Statutory guidance

Chapter 7: Performance and Management Information

Updated 2 November 2023

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 at ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK and any other agreed DWP contacts.

7.02. Monthly MI (Annex K) 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;
• 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:

a. how and why activities were selected; and

b. 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:

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

d. mental health disclosure rates from 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 underpins 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, 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
• 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 Case Manager	90% of reports to be returned within one (1) calendar month of DWP referral, to the AtW Case Manager, to the required quality and standard.	DWP	90% & above Green 89% - 85% Amber84% & below Red
KPI 3	Rework of the MHSS Support Plans to the AtW Case Manager	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 Case Manager.	DWP	99% & above Green 98% - 97% Amber 96% & below Red
KPI 4	Submission of MHSS 6 Month Report to the AtW Case Manager	90% of reports to be returned to the AtW Case Manager 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 Case Manager	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 Case Manager.	DWP	99% & above Green 98% - 97% Amber 96% & below Red
KPI 6	Submission of MHSS Exit Report to the AtW Case Manager	90% of reports to be returned to the AtW Case Manager 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
KPI 7	Rework of the MHSS Exit Report to the AtW Case Manager	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 Case Manager.	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 Case Manager 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 Green96% - 91% Amber90% & 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% Green99% & 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 Green98% - 96% Amber95% & 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% Amber95% & below Red