employment such as Traineeships, Sector-based Work Academies
and Supported Internships.
Types of support
1.8 Access to Work provides practical advice and support to disabled people and
their employers to help overcome work related obstacles resulting from
disability. It can also provide a grant towards additional support relating to
their disability that the person would need to do their job.
1.9 The Access to Work Assessment contracts offer individuals Holistic
Assessments that explore all relevant factors that impact on their work place
barriers to employment. The purpose of the assessment is to make
recommendations on how to overcome these barriers and to provide a Needs
Assessment Report to the DWP National Access to Work Team which
contains recommendations for the provision/purchase of specialist equipment
and adaptations or a workplace support worker as appropriate.
1.10 Help is available in a number of ways. For example, it can help pay for:
special aids or equipment to enable a disabled person to do their job
adaptations to equipment to make it accessible
adaptations to buildings to make them accessible over and above what is
required by law
the additional costs of travel to work for people who are unable to use
public transport because of their disability or health condition
a support worker in the workplace, such as:
o a reader for a visually impaired person (increasingly replaced by
screen-reader software) and/or
o an interpreter for someone with hearing difficulties.
1.11 As at April 2019, the upper limit of grants for Access to Work customers is
currently set at £59,200 per customer. This limit is reviewed annually in line
with UK average earnings. The cost of contracted provision provided through
Access to Work such as workplace assessments or the Mental Health
Support Service does not count against this limit. Detailed background and
further information is available on request from your Performance Manager.
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Chapter 2: Target Group and Eligibility
How to refer a customer to Access to Work
Holistic Assessment contracts
Initial engagement and customer contact
Undertaking an Holistic Assessment
Scheduling an Holistic Assessment
Exceptional circumstances
Cancellation of an Holistic Assessment
Validity period of Needs Assessment Report
Additional needs
How to refer a customer to Access to Work
2.01 Access to Work is delivered through DWP Access to Work Advisers (Referred
to as Access to Work Advisers throughout this guide), who can offer advice to
customers and employers.
2.02 Customers can apply for Access to Work support in any of the following ways:
online at the Access to Work section of GOV.UK
by telephoning the Access to Work Service Centre between 8am to
7.30pm Monday to Friday on 0800 121 7479 (Textphone 0800 121 7579)
or
emailing your request for support to [email protected]
2.03 Customers should contact the Service Centre themselves. Therefore, if a
customer appears eligible for Access to Work, providers should explain to
them that they should contact the Access to Work Service Centre and provide
them with the relevant contact details.
2.04 The Service Centre will:
check their eligibility and
take their application and pass it to an Access to Work Adviser.
2.05 The Access to Work Adviser will work closely with the customer and can draw
on the expertise of independent specialist assessors to identify appropriate
solutions to their needs, working with the customer and their employer to
propose a package of help.
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Holistic Assessment contracts
2.06 The contract period for the Holistic Assessment contracts begins on 5 June
2017 and will run until 4 June 2021.
2.07 You are responsible for ensuring you read, understand and comply with your
contract and this guidance, in conjunction with the Generic Guidance for DWP
Providers.
Initial engagement and customer contact
2.08 You are required to:
provide a customer help-desk facility from 08.30 to 18.00 Monday to
Friday
record all Needs Assessment Referrals and assess, prioritise and action
them in an efficient, customer focussed and cost effective manner
requisition an appropriate Holistic Assessment using the form at Annex A
from an approved assessor who is named in your contract and
contact the Access to Work customer within 1 working day of receipt of the
Needs Assessment Referral from the Access to Work Adviser (not
including weekends or public holidays), to arrange a date and time for the
Needs Assessment. (The Access to Work Adviser will have obtained the
customer and/or employer and any other parties contact details to help
you make initial contact within the timeframe indicated in your contract.)
2.09 You should not provide work related support for customers with regard to
mental health provision. You should notify the Access to Work Adviser of any
mental health support requirements. The Access to Work Adviser will then
take the appropriate action.
2.10 You should not comment on or offer advice to customers or their employers
about any aspect of the potential decision on their application for an Access to
Work grant.
2.11 If you receive a request which you consider to be potentially outside your
remit or that you have received an inappropriate referral, you should refer to
your DWP Single Point of Contact (SPOC) - the Access to Work Contract
Liaison Point. In the absence of the SPOC you may contact the Access to
Work Business Manager to determine the appropriate action to take.
