Guidance

Access to Work holistic assessments provider guidance for contracts effective on or after 5 June 2023

Updated 5 February 2026

Chapter 1: Introduction and Overview of the Programme

Disclaimer: This document is intended to provide general guidance and does not prescribe a fixed approach to be followed in every instance. Each instance shall be assessed on a case-by-case basis.

Navigating this guidance product

This guidance has been structured to help you find information or the action you need to take, as quickly as possible. All chapters of this product are contained in a single document, so you can use search options such as:

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The Access to Work (AtW) Provider Guidance will sometimes use the term “you” or “your” to mean the AtW Providers.

Introduction

1.01 This DWP Programme-Specific Provider Guidance supports you, the Provider, in the delivery of AtW Holistic Assessment (HA) provision. It provides guidance on processes for the AtW HA programme and requirements, supporting the programme arrangements for delivery outlined in your HA Contract.

1.02 DWP has issued this AtW HA specific Provider Guidance and DWP Generic Provider Guidance to help provide you (and your sub-contractors, if applicable) with operational clarity and guidance.

1.03 This guidance must be read in conjunction with:

• Your HA Contract
• DWP Generic Provider Guidance
• DWP IT Systems User Guidance
• DWP Supplier Code of Conduct

1.04 You must ensure that any organisations with which you have a sub-contractual relationship also have access to, and have read, this guidance.

1.05 If you have any questions which are not covered by this guidance, please raise them with your Performance Manager in the first instance.

Background

1.06 The Access to Work Scheme (AtW) is a personalised grant which supports the recruitment and retention of disabled people in employment. The grant supports workplace adjustments that go beyond what would normally be expected from an employer through their duty to provide reasonable adjustments as outlined in the Equality Act 2010.

1.07 It assists disabled people who are in paid employment, self-employed or participating in a JCP agreed Job/Work Trial which may have already started or is due to start. It provides 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.

1.08 Access to Work does not fund normal business running costs or general costs that every employer and employee has. 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.

1.09 Access to Work cannot pay for general business expenses including when setting up a business for Self -employment such as:

• standard items of equipment, e.g. chair, desk, laptop (list not exhaustive)
• support for fact-finding; and
• attending courses, seminars, or similar events

1.10 These are considered as general business expenses that any self-employed person would incur, regardless of disability.

1.11 For further information on what AtW will not pay for please see Access to Work: get support if you have a disability or health condition

Eligibility conditions for the Access to Work Programme

1.12 To receive Access to Work support, the following eligibility conditions must be satisfied. Customers must:

• be disabled, have an illness or a health condition that impacts on their ability to work
• be 16 years old or over (there is no upper age limit for support if employment is likely to continue)
• have the right to work in Great Britain
• be living in Great Britain

Please Note: Northern Ireland, the Isle of Man, and the Channel Islands are not included for AtW support.

1.13 Additionally, the customer must be:

• employed or
• self-employed – It is a requirement for a self-employed person or business owner/director seeking AtW support, to demonstrate that the business is a viable and legitimate concern. To be considered viable, a business should achieve a minimum level of turnover each year during normal operations
• or about to start employment (customers can apply 12 weeks before start date) or
• have a contract of employment or are about to start a Work Trial (Jobcentre Plus organised or individually established where there is a reasonable prospect of employment after the trial) or
• about to start a Department for Education supported internship or
• about to start a traineeship or
• about to start a self-arranged work experience or
• about to start young person’s work experience or
• about to start or serving an apprenticeship or
• in need of communication help at a job interview with an employer, all job interviews, including internal promotion and to anyone who has a disability which affects their ability to communicate. It is normally used by deaf/hearing loss customers requiring British Sign Language interpreters or lip-speakers It is normally used by deaf/hearing loss customers requiring British Sign Language interpreters or lip-speakers.
• They must be 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:
  • National Living Wage is applicable to those aged 21 or over (but not in the first year of an apprenticeship).
  • National Minimum Wage is applicable to those aged 16- under 21; and
  • For people on an Apprenticeship a separate National Minimum Wage applies

1.14 Certain restrictions apply if the customer is working abroad. Support can be considered provided the job is based in Great Britain

1.15 Support workers, aides, and therapists may not be eligible for overseas travel unless explicitly approved by DWP.

1.16 Customers in receipt of certain benefits are not normally able to get AtW support.

1.17 These benefits are:

• Incapacity Benefit (IB), including the award of National Insurance credits only.
• Employment Support Allowance (ESA) (old style ESA) including the award of National Insurance credits only.
• New Style Employment Support Allowance
• Severe Disability Allowance (SDA)
• Income Support (IS) paid as a result of illness

1.18 Exceptions to the above are where the customer:

• is going for an interview, or
• starting a Work Trial, or
• has a job to start, and will stop claiming when employment begins or
• is on Permitted Work Higher Level, Permitted Work PCA Exempt or Supported Permitted Work.

1.19 Support is also available for opportunities that will help disabled people get ready for employment such as DfE’s supported Internships Programmes and Traineeships.

What are Reasonable Adjustments?

1.20 The grant supports workplace adjustments that go beyond what would normally be expected from an employer through their duty to provide reasonable adjustments as outlined in the Equality Act 2010.

1.21 Reasonable adjustments, if applicable, are changes an employer will make to remove or reduce disadvantages experienced by disabled employees or job applicants.

1.22 The vast majority of “reasonable adjustments” required under the Equality Act 2010 can be delivered at low or no cost e.g. flexible working hours, specialised equipment etc and the bulk of working disabled people can continue their employment on that basis. etc and the bulk of working disabled people can continue their employment on that basis.

1.23 Determination of what is a reasonable adjustment is dependent on many factors including employer size. The Advisory Conciliation and Arbitration Services (ACAS) guide on reasonable adjustments provides examples of things like Support Workers, Sign language interpreters, and assistive software as examples of reasonable adjustments.

1.24 Self-employed customers are responsible for making reasonable adjustments under the Equality Act 2010, especially if they are contracted to personally do the work.

1.25 For the customers with disability related workplace needs beyond reasonable adjustments, Access to Work can provide funds to meet those costs to increase the opportunities for recruitment and retention of those people with the highest needs. In some cases, (for example, larger employers) DWP cost share will be considered.

Minimum Need

1.26 The term “minimum need” indicates the minimal, yet suitable and necessary level of support required by a disabled person or person with a health condition to enable a disabled person to overcome workplace barriers, which arise from their disability or health condition.

