Statutory guidance

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

Updated 2 November 2023

How to refer a customer to AtW

4.1. 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 9.00 am to 5.00 pm Monday to Friday on 0800 121 7479 (Textphone 0800 121 7579); or
• directly applying to the provider.

4.2. Applications made to the DWP for the AtW Mental Health Support Service will be referred to the AtW Case Manager on the same day. The AtW Case Manager will contact the customer to discuss their eligibility and how the customers’ mental health condition affects them in the workplace. For customers who are eligible for AtW, the AtW Case Manager will email the MHSS Referral Form to you and a referral will be made via the Provider Referrals and Payment system (PRaP). You may then commence engagement activities. However, if you have not received the associated PRaP referral the following working day, you must e-mail the AtW Case Manager immediately, sending a copy of this e-mail to the: ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK

4.3. Referrals will be allocated to providers on a National Insurance Number split. Referrals will be regularly monitored by the AtW Operational Team to ensure an equal market share to each provider. If any provider has excess referrals, AtW Case Managers will make additional referrals to the competing provider.

4.4. For 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 Case Manager, to determine eligibility. The AtW Case Manager will notify you if the customer is eligible for the Mental Health Support Services and a referral will be made via PRaP.

4.5. The decision if a customer is eligible for AtW Mental Health Support Service remains with the AtW Case Manager

4.6. Trusted Partners Secure Email must be used for sending and receiving referrals. All queries regarding a MHSS referral or follow up report should be sent to: dwpatwmhssquery@DWP.GOV.UK

Identity checks

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

4.8. 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 Case Manager referral; and
• details you hold on your records.

Inappropriate referrals

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

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

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

4.12. Where the error is discovered after the AtW MHSS Support Plan Start has been recorded, you should complete a PRaP 14 form and send it to the AtW Policy inbox: atwproviderguidance.policy@dwp.gov.uk

4.13. The AtW Policy team will then consider your request and you will be notified of the outcome. We may need to gather further information from you to enable us to process your request. If the PRaP 14 request is agreed, it will be sent to the PRaP Operational Support Team (POST): prap.support@dwp.gov.uk. The POST team will then take action to remove the incorrect date(s) enabling you to input the correct ones, if required.

Starting AtW Mental Health Support Services

4.14. 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 days (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;
• 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, videolink or 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).

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

4.16. At the initial 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.

4.17. The Support Plan and the Consent form should be sent to the AtW Service Centre case worker team within 1 calendar month, ensuring this meets the required quality and standard. Record in PRaP, within 5 working days of confirmation by the AtW Service Centre case worker team that the Support Plan has met the required standard.

Cancellation of an AtW Mental Health Support Service Referral

Cancellation by the customer

4.18. 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.

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

• the customer is not available in the timeframe specified in your contract from the original referral. The AtW Case Manager 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 working days of the PRaP referral and the customer has not contacted you. The AtW Case Manager must be informed of all 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 Case Manager on the second working day (if the AtW Case Manager 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.

4.20. You will need to notify the AtW Case Manager if the customer does not wish to join the AtW MHSS provision and close the PRaP referral accordingly.

4.21. Please note, no PRaP referrals should be cancelled prior to contacting the AtW Case Manager.

Cancellation by the Provider

4.22. 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 Case Manager for advice, giving the reasons for cancelling the appointment.

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

Support Period

4.24. Customers will receive the initial work-related support period for 6 months, (182 days from AtW Case Manager 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 workplace. 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 Case Manager.

4.25. 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 Case Manager, subject to the AtW Case Manager’s approval of the Support Plan or any subsequent approved re-work).

4.26. 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 Case Manager 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.

4.27. 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 Case Manager, explaining the reason for the delay. The monthly meeting and submission of Annex D must then be completed at the earliest convenience. Please note: DWP does not expect this to be a frequent occurrence and will be monitored.

Disengaged Customers

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

4.29. 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 Case Manager immediately by encrypted e-mail. The AtW Case Manager will update the Department’s systems noting the customer has disengaged from the provision.

4.30. 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.

4.31. 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 Case Manager 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.

4.32. 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.

4.33. 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 Case Manager by encrypted e-mail. The AtW Case Manager 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.

4.34. 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.

4.35. 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.

4.36. 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 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).

4.37. 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.

4.38. 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.

4.39. 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

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

4.41. 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 Case Manager (as notified by the AtW Case Manager 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 Case Manager 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 Case Manager approved the Support Plan.

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

4.43. The end date should be recorded in PRaP.

Special Customer Records

4.44. Customers who have been granted Special Customer Records (SCR) status (as determined by HMRC 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.

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

4.46. If a Special Customer Records Customer is identified, please liaise with the AtW Business Support Management Team, by e-mail, at: ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK to determine appropriate action.

4.47. 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

4.48. 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.

4.49. 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.

4.50. The nominated AtW Case Manager 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.

4.51. 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.

4.52. The AtW Case Manager will also provide you with the customer’s contact details.

4.53. 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 in Chapter 2 of the Generic Guidance

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

Incident Markers

4.55. In some circumstances you will receive a PRaP referral with an incident marker recorded. Participants will not be excluded on the basis of potentially violent or inappropriate behaviour, and you will need to speak with the referring office to find out the specific details.

4.56. Further information regarding managing Incident Markers is available in Chapter 2 of DWP Generic Guidance

Handling of Sensitive Customer Referrals

4.57. There may be occasions where members of the AtW Operational 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.

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

Update: October 2023 – V7.