Undertaking an Holistic Assessment
2.12 The customers’ expectations should be managed throughout the Holistic
Assessment process to minimise the possibility that they may reject their final
report. The content of the report should not come as a surprise to the
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customer, nor should they be expecting support over and above what is
recommended.
2.13 A suitably qualified assessor will:
meet with the customer face-to-face
undertake the specified Holistic Assessment exploring all relevant factors
of the individual’s disability. The assessor must make the customer aware
that the resulting Needs Assessment Report comprises recommendations
for consideration, not guaranteed outcomes
make recommendations to address work related barriers specifically
related to the customer’s disability. Support Worker support can be
recommended but all other potential options must be explored first and the
report should clearly indicate the other options that were considered and
why they were deemed unsuitable. The report should clearly indicate tasks
that potentially require Support Worker assistance and the average
amount of time the customer spends on this task per month
produce a written Needs Assessment Report in the specified format and to
the specified standard using the form at Annex B and return it,
electronically encrypted, within the timeframe specified in your contract, to
the e-mail address as specified within the initial referral ensuring the report
is:
o legible and in plain language using inclusive terms (eg: avoiding
references to “hearing impaired” for deaf people)
o checked for grammar, spelling and punctuation
o well-presented and of good quality
o in 12 point, Arial font (unless you need to make alternative requirements
due to the customer’s disability)
o logically sequenced, clear, informative and complete
o fully detailed and consistent (please note it will be seen by the customer
and/or their employer)
o not prescriptive but provides recommendations based on evidence
(terminology used should demonstrate an emphasis on independence
and choice) and
o made up of recommendations detailed in order of value for money.
2.14 From 03/12/2018, a new element of Access to Work will be available called
the Transitional Employer Support Grant (TESG). There will be no difference
to the assessment being undertaken and should be conducted as detailed
above. Where the Access to Work adviser has indicated on the email Needs
Assessment referral form that it is a TESG application the following will need:
Assessment of needs - where individual support needs are in excess of
20% of their role including job aide, job coach, extra supervision, support
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that is not directly related to work place activities (e.g. personal finances or
handling difficult personal matters) but necessary to sustain employment
Employer Section – this should include details of employer, Health and Safety requirements and steps the employer is taking to accommodate the individual e.g. by adapting business processes, machinery, the pace of work expected and the extent of the job role (job carving)
Progression Planning - you should detail steps being taken to support
progression into mainstream employment if appropriate.
2.15 If recommendations are made for building adaptations (over and above those
which are required by law) to enable access to premises, you will specify
quantities and suggest specialist suppliers for the employer to contact, to
investigate the feasibility of removing the barriers, but you will not recommend
specific works or contractors to carry out the works.
2.16 In a small number of cases, the Access to Work Adviser may request an
additional Needs Assessment Report from you if they have concerns about
the recommendations included in the existing report. This situation could arise
when, for example, a customer’s representative/interpreter assists them with
the Access to Work application process and this person or their employing
organisation may also be helping the customer to identify types of support
they require and offering to provide that support.
Scheduling an Holistic Assessment
2.17 Key to scheduling the assessment with the customer 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 Access to Work customer within 1 working day of receiving a
Needs Assessment Referral Form from DWP (not including weekends or
public holidays) to arrange and agree with them a date and time for the
Holistic Assessment
offer the customer at least 5 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 1 working day of referral to
contact the customer to schedule the Holistic Assessment. If successful
and the Holistic Assessment has been scheduled, record on PRaP within
2 working days of receipt of the initial referral
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
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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)
if you are unable to contact the customer on day 1 and schedule the
Holistic Assessment, you must continue to make contact with the customer
on subsequent days and record on PRaP once the Holistic Assessment
has been scheduled, even if this falls outside the 2 working day target.
2.18 If you are unable to contact the customer within the first 2 days, you should
confirm the customer contact details with the Access to Work Adviser,
informing them of the dates and methods you have used when attempting to
contact the customer. The Access to Work Adviser will offer advice on further
action to be taken.
2.19 Once the Holistic Assessment has taken place, you should complete and
send the Needs Assessment Report in the usual way.