1.27 A professional assessment will identify what the minimum need is for the customer. To assist in identifying the customer’s minimum need of support, the following factors can be considered:

• Necessary support to overcome specific barriers. Exploring other options of support must be considered to ensure ATW principles are met
• Cost-effective: offering suitable and cost-effective support that meets the customer’s needs without unnecessarily exceeding costs. Thus, ensuring cost-effectiveness and value for money. Foe example, avoid duplication of support already provided by an employer as a reasonable adjustment (i.e. equipment) or exploring equipment that already exists within a workplace that can be used by the customer and in the first instance opting for more cost-effective support (or items) that still meets the customer’s need
• Essential Support: Identifying what the customer’s needs are and what is absolutely necessary for the customer, to support them in the workplace therefore support (or items) is not purely recommended on the sole basis that the customer desires this item, e.g. because ‘it is nice to have’
• Equitable Support: Ensuring individuals are not disadvantaged (or advantaged) compared to colleagues without disabilities or health conditions addressing workplace barriers in a fair way

1.28 Minimum need is about providing the most cost-effective individualised solution for the customer and still meeting the customer’s essential (minimum) needs.

Please note:This list is not exhaustive but is intended to help inform the conversation and recommendation. Any recommendation from any AI platforms or third parties may be considered however, the final suggested requirements will be decided by the assessor taking the above into account (AtW principles/minimum need approach). The AtW grant decision will be made by the case manager based on the AtW principles of minimum need.

Self-Employment: Minimum Need Requirements

1.29 A customer is self-employed when working for themselves rather than being employed by a company or organisation.

1.30 To determine the requirements of a self-employed customer, you should have a clear understanding of the basic operational needs for someone starting a similar business, regardless of whether they have a disability or health condition.

1.31 This example is for illustrative purposes only:

If a customer is a self-employed accountant, their minimum business needs would not be paid for by AtW, including standard Display Screen Equipment which might include the following:

• a standard desk and chair
• a standard laptop or computer
• a method of promoting their services (e.g., website or social media presence)
• relevant professional qualifications
• licensed accountancy software to perform core tasks and generate income

1.32 For the customers with disability related workplace needs beyond reasonable adjustments, Access to Work may provide funds to meet those costs and in some cases, DWP may share these extra costs with the self-employed customer if appropriate.

1.33 While these needs may vary depending on the nature of the business, the purpose of identifying them is to establish what falls outside the scope of Access to Work (AtW) funding.

1.34 For instance, AtW cannot fund items or services that are considered essential for starting or running a business e.g. qualifications or basic equipment, or while the business is being formed.

Types of support

1.35 The Access to Work Holistic Assessment provides practical advice and support for disabled people and their employers to help overcome work related obstacles resulting from disability. It informs the Access to Work Case Manager when deciding on the appropriate grant amount due, considering both the customer’s disability needs and any adjustment that they would require to meet their minimum needs in their workplace.

1.36 The Access to Work Holistic Assessment contracts offer individuals Holistic Assessments, delivered face-to-face or virtually.to suit the needs and preference wherever possible.

1.37 The Assessment will explore all relevant factors that impact on their workplace barriers to employment.

1.38 The purpose of the assessment is to make recommendations on how to overcome these barriers and to provide a Holistic Assessment Report to the DWP National Access to Work Team. It will contain recommendations for the provision/purchase of specialist equipment and adaptations or a workplace support worker as appropriate.

1.39 Support is available in several ways. For example, it can help pay for:

• special aids or equipment to enable a disabled person to do their job; (which is not available to the customer from the NHS)
• adaptations to equipment to make it accessible.
• adaptations to buildings to make them accessible over and above what is required by law (adaptations should be over and above legal requirements and justified by business/customer need)
• 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:

  • a reader for a visually impaired person (increasingly replaced by screen-reader software); and/or

  • an interpreter for someone with hearing difficulties

1.40 Communication Support cannot be used for:

• communication within a job such as job induction job reviews and promotion when you should consider a Support Worker
• customers attending interviews with a Disability Employment Adviser, Jobcentre Plus Specialist Adviser or other DWP staff; and
• attending other DWP programmes such as the Restart Scheme

1.41 There is an upper grant limit for Access to Work Holistic Assessment per customer, per annum. 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 are available on request from your Performance Manager.

1.42 From 1 April 2022, all government departments are responsible for arranging workplace assessments and adjustments for their employees known as civil servants. Civil servants can no longer apply for Access to Work support including the Mental Health Support Services (MHSS).

Chapter 2: Target Group and Eligibility

Holistic Assessment contracts

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.

Please note: if there is any difference (or conflict) between the two this Provider Guidance supersedes the generic guidance, and the contract supersedes everything.

How to refer a customer to Access to Work Holistic Assessment  

2.1 Access to Work is delivered through DWP Access to Work Case Managers who can offer advice to Customers and employers.

2.2 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 calling the Access to Work Service Centre on 0800 121 7479, Monday to Friday, 9am to 5pm

• using Relay UK (if you cannot hear or speak on the phone) on 18001 then 0800 121 7479, Monday to Friday, 9am to 5pm

2.3 Customers not applying online should contact the Service Centre themselves where possible. If a Customer appears eligible for Access to Work, you should explain to them that they should contact the Access to Work Service Centre and provide them with the relevant contact details. The Service Centre will:

• check their eligibility; and
• take their application and pass it to an Access to Work Case Manager

2.4 The Access to Work Case Manager will work closely with the Customer. They can draw on the expertise of independent specialist assessors to identify appropriate solutions to their needs. They will work with the Customer and their employer to propose a package of help.

2.5 The Access to Work Case Manager will also inform the Customer that they have a choice of how the assessment is undertaken, either Face-to-Face or Virtually. They will discuss with the Customer which assessment type the Customer thinks is most appropriate for their needs.

Referrals from DWP Access to Work Case Manager 

2.6 As part of the referral, the Access to Work Case Manager will send over information on the Customer to support the initial contact.

2.7 DWP will endeavour to refer Customers in equal numbers to each of the two Access to Work Holistic Assessment Providers. Referrals will be split based on the last two digits of a Customers’ National Insurance Number.

2.8 Customers with a National Insurance Number ending between 00 to 49 will be referred to Supplier A. Customers with a National Insurance Number ending between 50 to 99 will be referred to Supplier B.

2.9 Provider employee referrals will be managed by the alternative Provider to maintain confidentiality. Providers should not process their own employees’ referrals to AtW HA.

2.10 If a Provider’s employee is referred to their own organisation, the Access to Work Case Manager will close the original referral and initiate a re-referral to the alternative Provider to maintain confidentiality.

2.11 Information sent as part of the referral is sensitive personal data within the meaning of the General Data Protection Regulation (GDPR), therefore handling, processing and transmission rules apply. The information will include (but may not be limited to) the following:

• full name including title
• Unique Reference Number (URN)
• National Insurance Number (NINO)
• place of assessment (full postal address)
• additional ID
• preferred contact details (email/phone/mobile)
• employment contacts
• customer availability
• disability description
• job title/description
• Access to Work Case Manager contact details; and
• date of referral
• appointee status and details
• reasonable adjustments agreed (YES/NO) (if none, leave the below blank
• assessment preference (Face-to-Face or Virtual)
• customer’s working pattern
• declared impact of disability on job role

2.12 You will need to work with the Access to Work Case Managers to ensure an effective referral and engagement process with the Customer.

2.13 Information will be transmitted to you via the Provider Referral and Payment (PRaP) system interface and the Access to Work Case Manager will send the Holistic Assessment Referral via e-mail.

2.14 Trusted Partners Secure Email must be used for sending and receiving referrals.  For queries regarding referrals or reports, you should contact the AtW Service Delivery ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK

Multi Agency Public Protection Arrangements (MAPPA) referrals

2.15 MAPPA are statutory arrangements for managing sexual, violent, and certain other offenders in the community in Scotland, England, and Wales.

2.16 MAPPA is not a statutory body but a mechanism through which agencies can better discharge their statutory responsibilities and protect the public in a co-ordinated manner.

2.17 The DWP Designated Officer will contact your ATW nominated officer to discuss any restrictions that should be in place for each MAPPA referral.

2.18 There are exceptional circumstances when you may receive the MAPPA J Form, but this will only be for those occasions where the DWP Designated Officer has sought the permission of the Responsible Authority/Lead Agency to share the MAPPA J with you. Where there is a need to share this information with you, the DWP Designated Officer will inform you how and when this will be shared.

2.19 The MAPPA J form and any other clerical documents for each claim must be held securely, with restricted access. Under no circumstances should a MAPPA J form be held on an IT system.

2.20 The DWP Designated Officer will also confirm the customers contact details.

2.21 You can set up normal electronic records on your IT systems for MAPPA Customers. However, the record must only contain minimal information and should be marked training and employment restrictions apply and that further information can be obtained from your nominated officer. Therefore, access to this record does not need to be restricted.

2.22 Further information on document retention can be found in the Generic Guidance, Chapter 2.

Referral - Multi Agency Public Protection Arrangements (MAPPA) cases

2.23 MAPPA cases who will be referred through PRaP.

Actions:

• the DWP Designated Officer will contact your nominated officer to confirm contact details and any relevant restrictions that may be imposed on the customer
• you must take the same action on PRaP as for non-MAPPA cases to acknowledge and start the customer

MAPPA referrals made to provision but with no notification from DWP

2.24. In exceptional circumstances, you may receive a referral for a customer who has MAPPA restrictions applied but there has been no contact from the DWP Designated Officer to advise of those restrictions.

2.25 If you have acknowledged the referral in PRaP and the customer discloses that they have a restriction, or you identify through discussions that MAPPA restrictions may apply, you will need to liaise with your nominated officer.

2.26 You should stop the meeting and enter DNS into PRaP. You should advise the customer this information will been referred back to DWP for additional checks, and if DWPs checks are approved, a new meeting will be arranged.

2.27 You should contact your nominated officer immediately and ask them to contact the DWP Designated Officer to discuss any restrictions.

2.28 If the DWP Designated Officer is unaware of the restrictions, they should contact the Responsible Authority (RA) for information on the restrictions.

2.29 Once the discussion with the RA has taken place and information on the restrictions has been received by DWP Designated Officer, AtW will re-refer the Participant to the programme, if appropriate.

Customer has started on the Programme

2.30 If the customer has started on the programme, and the customer discloses that they have a restriction, or you identify through discussions that MAPPA restrictions may apply, you will need to liaise with your nominated officer. You should stop the meeting and enter code 37 (not eligible) into PRaP and update annex D MMIR spreadsheet.

2.31 You should advise the customer this has been referred back to DWP for additional checks and, if DWPs checks are approved, a new meeting will be arranged.

2.32 You should contact your nominated officer immediately and ask them to contact the DWP Designated Officer to discuss any restrictions. If the DWP Designated Officer is unaware of the restrictions, they will contact the Responsible Authority (RA) for information on the restrictions.

2.33 Once the discussion with the RA has taken place and information on the restrictions has been received by Jobcentre Plus, they will re-refer the Participant to the programme, if appropriate.

Keep Customer Interactions Safe (KCIS) safety measure marker

2.34 If the Case Manager is made aware there is a Keep Customer Interactions Safe (KCIS) marker noted on DWP systems, you will be notified of this to enable you to put precautions in place for your staff.  This notification may come either directly from the Access to Work Business Support Team or may be digitally shared at the point of referral.

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

Acknowledging the referral

2.36 You must acknowledge the referral in PRaP within 1 (one) working day of receiving the referral.

Actions:

• access PRaP; and
• acknowledge Referral

Consequences:

2.37 Failure to acknowledge a referral will mean that you will:

• be unable to record a start date and subsequently be unable to meet KPI1; and
• be unable to receive an Assessment Outcome payment

Identity checks

2.38 Providers must ensure that in all communication with Customers you are satisfied that you are engaging with the correct person;

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

• full name
• address
• National Insurance Number (NINo)
• other information that was included in the AtW Service Delivery Team Referral; and
• details held in your records

2.40 AtW is not prescriptive about how you collect the required signatures, and an electronic signature is as valid as a wet signature. Where digital processes are used for signatures, you must ensure that these processes are suitably robust and will allow the storing of Customer signatures as evidence of any key activities.

Initial engagement and Customer contact

2.41 Initial engagement refers to the first attempt you make to contact the Customer to arrange the Holistic Assessment.  The assessment with the Customer refers to the meeting (either Face-to-Face or Virtual) to determine their support needs as detailed on the Holistic Assessment Referral.

Please note: All Enhanced Holistic Assessments must be completed Face-to-Face which can be at the place of work or hybrid working arrangements and the appropriate risk assessments have been completed.