Exceptional circumstances
2.20 If you are experiencing difficulty obtaining commitment from specialist
suppliers to undertake an assessment and provide a quotation, and this is
clearly delaying Access to Work support from being provided, you should
inform your Access to Work Adviser.
2.21 You may be asked to provide evidence on how the sole supplier
equipment/services could better overcome the customer’s disability and
difficulties they are facing at work. If so, please send all details of the situation
to the DWP Access to Work Contract Liaison Point, at
2.22 You should include details of the problem you are experiencing that cannot be
resolved via the existing Access to Work supplier processes and fully explain:
why the specialist will not attend to undertake the assessment
what negative effects this will have on the customer and
your suggested alternative approach.
Cancellation of an Holistic Assessment
Cancellation by the customer
2.23 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.
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2.24 This applies if a customer cancels a scheduled appointment or does not wish
the Holistic Assessment to take place at all. You will need to notify the Access
to Work Adviser if the customer does not wish the Holistic Assessment to take
place at all and close the PRaP referral accordingly.
2.25 In the event of a cancellation by the customer, you should reschedule a new
appointment. However, you should notify the Access to Work Adviser if:
the customer is not available in the timeframe specified in your contract
from the original referral. The Access to Work Adviser must be informed of
the reasons for the customer cancellation and any rescheduling attempts
you have made, duly recorded on the Cancellations Log (Annex D using
the Cancellations Log tab of the spread sheet)
the customer does not want the Holistic Assessment to take place at all
the customer is not sure when they will be available
you are unable to contact the customer within 2 days of the original referral
and the customer has not contacted you. The Access to Work Adviser
must be informed of all the dates and times you have attempted to contact
the customer and the method of contact used
the report is going to be sent outside the 8-day period with reasons.
Cancellation by the Provider
2.26 If you need to postpone a scheduled appointment or if, rarely, are unable to
carry out the Holistic Assessment, you should contact the Access to Work
Adviser for advice, giving the reasons for cancelling the appointment, duly
recorded on the Cancellations Log (Annex D using the Cancellations Log tab
of the spread sheet).
2.27 It is not acceptable to return referrals due to lack of assessor availability.
Validity Period of Needs Assessment Report
2.28 Recommendations from the Needs Assessment Report are expected to be
implemented by employers at the earliest opportunity to enable the employee
to integrate into their working environment as quickly as possible.
2.29 If longer than 12 weeks elapses and the recommendations haven’t been
implemented, a new referral will need to be made and a new Needs
Assessment will need to be completed to ensure the recommendations are as
up to date as possible.
Additional Needs
2.30 You should, wherever possible, comply with (and provide at your own cost)
any reasonable requests to accommodate customers who have additional
needs.
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2.31 Additional needs include, but are not limited to, the requirements of the
customer for the Holistic Assessment to be undertaken by an assigned holistic
assessor of the same gender or the customer’s need for an interpreter or BSL
signer during the assessment process.
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Chapter 3: Marketing and Communications
Marketing
Communications
Marketing
3.01 You should not directly market your services to either the individuals you have
assessed under the contract or their employer.
Communications
3.02 You should establish and maintain robust communication channels with all
your delivery partners to ensure prompt and accurate transmission of
information.
3.03 It is your role to keep the Access to Work 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.
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Chapter 4: Quality
Quality
Assessors
Quality
4.01 We are keen to ensure that the quality of Access to Work provision is second
to none and consider this to be a shared responsibility.
4.02 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 Access to Work 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
demonstrate a sound understanding of the breadth of disability issues
which may be experienced by Access to Work customers and the
appropriate support options available to address the customer’s workplace
barriers to meet the customer’s minimum needs
give advice and guidance on technical and ergonomic issues as deemed
appropriate by DWP and
build strong links with key partner organisations.
4.03 The Needs Assessment Report at Annex A is required to enable Access to
Work Advisers to determine the best possible solution for the customer.
4.04 It is important that the report is of good quality and the Access to Work 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 but is
also detailed in the Access to Work Holistic Assessments Specification at
paragraph 7.4 and Annex D
4.05 A report may be deemed not to meet the specified standard (and therefore
rejected) if, for example:
there are insufficient quotations or no quotations have been provided
there is no sole supplier stencil
three quotations are not provided for items over £500
for training quotations – if a quotation is provided per training session
instead of for the complete package to avoid providing three quotations
(e.g: half day support costs £150 but the customer needs 10 half days,
taking the cost up to £1500, we therefore would require three quotations
as the item cost is over £500)
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quotations provided are not for exact costs. All costs should be calculated
and quoted accurately
quotations do not include VAT/delivery costs (for VAT calculations, any
part of a penny should be rounded up to the nearest whole penny)
quotations are not on a separate page
value for money is not considered (i.e: many cheaper quotations
available);
in regard to chairs, if the quotations are for different specifications
compatibility checks are not done before recommending equipment/
software
incorrect information is reported
there are spelling and/or grammatical errors that have a material impact on
the report
the recommendation for support is not available in the customer’s area
recommending Human support without Access to Work Advisers’ consent
recommending Human support without exploring other options
there is no full justification for the support recommended
there is no explanation of how recommendations will overcome the
customer’s difficulties
it is evident that the Assessor has been influenced by customer preference
and has not considered the minimum requirements (e.g: this is sometimes
evident in reported conversations with Advisers which focus on what the
customer ‘prefers’ or ‘wants’
there is missing information as per the referral standards (i.e: progression
planning, employer section) in the report
there is missing information regarding the customer’s condition/ support
required (e.g: if an element of support is discussed with the Assessor but
has not been included in the assessment report, such as travel to work
considerations)
it contains personal/confidential information reported to the Assessor that
the customer did not want disclosing on the report (Assessors should
ensure that they advise the customer that they will report anything they tell
them unless otherwise stated)
the report indicates that the employer is not sympathetic or making
reasonable adjustments when this is not the case (i.e: reporting that time
off is needed for appointments, breaks required etc.)
the report is too prescriptive in telling the employer what they should be
doing instead of suggesting under reasonable adjustments
there is no evidence that a holistic approach has been taken
the barriers are not fully explained
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the report is too prescriptive in advising what Access to Work will or will
not pay for
no Job Analysis is contained in the report
a bundle price is provided for equipment and does not break down the
exact, individual costs within that bundle.
4.06 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 C.
4.07 If the Access to Work 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.
4.08 If you are concerned about reports that have been returned for rework, you
should refer to your DWP SPOC, the Access to Work Contract Liaison Point,
within the Access to Work Team. In the absence of the SPOC you can contact
the Contract Support Officer to determine the appropriate action to take.
4.09 The Access to Work team will monitor the quality of assessment reports and
the number returned to each provider as unacceptable on a monthly basis.
4.10 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.
4.11 Access to Work customers and their employers will be advised that they have
a period of two weeks from receipt of the report in which to respond to the
report and raise any concerns.
Assessors
4.12 Assessors should be suitability qualified and experienced to enable them to
recommend the correct solutions. If, following investigation, you are found to
be responsible for making incorrect recommendations; you will be liable for
any additional costs. This would include an additional Holistic Assessment, if
necessary.
4.13 You should ensure all Holistic Assessors meet the standards set out in your
contract and that they continually update their skills in line with professional
17 Version 8, January 2020
requirements to ensure they have the necessary experience required to
deliver the contract.
4.14 All changes in personnel and/or organisational structures/responsibilities
should be notified in advance to your Performance Manager and Commercial
Contract Manager. It is your responsibility to ensure that all replacement
personnel are of at least equivalent experience/skills to the former post
holder, in line with your contract.
4.15 If an assessor’s reports are consistently considered to be not to the specified
standard or if the Access to Work team have concerns regarding the service
provided, (including but not limited to the number of complaints received),
your Performance Manager will work with you to implement a Performance
Improvement Plan.
4.16 If improvement to the required level is not achieved in line with the
Performance Improvement Plan, the assessor will be removed from the list of
approved personnel. The Access to Work Contract Manager will make the
final decision in this instance.
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Chapter 5: The Provider Referrals and Payment System (PRaP)
General information
PRaP Operational Support Team (POST)
Security
Using the PRaP system
Customer’s referral from Access to Work
Providers acknowledges a referral
Start provision
Assessment outcome payment
Referral end date
Assessment rework management information (MI) only line
Special Customer Records
General information
5.01 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.
5.02 You will access PRaP via DWP Authenticate and download information to
your IT system, where you will be able to manage and update information
about customer progress into PRaP.