2.42 Following your receipt of the PRaP referral from DWP and the Holistic Assessment Referral from the Access to Work Case Manager, you must discuss the assessment with the Customer and confirm whether the Customer’s choice of a Face-to-Face or Virtual assessment is most appropriate.

2.43 If the Holistic Assessment Referral does not specify a preference, assume Virtual until confirmed with the Customer. Their choice will always be upheld wherever possible.

2.44 If a Face-to-Face assessment is necessary, the Case Manager should discuss this with the Customer. Providers should avoid imposing assessment types and instead request measurements or evidence where needed.

2.45 You are expected to make at least 2 attempts at various times during the first day to contact the Customer and if unsuccessful further attempts should be made on second day. Ensure attempts to contact Customer are made at separate times of the day to avoid conflicting with regular scheduled commitments using a variety of media.

2.46 The assessment must be arranged within two (2) Working Days of your receipt of the referral (not including weekends or England and Wales public holidays), to meet your Key Performance Indicators (KPIs) and the start date must be recorded in PRaP (see Chapter 5 of this guidance – The Provider Referrals and Payments System).

2.47 The AtW CM will have obtained contact details for the customer and/or employer and any other parties. This is to help you make initial contact within the time frame indicated in your contract.

2.48 Key to scheduling the assessment with the Customer is to ensure that it takes place as quickly as possible but considers the availability of all parties to be involved. We expect you to:

• provide a Customer help-desk facility from 08.30 to 17.30 Monday to Friday
• record all Holistic Assessment Referrals and assess, prioritise, and action them in an efficient, Customer focussed and cost-effective manner
• engage with the Customer and book a Holistic Assessment with them, which may be Face-to-Face, via telephone call, video link or any other method permitted by your contract (unless is an Enhanced Holistic Assessment which should always be conducted Face-to-Face)
• As a good practice you may wish to contact the customer prior to the appointment date to confirm time, location, and availability
• engage with an approved assessor to requisition an appropriate Face-to-Face or Virtual Holistic Assessment
• using the Holistic Assessment Referral (Annex A) taking the Customer’s preference and other relevant health/disability-related factors into consideration, agree the most effective mode of assessment; and
• in accordance with Annex D (MMIR Template) offer Customer at least 5 appointment slots aligned with the Customer availability within the time frame specified for the assessment type

2.49 If you are unable to contact the Customer within two (2) working days of the original referral and the Customer has not made contact, you must inform the Access to Work Case Manager of all the dates and times you have attempted to contact the Customer and the method of contact used.

2.50 If you receive a request which you consider to be potentially outside your remit or you have received an inappropriate referral, you should contact the AtW Service Delivery Team. ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK 

Types of Holistic Assessment

2.51 After you have received the Holistic Assessment Referral (Annex A) from DWP, at the initial contact with the customer. The Assessor must discuss the type of assessment with the Customer. You will confirm whether the Customer’s choice of a Face-to-Face or Virtual assessment is most appropriate. Unless an Enhanced Holistic Assessment is required as the Enhanced Holistic Assessment must always be conducted Face-to-Face.

2.52 There are 3 types of Holistic Assessment:

• Face-to-Face Standard Holistic Assessment

• Virtual Standard Holistic Assessment; and

• Enhanced Holistic Assessment

2.53 From 1st October 2024, Supported Businesses who were part of the Transitional Employer Support Grant (TESG) as of 30th September 2024, will be able to apply for Access to Work Plus for any new or existing employees

2.54 The Enhanced Holistic Assessment Report (Annex C) is required for Customers who have the greatest barriers to work. These customers require greater in-depth conversations with employers when applicable, due to their complex needs and support requirements.

2.55 The Enhanced Holistic Assessment provides an opportunity, for the Assessor to review and discuss how the Customer’s job role and/or work environment has been adapted. This is in addition to the existing aspects of the Standard Holistic Assessment.

2.56 The Enhanced Holistic Assessment will involve, essential conversations with employers and a review of the whole work environment. This differs to a standard AtW Holistic Assessment which only assesses the individual’s workstation area.

AtW Transitional Employer Support Grant (TESG)

2.57 Transitional Employer Support Grants (TESG) were introduced in April 2019 following the closure of Work Choice. There is no difference to the assessment approach which should be conducted as detailed above. All TESG assessments must be conducted Face-to-Face.

2.58 In September 2023, a decision was taken to formally close TESG to all new applications and agree a phased transition to Access to Work plus, however, in some circumstances renewals for existing awards may be considered. Following the closure of the AtW TESG there should be no new referrals for this type. Should you receive a new TESG application, please work with the AtW Delivery SPOC to identify the correct assessment type, updating PRaP as appropriate.

2.59 Existing TESG recipients who undergo a renewal assessment, will be considered, based on the customers award, for TESG support.

2.60 Each TESG recipient who is transitioning to AtW support will undergo an Enhanced Holistic Assessment that must be conducted Face-to-Face to fully determine their support needs in the workplace.

2.61 A PRaP opportunity has been created for recipients of TESG who need an Access to Work Plus referral. For more information, please refer to Chapter 5 The Provider Referrals and Payment System (PRaP).

2.62 If you believe that the AtW Mental Health Support Service may be appropriate, you should highlight this within your Enhanced Holistic Assessment Report so the Access to Work Case Manager can take appropriate action.

2.63 You should mark the Enhanced Holistic Assessment Report (Annex C) as TESG by selecting ‘yes’ in the box at the top of the form. The following will also need to be completed.

2.64 Assessment of needs - where individual support needs include:

• job aide more than 20% and up to a maximum of 50% of the disabled person’s weekly contracted hours, and/or
• job coach on an ongoing basis, and/or
• extra supervision needed to enable them to deliver the job; and/or
• support that is not related to workplace activities (e.g., personal finances or handling difficult personal matters) but necessary to sustain employment

2.65 Employer Section – this should include:

• details of employer
• Health and Safety requirements; and
• steps the employer is taking to accommodate the individual by tailoring the job to accommodate the employee’s disability, for example, adapting processes, machinery, the pace of work expected or the extent of the job role (job shaping), and/or
• where the employer has made adjustments to the workplace to enable the disabled employee to work, that are beyond what is considered a reasonable adjustment. For example, implementing accessible signage, adapting office organisation/layout or equipment, this should be recorded in the Enhanced Holistic Assessment Report (Annex C); and
• Progression Planning - you should detail steps being taken to support progression into mainstream employment if appropriate

Access to Work Plus Proof of Concept

Please note: The Access to Work Plus pilot closed on 22nd March 2024. Any assessment requests after this date will be for existing Access to Work Plus pilot participants. When considering the type of assessment, from 22nd March 2024, the enhanced face to face assessment for Access to Work Plus will no longer be available. However, any renewal applications or re assessment will be eligible for a face-to-face assessment.

2.66 Any new or existing employees working for a Supported Businesses can apply for Access to Work plus from 1st Oct 2024 and that will enhanced require a Face-to-Face assessment. A change a circumstance for existing customers may require a Face-to-Face assessment.

Background

2.67 AtW plus was introduced in 2022 as a proof of concept to provide support to those who require extensive adjustments to enter or sustain employment. It provides enhanced financial support for both employees and employers provided the employers provided the employer has adapted the workplace or shaped the job role for the recipient. The AtW+ pilot was delivered over a two-year period which ended on 22nd March 2024.

2.68 Any assessment requests will be for existing Access to Work Plus pilot applicants or participants. Note; new claims for supported businesses, will also be subject to an assessment.

2.69 These Supported Businesses will be identified by the Access to Work delivery teams and will refer the customer for an Access to Work Plus Enhanced Face to Face assessment.

Referral

2.70 All AtW Plus Customers will be referred to you on the Holistic Assessment Referral (Annex A).  The form will be marked as AtW Plus by selecting ‘yes’ in the box at the top of the form.

2.71 Where the Access to Work Case Manager has indicated that it is an AtW Plus referral you must conduct a Face-to-Face Enhanced Holistic assessment with the Customer.

Assessment 

2.72 You will also need to collect additional information for AtW Plus Customers on the Enhanced Holistic Assessment Report (Annex C) and clearly mark as AtW Plus on the form. The following will also need to be completed:

• Assessment of needs - where individual support needs are identified as:
  • job aide/replacement support more than 20% and up to a maximum of 50% of their contracted weekly hours; and/or
  • job coach on an ongoing basis; and/or
  • extra supervision needed to enable them to deliver the job; and/or
  • support that is not related to workplace activities (e.g., personal finances or handling difficult personal matters) but necessary to sustain employment

2.73 Please state the number of hours required for each activity.

• Employer Section – this should include:
  • details of employer.
  • Health and Safety requirements and
  • steps the employer is taking to accommodate the individual by tailoring the job to accommodate the employee’s disability, for example, adapting processes, machinery, the pace of work expected or the extent of the job role (job shaping), and/or
  • for self-employed freelancers and contractors, details of how the person tendering the contract has shaped and adapted that contract to enable the person with a disability to take up the role

2.74 Where the employer has made adjustments to the workplace to enable the disabled employee to work, that are beyond what is considered a reasonable adjustment, for example, implementing accessible signage, adapting office organisation/layout or equipment this should be recorded in the Enhanced Holistic Assessment Report (Annex C); and Progression Planning - you should detail steps being taken to support progression into mainstream employment if appropriate.

2.75 The Enhanced Holistic Assessment Report (Annex C) has been updated to gather and present the information.  Ensure examples (e.g. signage, layout changes to the building) are clearly linked to adjustments beyond reasonable expectations.

2.76 During discussions with the employer, determine whether support is provided exclusively to the employee (one-to-one) or shared with others. Record this in the Enhanced Holistic Assessment Report, including whether the support role is dedicated or part of an existing employee’s duties.

2.77 A one-to-one basis is where the person providing the support is employed only to support that employee and no one else for the rest of the time they are in work.

2.78 Shared support is where the person providing the support delivers support to the employee some of the time and will provide support to other employees as part of their normal day to day role.

2.79 This distinction should be recorded on the Enhanced Holistic Assessment Report (Annex C) detailing how the support is delivered, including whether the person is specifically employed to provide support, or it is an extension of an existing employees role within the employers’ business e.g. line manager providing supervision.

Self-Employment for Access to Work Plus Proof of Concept

2.80 For Access to Work Plus, self-employed people fall into 2 distinct categories:

• Freelancers and Contractors, and

• Business Owners

2.81 For Access to Work Plus, Freelancers and Contractors can receive both the Personal and Employer elements of AtW Plus, with the employer element being payable where the contract they are undertaking has been shaped to their disability or health condition.

2.82 For people who are Business Owners, they are only able to receive the personal elements of Access to Work Plus where support needs demonstrate these requirements.

2.83 AtW Plus elements that Case Managers can award include:

• Enhanced Personal Elements:
  • AtW Plus - Job Coach,
  • AtW Plus - Job Replacement and/or
  • AtW Plus - Supervision
• Employer Elements:
  • AtW Plus - Employer Adaptations and/or
  • AtW Plus - Employer Job Shaping

Please note: Customers can get AtW Plus for either one of the personal or the employer elements they do not need to satisfy both. 

Supported Internships (SI) For England, Scotland, and Wales

2.84 Supported Internships is a full-time study programme, with a substantial work placement as the core aim. Supported Internships are aimed at young people to build confidence, develop new skills, and attain paid employment. Access to Work funding is available for the in-work support needs of the interns during the work placement part of the internship.

2.85 Young people can participate in the Supported Internship programme if they are in full or part-time education aged 16 to 24 (or 25, if the internship is completed before the end of the academic year during which the young person turned 25) and have one of the following:

• an Education, Health, and Care Plan in England; OR
• a Statement of Special Educational Needs in Wales; OR
• a Personalised Learning Support Plan in Scotland.

2.86 Further information regarding Supported Internships in England can be found on GOV.UK.

2.87 Supported Internships are a structured, work-based study programme for 16-24-year-olds with Special Educational Needs or Disability (SEND), who have a Statement of Special Educational Need (SSEN),

• some Welsh Interns may not have a SSEN. Since September 2023, the Welsh Government issues an Individual Development Plan (IDP) in place of the SSEN.

• Scotland has a coordination support Plan (CSP)

• the core aim of a supported internship study programme is a substantial work placement, facilitated by the support of an expert job coach.

2.88 The maximum period of Access to Work Job coach support for a supported intern is for a maximum of 26 weeks. Only in exceptional circumstances such as sickness can further job coach support be granted, following approval. We would usually expect period of sickness leave to last for a few days or in some cases a week. However, in periods of longer-term sickness the need for further job coach support will be judged on a case-by-case basis depending on the circumstances of the case.

2.89 Supported interns are enrolled and supported by a learning provider, for example, a school or college, but spend most of their learning time - typically around 70% - in a workplace.