5.03 Payment claims and calculations are generated automatically.
5.04 The PRaP system also provides transparent data about the cost and
performance of DWP provision and payments, supporting contract and
performance management.
5.05 For further information about PRaP, please see our questions and answers
More information on the PRaP system.
PRaP Operational Support Team (POST)
5.06 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.
5.07 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
5.08 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.
5.09 You must ensure you meet relevant security requirements when contracts go
live and thereafter. Find details on Provider security information.
Using the PRaP system
5.10 Please see the process map at Annex F.
5.11 You will use the PRaP system to receive your referrals and to record
customer activity.
5.12 Direct access to PRaP is limited to prime service providers/ contract holders
(you).
5.13 You must ensure that you update the PRaP system promptly and accurately.
5.14 On receipt of the Needs Assessment Referral Form from the Access to Work
Adviser, providers may commence engagement activities. However, if you
have not received the associated PRaP referral the following working day, you
must e-mail the Access to Work Adviser immediately, sending a copy of this
e-mail to the Access to Work Contract Liaison Point at
[email protected] (Please
see Paragraph 2.08).
5.15 Failure to ensure the PRaP referral has been received could adversely affect
payments and provider performance.
Customer’s referral from Access to Work
5.16 Information sent as part of the referral via PRaP is personal data within the
meaning of the Data Protection Act and handling, processing and
transmission rules apply. The information sent as a minimum will include:
full name including title
National Insurance number
full address (including post code)
telephone number (including STD code)
other telephone number (mobile)
incident marker (notification when a customer has had an incident
recorded while working with Jobcentre Plus. Further information on
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incidents can be requested from Jobcentre Plus, via your Access to Work
Adviser)
disability status (notification that the customer has informed Jobcentre
Plus that they are disabled)
Please note: under current processes you will be notified via secure
encrypted email that the customer is a disabled person but you will not be
notified what the disability is. Disabled customers may require special
arrangements when you meet with them
Welsh language, written or spoken
referral ID
provision ID
date of referral
vulnerable customer status (this will be notified in the form of the word
“Safeguard” which will be detailed within the Action Plan Items of the field
of the referral) and
disadvantaged marker set Y (yes) or N (no).
Please note: If information states disadvantaged marker set ‘Y’ you will
need to ask the customer to disclose any disadvantages they have.
5.17 There are no programme-specific PRaP actions for Access to Work.
5.18 The Oracle User Productivity Kit (UPK) is accessed via the ‘Help’ function
within PRaP. UPK should be used in conjunction with this guidance to ensure
accurate and timely input.
5.19 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’.
5.20 The following lines are available to be claimed:
ATW001 – ATW Start
ATW002 – ATW Holistic Assessment Payment
ATW003 – Referral End and
ATW004 – ATW Re-work MI Only line.
5.21 The following paragraphs provide information on the actions you need to
perform within PRaP.
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Provider acknowledges a referral
5.22 Upon receipt of a referral from an Access to Work Advisor, you should access
the PRaP system within 1 working day and acknowledge the referral.
(Further information regarding the use of the PRaP system can be found
within the on-line UPK guidance).
Start provision
5.23 The AtW start has three options. These are:
did not attend (DNA) when you cannot contact a customer or
did not start (DNS) when you cancel the meeting with the customer or
a start when a suitable appointment with the customer has been made.
5.24 You are required to input dates into PRaP to confirm the 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 you contacted the customer and
date 2: the date of your PRaP input.
Assessment outcome payment
5.25 Once the Holistic Assessment has been completed the Assessment Outcome
Payment can be claimed in PRaP.
5.26 You must ensure that you only submit claims for payment to which you are
entitled. DWP will, to the extent it deems necessary, undertake payment
checks on claims to establish their validity. Any erroneous payments made
will be recovered.
5.27 Prior to claiming the Assessment Outcome Payment line, you must compete
the Job Details screen:
employment type, job title, job start date and working pattern fields must
be completed. Other fields do not require populating and should be
completed with ‘N/A’
o for ‘employment type’ select ‘employed’. If an assessment has been
delivered and the assessment outcome has been claimed the End
Date must be recorded in PRaP
o for ‘Job Title’ insert the Primary Health Condition
o for ‘Working Pattern’ insert the Primary Health Condition Code
o for “Job Start Date” enter the date the Holistic Assessment was
returned
22 Version 8, January 2020
o for “Job End Date” enter the same date as the Job Start date.