2.90 Access to Work offers support to Supported Interns working in a workplace environment which also accommodates hybrid working arrangements. The following support can be provided:

• the cost of traveling to work where there are additional costs, due to the nature of the employee’s disability or health condition,
• the costs of a job coach up to a period of 26 weeks
• specialist equipment

2.91 All referrals marked as Supported Internship should have a Face-to-Face assessment.

2.92 The holistic assessment should capture the workplace adjustments already in place and make recommendations to overcome those barriers within the workplace or hybrid working environment.

2.93 For any adjustments or adaptations, the Access to Work Customer requires in relation to the educational part of the Supported Internship, the provider should signpost the individual to their learning provider for assistance.

2.94 A high-level overview of the three Holistic Assessment types is provided below.

Virtual Standard Holistic Assessment

2.95 The Customer provides their own representative who will assist where required during the Holistic Assessment e.g., to take workstation measurements. Employer conversation is voluntary.

2.96 The Customer can clearly articulate the impact their disability or health condition has on their ability to carry out their job role.

Face-to-Face Standard Holistic Assessment 

2.97 The Assessor visits the Workplace to examine the workstation and is required to take measurements, anthropometrics, and environment dimensions e.g., wheelchairs, powered chair, scooters, ergonomic seating/specialist chairs and desk or workstation requirements Employer conversation is voluntary.

2.98 The Customer has multiple and/or complex Workplace needs and cannot articulate the impacts of their disability or health condition.

2.99 To be considered in circumstances where the working environment is perceived to be ‘non uniform’ such as Agricultural/Farming, Fishery or Coastal and Outdoor or Physical Tasking.

2.100 To be considered for assessments involving hearing conditions / impairment / deaf in circumstances where a Customer cannot access captioning on video calls and/or technology or human support not available.

Enhanced Holistic Assessment – (Access to Work Plus)

2.101 For Information at this present time, we expect only AtW+ or TESG customers to require Enhanced Assessments. The Assessor visits the Workplace to understand and review the Customer’s workstation and the whole working environment.

2.102 Employer conversation when applicable is mandatory to enable the Assessor to ascertain reasonable adjustments already in place and consider job shaping or additional job task support to the Customer.

2.103 The Customer has multiple and complex Workplace needs, and the Assessor requires additional time to undertake the assessment.

2.104 For all Supported Internships where the Customer requires additional advice where a Statement of Special Educational Needs is not issued.

Please Note: DWP reserves the right to include additional groups of Customers for whom an Enhanced Holistic Assessment is required.   

Undertaking a Holistic Assessment

2.105 The Holistic Assessment must describe barriers and give solutions for each one.  It must include details of why current equipment/solutions are not meeting the needs of the Customer E.g. per task, per environment etc.

2.106 When completing the Standard Holistic Assessment Report (Annex B) or the Enhanced Holistic Assessment Report (Annex C), Employer Section - the assessment must detail the capacity and knowledge of the organisation to highlight any areas of awareness or training to be addressed. It must address the compatibility of solutions with employers IT.

2.107 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 customer, nor should they be expecting support over and above what is recommended.

2.108 An assessor will:

• comply with all relevant health and safety regulations
• comply with legislations relating to safeguarding and protecting vulnerable groups; contact the customer and Employer (unless otherwise indicated on the Holistic Assessment Referral) within two (2) Working Days (weekends/bank holidays are excluded from the referral timing expectations) of receiving a Holistic Assessment Referral (Annex A) to arrange a date and time for the Assessment;
• meet with the Customer Face-to-Face or Virtually (telephone/video link)
• undertake the specified Holistic Assessment exploring all relevant factors of the individual’s disability. The assessor must make the Customer aware that the resulting Holistic Assessment Report comprises recommendations for consideration, not guaranteed outcomes
• make recommendations to address work related barriers specifically related to the Customer’s disability
• produce a written Standard Holistic Assessment Report (Annex B) or Enhanced Holistic Assessment Report (Annex C)
• in the specified format and to the specified standard
• return it, electronically encrypted, within the time frame specified in your contract to, to the e-mail address as specified. within the initial referral ensuring the Holistic Assessment Report meets the standards specified in Chapter 4 (Standards).

• produce a Holistic Assessment Report that must be received by the Authority within:

  • eight (8) Working Days of receipt of the Virtual Standard Holistic Assessment Referral
  • ten (10) Working Days of receipt of the Face-to-Face Standard Holistic Assessment Referral
  • twelve (12) Working days of receipt of the Enhanced Holistic Assessment

2.109 A Support Worker 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 the reasons why they were deemed unsuitable. The report should clearly indicate tasks that potentially require a Support Worker and the average amount of time the Customer spends on each task per month. Progression planning including the possibility of tapering support should be included in the report.

2.110 When deciding whether a Support worker (job aid) is appropriate, the Case manager will consider if the support provided will enable or replace the customer.

The customer is performing the job role, making decisions, and instructing the Support worker (SW):

• Empowered Delivery
• Customer-led Support
• Directed Assistance
• Facilitated Independence
• Supported Autonomy
• Instruction-based Support
• Decision-led Engagement

These terms emphasize that the customer retains control and is actively leading the process.

The customer is NOT performing the full job role, making decisions, or instructing the SW:

• Substituted Delivery
• Proxy-led Support
• Delegated Function
• Assumed Responsibility
• Support-led Execution
• Role Replacement
• Operational Stand-in

These terms reflect that the support worker is stepping in to perform tasks or make decisions on behalf of the customer.

Please note: this list is not exhaustive

2.111 Throughout the assessment consideration should be taken and clearly outline what the customers’ requirements are.

Customer referred as Face-to-Face Standard AtW Assessment but identified as AtW Plus during assessment

2.112 There may be occasions where you receive a Holistic Assessment Referral (Annex A) to conduct a Face-to-Face assessment for an AtW Customer.  During your assessment you may identify that the Customer would benefit from an AtW Plus assessment.

2.113 On these rare occasions you should conduct an AtW Plus assessment using the Enhanced Holistic Assessment Report (Annex C).

2.114 In these cases, you should annotate the front page of Annex C with the reason you have made this decision and provide supporting evidence to inform the Access to Work Case Manager.

Customer referred as Virtual AtW Standard Assessment but identified as AtW Plus during assessment

2.115 There may be occasions where you receive a Holistic Assessment Referral (Annex A) to conduct a Virtual Assessment for an AtW Customer.  During your assessment you may identify that this Customer would benefit from an AtW Plus Face-to-Face assessment.  In these circumstances, the Customer will not be assessed as AtW Plus.