5.28 You will be required to input dates into PRaP to confirm an Assessment
Outcome 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 you returned the Assessment
date 2: the same date as Date 1.
Referral end date
5.29 The End Date must always be recorded in PRaP even if the Assessment has
not been delivered. For example, when a customer arranges an appointment
and subsequently cancels it.
5.30 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.
PRaP Leaver Code number
Standard End Reason Descriptor
ACCESS to WORK END REASON DESCRIPTO
36 No longer engaging with JCP
Cancelled by customer
37 No longer eligible Cancelled by Provider
39 Completed Provision Assessment completed
Assessments rework management information (MI) only line
5.31 When Access to Work receive an assessment that is not fit for purpose, or
needs rework, this line is used to record the action.
5.32 The following line is available for shipment: Assessment Rework MI Only line.
5.33 This line can be shipped after, before or at the same time as the End Date
line.
23 Version 8, January 2020
5.34 Prior to entering the assessment rework MI only line, the job details screen
must be completed.
5.35 Complete the Job Details Screen to show the rework has been undertaken.
5.36 Ship the Assessment Rework MI Only line:
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 rework was requested
date 2: the date rework was undertaken
for ‘Job Title’ insert the Primary Health Condition and
for ‘Working Pattern’ insert the Primary Health Condition Code.
Special Customer Records
5.37 The majority of claims for payment must be submitted via PRaP. However,
where you have a claim for a customer who is granted Special Customer
Records (SCR) status (as determined by HMRC Special Section D) 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.
5.38 If a Special Customer Records Customer is identified, please liaise with the
Access to Work Business Support Management Team, by e-mail, at
determine appropriate action.
5.39 The Access to Work 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.
24 Version 8, January 2020
Chapter 6: Performance
Management information (MI)
Monthly MI
Yearly MI
Ad-hoc MI request
Performance Management
KPI’s and Performance requirements
Market Share Shift (MSS)
Management information (MI)
Monthly MI
6.01 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 Access to
Work Contract Liaison Point).
6.02 Monthly MI must include the:
oldest case – number of days outstanding from referral and reasons for
delay, and volumes outstanding at the end of the month
volume of cancellations made by customers in month and by and year to
date including reasons for cancellation and the date on which the
customer was re-booked
volume of cancellations made by you in month and year to date including
reasons for cancellation and the date on which customer was re-booked
top ten recommended solutions in month and year to date
number of complaints handled by the Provider and time taken to resolve to
customer’s satisfaction (in Working Days) in month and year to date
the number of complaints referred to DWP in month and year to date
list of all Assessors engaged on the contract detailing their skills,
experience, clearances and qualifications.
6.03 Please see the attached MI template at Annex D
Yearly MI
6.04 You should submit your yearly MI by the 3rd working day of the next year to
your Performance Manager. Please also copy to the SPOC (the Access to
Work Contract Liaison Point).
6.05 Yearly MI must include the summary report for all your delivery staff detailing
all continuous professional development activities undertaken in the last 12
months and a forward look plan for the next 12 months. As a minimum the
plan should include:
25 Version 8, January 2020
how and why the activities were selected and the supporting rationale and
the benefits of these activities to the service you deliver.
Ad-hoc MI requests
6.06 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.
6.07 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
6.08 You will have monthly discussions with your Performance Manager (PM) and
Access to Work SPOC to review performance in month and trend
performance achieved against contractual requirements.
6.09 You will update your PM and commercial contact immediately on any changes
to information, data, progress, processes, procedures and issues relating to
this service.
6.10 Action Plans will be used to monitor and support continuous improvement and
monitor agreed performance improvement actions.
KPI’s and Performance requirements
6.11 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 is made within one
(1) Working Day of referral by
DWP and is recorded on PRaP
within two (2) Working Days of
the initial referral.
DWP 96% & above Green
95% - 91% Amber
90% & below Red
KPI 2 Return of
completed
specified
Needs
Assessment
Report
90% of Needs Assessment
reports to be sent and received by
the specified AtW Adviser within
eight (8) Working Days of referral
by DWP and recorded on PRaP
within fifteen (15) Working Days.