2.116 You should continue with the Virtual assessment and assess and reflect the customers level needs, including supervision, ongoing job coaching or job replacement. and make your recommendation within the assessment report as per business as usual.

Hybrid Working

2.117 There may be instances when the Customer has more than one regular place of work. This could include split-site offices and/or working from home.

2.118 It is important to capture requirements for the job role for all places of work in one Holistic Assessment to enable the Customer to work in all their regular working locations.

2.119 If there are particular needs relating to one site which will require further investigation, (post initial Face-to-Face/Virtual assessment) you should conduct this Virtually wherever possible. Subsequent/additional visits to premises to be kept to a minimum to make best use of your time and resources.

2.120 If you identify a customer who you believe requires a subsequent or additional visit to premises to enable full completion of the Holistic Assessment Report across all sites, you should contact the AtW CM, via email, as soon as possible and prior to sending in the HA report.

2.121 You must provide the AtW CM with rationale for the request, and you should demonstrate the difference between the role and or requirements when hybrid working applies. This is to ensure the CM can fully understand the differences of hybrid working and the impact on the customer. The CM final decision may include DWP providing you with another Referral for the alternative Workplace, with the second Assessment paid at the relevant rate.

Supplier and equipment issues

2.122 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 AtW Service Delivery Team at ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK.

2.123 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 Case Manager.

2.124 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

2.125 You should use UK based suppliers wherever possible. Requests to use an overseas supplier will be reviewed and considered as a last resort on an individual basis by the AtW Service Delivery Team ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK

2.126 Only if not available in the UK, all overseas quotations should be fully transparent on costing, value for money and include:

• Currency conversion
• Shipping rates – including VAT
• After-sales support (how to access if no UK support centre)
• Repair processes
• Value for Money justification

Cancellation of a Holistic Assessment

Cancellation by the Customer

2.127 If a Customer cancels an appointment but still requires an assessment, it is important that you contact the Customer as soon as possible and rebook, as delays could impact the achievement of the target specified in your contract.

2.128 If you contacted the Customer and made an appointment to undertake an assessment, and the Customer then cancels the appointment and/or does not want the assessment to take place at all, you should notify the Access to Work Case Manager.

2.129 The Access to Work Case Manager must be informed (via email) of the reasons for the Customer cancellation and any rescheduling attempts you have made, also recorded on the MMIR Template (Annex D) using the Cancellations Log tab. This includes if:

• the Customer is not available in the time frame specified in your contract from the original referral; or
• the Customer is not sure when they will be available

2.130 You should claim an end line in PRaP in both circumstances (see Chapter 5 for more information).

Cancellation by the Provider 

2.131 If you need to postpone a scheduled appointment or are unable to carry out the Holistic Assessment, you should contact the Access to Work Case Manager for advice. Reasons for cancelling the appointment should be recorded on the MMIR Template (Annex D) using the Cancellations Log tab.

2.132 It is not acceptable to reject referrals due to lack of assessor availability.

Validity Period of Holistic Assessment Report

2.133 Recommendations from the Holistic 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.

2.134 If longer than 12 weeks elapse and the recommendations have not 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.

2.135 A second referral for a Holistic Assessment may be made in exceptional circumstances within 12 weeks of the initial assessment, if a Customer’s situation has changed considerably, and the change(s) would impact the outcome of the recommendations on the initial Holistic Assessment Report or: new information about the Customer’s situation was not captured during the initial Holistic Assessment, a new referral can be made.

2.136 Decisions relating to secondary referrals will be made by the Access to Work Case Manager. You should liaise with the Access to Work Case Manager in every instance where a secondary referral is under consideration or has been made. This ensures the correct procedure is followed for each Customer.

2.137 You will receive the secondary referral via PRaP, and you should complete any PRaP action. This will ensure that you receive the appropriate payment for the assessments undertaken and that achievement of your KPI’s is not adversely impacted.

Additional Needs

2.138 You should, wherever possible, comply with (and provide at your own cost) any reasonable requests to accommodate customers who have additional needs.

2.139 Additional needs include, but are not limited to, any reasonable requests made by customers to accommodate additional needs at no extra cost to DWP. Such as:

• an Assessor of the same gender as the customer
• an interpreter
• or a signer capable of British Sign Language

Chapter 3: Marketing and Communications

Marketing

3.01 You should not market your services to either the individuals you have assessed under the contract or their employer.

Communications

3.02 You should establish and maintain 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.

Chapter 4: Standards  

Standards

4.01 DWP is keen to ensure that the quality of Access to Work provision provided by the Supplier is exemplary. DWP is committed to ensuring that the quality of AtW provision delivered by the Supplier consistently meets standards.

4.02 You are responsible for ensuring that Customers and their Employers are provided with accurate, evidence-based recommendation shave 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, several key features are integral to delivery. In providing the Service the Supplier is required to:

• focus strongly on speed and accuracy
• demonstrate a sound understanding of the breadth of disability issues which may be experienced by the Customer. and the appropriate support options available to address the Customer’s workplace barriers to meet each Customer’s minimum needs; and
• provide advice and guidance on technical and ergonomic issues
• deliver clear, suitable, and expert solutions which demonstrate value for money

4.03 The Holistic Assessment Report (see Annex B and Annex C of this guidance) shall be in the format specified below and be fit for purpose:

• clear, concise legible and in plain language
• checked for grammar, spelling, and punctuation
• well-presented and of good quality
• acronyms spelt out on first use
• in point 12 Arial font (unless alternative requirements are needed due to the Customer’s disability)

4.04 All recommendations and quotes should be:

• ordered from cheapest to most expensive
• logically sequenced, clear, informative, and complete; (Please note it will be seen by the Customer and/or their Employer)
• fully detailed and consistent (please note it will be seen by the Customer and/or their Employer)
• not prescriptive but provides recommendations based on minimum needs and evidence (terminology used should demonstrate an emphasis on independence and customers choice); and
• each recommended solution is detailed to ensure best value for DWP that meets the Customer minimum needs (all recommendations and quotes should be ordered from cheapest to most expensive). The AtW grant decision rests with the Case manager

4.05 It is important that the Holistic Assessment Report is of good quality in accordance with the standards specified in this guidance and Annex 4 of your Specification. The AtW Case Manager will define whether Holistic Assessment Reports are to the ‘specified standard,’ based on the criteria below.