DWP 90% & above Green
89% - 81% Amber
80% & below Red
26 Version 8, January 2020
Ref SERVICE OR
PROCEDURE
DESCRIPTION OF STANDARD
REQUIRED
MONITORED
BY
Compliance Risk
Rating
KPI 3 Return of
completed
specified
Needs
Assessment
Report
90% of Needs Assessment
reports to be with the specified
AtW Adviser within eight (8)
Working Days of initial referral by
DWP to the required quality
(see KPI 4)
DWP 90% & above Green
89% - 81% Amber
80% & below Red
KPI 4 Accuracy
(quality)
Minimum of 99% of reports meet
the standard of acceptability
defined in Annex D.
DWP 99% & above Green
98% - 96% Amber
95% & below Red
KPI 5 Rework of the
specified
Needs
Assessment
Report
Within one (1) Working Day of
return by DWP to the specified
AtW Adviser.
DWP 96% & above Green
95% - 91% Amber
90% & below Red
KPI 6 Provide
detailed
Management
Information
Monthly returns by the third (3rd)
Working Day of each month.
Yearly returns by third (3rd)
Working Day following
anniversary of the Contract.
DWP 100% Green
99% Red
KPI 7 To forward all
Providers
complaints and
proposed draft
responses to
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 DWP.
The Provider 99% & above Green
98% - 96% Amber
95% & below Red
KPI 8 To forward any
complaints
relating to
DWP to DWP
Within two (2) Working Days of
receipt
The Provider 99% & above Green
98% - 96% Amber
95% & below Red
Please note: 90.5% will be rounded up to 91% (amber) in KPI 1 and 5
27 Version 8, January 2020
Market Share Shift (MSS)
6.12 Shifts are cumulative and therefore revised market shares will remain in effect
until or unless further revised (up or down) by a subsequent shift.
6.13 Before being considered for an increase in market share, if a Merlin Standard
Accreditation has been completed, the provider must have achieved a rating
of “excellent”, “good” or “satisfactory in the most recent assessment.
6.14 Until the first implementation of MSS DWP shall endeavour to refer customers
to the prime contract and a competing prime provider in equal numbers. At the
end of the 6 month MSS assessment period (starting from service
commencement) and each six-month assessment period thereafter, DWP
shall:
assess the provider’s performance against KPI 3 over the MSS
assessment period
not consider MSS if both the providers are ‘green’ on KPI 3
determine MSS on the Market Shift review date which will be 2 months
following the end of the MSS assessment period
shall (at its sole discretion) if one or more provider is rated amber or red
against KPI 3 allocate ten (10) percentage points less market share to the
lower performing provider against KPI3 and the provider whose
performance is higher will be allocated ten (10) percentage more market
share and
ensure that the maximum market share that one provider can achieve is
eighty (80) %.
6.15 If the competing provider with the lowest performance against KPI 3 (for a
MSS assessment period) has a compliance risk rating for that KPI of amber or
red, DWP may, at its sole discretion, reduce the future market share of that
provider by ten (10) percentage points and increase the market share of the
competing provider with the higher KPI 3 score (for the same period) by a
corresponding ten (10) percentage points.
28 Version 8, January 2020
Chapter 7: Complaints and Retention of Documents
Enquiries and complaints
Issues management
Document security
Document retention
Enquiries and complaints
7.01 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.
7.02 You should refer to the Complaint Resolution Core Briefing Pack for providers
and the DWP Customer Charter when reviewing your processes.
7.03 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.
7.04 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 E of this Provider Guidance.
7.05 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.
7.06 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.
7.07 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
29 Version 8, January 2020
Issues management
7.08 When you identify problems relating to any aspects of the services you
deliver, you should resolve such problems in an appropriate manner.
7.09 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
7.10 Please refer to Chapter 8 of the Generic Guidance for DWP Providers -
Information Security.
Document retention
7.11 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.
7.12 In respect of completed specified reports (Needs Assessment Referrals and
Needs Assessment Reports) these can be retained for up to six months after
payment is received at which point they can either be:
securely destroyed and disposed of or
anonymised and retained for up to 6 years.
30 Version 8, January 2020
Annexes
Annex A: needs assessment referral
Annex B: needs assessment report
Annex C: standard email format
Annex D: assessment contracts management information
Annex E: standard wording for complaints
Annex F: PRaP process