• there is no sole supplier stencil (if appropriate) completed. Sole supplier stencil is included within the Holistic Assessment Reports (see Annex B and Annex C of this guidance)
• 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 ten (10) half days, taking the cost up to £1,500, we therefore would require three quotes as the item cost is over £500)
• 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)
• quotes are not on a separate page
• it is apparent that value for money has not been considered (i.e. many cheaper quotations are available)
• regarding 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
• where human support (support worker) is recommended but there is no indication of support required in hours, and/or there is no full justification for why that human support is 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 or their representee’s preference and has not considered the minimum requirements (e.g., this is sometimes evident in reported conversations with Access to Work Case Managers which focus on what the Customer ‘prefers’ or ‘wants’)
• there is missing information as per the referral standards (e.g., progression planning, employer section) in the report
• there is missing information regarding the Customer’s condition/ support required (for example, if an element of support is discussed with the Assessor but has not been included in the Holistic Assessment Report, such as travel to work considerations)
• it contains personal/confidential information reported to the Assessor that the Customer did not want to be disclosed 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
• the report is too prescriptive in advising what Access to Work will or will not pay for
• no job analysis is contained in the Holistic Assessment Report
• a bundle price is provided for equipment and does not break down the exact, individual costs within that bundle; and/or
• the Holistic Assessment Report otherwise does not comply with the requirements for a Holistic Assessment Report set out in this Guidance and Annex 4 of your specification

4.06 The Access to Work Case Manager will determine whether a report complies with the specified rules, which encompass both formatting and content expectations. A Holistic Assessment Report may be considered non-compliant and subject to rejection if it fails to meet one or more of these rules.

4.07 If the Holistic Assessment Report has been rejected, the Supplier will be notified by e-mail within five (5) Working Days of the receipt of the Holistic Assessment Report.

4.08 If DWP decides that a Holistic Assessment Report is not to the standard specified in this Guidance and Annex 4 of your Specification. If a report has been rejected, you will be notified of the reason and will be required to review and resubmit (rework) the report within one (1) Working Day of its return. If a query arises you are concerned about a Holistic Assessment Report that has been returned requested for Rework, you should refer to the AtW Operations Service Delivery Team ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK

4.09 The AtW Service Delivery Team will monitor the quality of Holistic Assessment Reports and the number rejected to the Supplier as non-compliant monthly.

4.10 This information will be discussed formally as part of regular performance reviews led by the AtW Performance Manager.

4.11 Where concerns are raised within the two-week period, any amendments to the Holistic Assessment Report must still comply with the All Outcomes Claimed 5 Working Day submission requirement.

4.12 In some cases, the AtW Case Manager may request Rework of a Holistic Assessment Report if there are concerns about the recommendations provided. This may occur where external parties have influenced the identification of support needs. In such instances, the Case Manager may request clarification or further evidence to ensure recommendations are clinically reasoned and do not exceed minimum needs as outlined in Chapter 2.

4.13 If recommendations are made for building adaptations (over and above those which are required by law) to enable access to premises, you should specify which adaptations may be required and suggest a range of specialist suppliers for the Employer to contact. These suppliers will investigate the feasibility of removing the barriers, but you must not recommend specific works or contractors to carry out the works.

Use of Artificial Intelligence

4.14 Any use of Artificial Intelligence as part of delivering the Programme must comply with DWP policies and procedures and be formally agreed by the Department. Please refer to the following:

• DWP security policies: DWP procurement: security policies and standards – GOV.UK
• Artificial Intelligence Security Policy: Artificial Intelligence Security Policy – GOV.UK

4.15 If you have any questions regarding AI, please consult with your Performance Manager in the first instance.

Chapter 5: The Provider Referrals and Payment System (PRaP)   

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 PRaP questions and answers.

5.06 Information can also be found in the PRaP Operational Support Team Guidance for Access to Work which has been sent to you.

Security

5.07 To access and use the system, you must 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.

5.08 You must ensure you meet relevant security requirements when contracts go live and thereafter. Read further details on Provider security information.

Using the PRaP System

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

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

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

5.12 The opportunity type for an Access to Work Holistic Assessment referral has three outcomes. You must claim the outcome that relates to the assessment you completed.

5.13 The 3 different outcomes that can be claimed are:

• Standard Face to Face Holistic Assessment – for an assessment conducted in person
• Virtual Standard Holistic Assessment – for an assessment conducted virtually via video link or telephone or any other method permitted in your contract; and
• Enhanced Face to Face Holistic Assessment – for an assessment conducted in person for the customers with the greatest barriers to work, it requires greater in-depth conversations with employers due to their complex needs and support requirements

5.14 On receipt of the Standard Holistic Referral (Annex A) from the Access to Work Case Manager, and the associated PRaP referral, providers may commence engagement activities, i.e. booking appointments. Further information is available Chapter 2

5.15 If you have not received the associated PRaP referral one working day after receiving the Standard Holistic Referral (Annex A), you must e-mail the Access to Work Case Manager immediately sending a copy of the e-mail to the AtW Service Delivery Team ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK Use only the email address on the documentation, if no email address is evident then send the response only to the AtW Operations Service Delivery Business Support Team.

5.16 Alternatively, if you have not received the Standard Holistic Referral (Annex A) referral one working day after receiving the associated PRaP referral, you must e-mail the AtW Service Delivery Team ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK. Please do not attempt to email the Access to Work Case Manager, use only the email address on the documentation, if no email address is evident then send the response only to the AtW Operations Service Delivery Business Support Team.

5.17 Failure to ensure the PRaP referral has been received could adversely affect your payments and performance. Also, you should not be assessing customers before a referral is received.

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 following paragraphs provide information on the actions you need to perform within PRaP.

Provider acknowledges a referral

5.20 Upon receipt of a referral from Access to Work Case Managers, you should access the PRaP system within one (1) working day and either acknowledge the referral or reject it. There are 6 options for rejection:

• Provision Unavailable
• Customer already on Provision
• Customer not Eligible
• Other
• Excluded
• Inappropriate Referral

Start provision

5.21 The assessment must be arranged within two (2) working days of your receipt of the referral (not including weekends or public holidays), to meet your Key Performance Indicators (KPIs) and the start date must be recorded in PRaP.

5.22 There are two options after you acknowledge a referral on PRaP. These are:

• a start when a suitable appointment with the customer has been made; or
• cancel the referral

5.23 There are 3 options for cancelling:

• did not attend (DNA) when you are unable to contact a customer within two (2) working days of receipt of a referral. This may be, for example, when a customer does not respond to attempts to make contact
• did not start (DNS) when the customer does not want to participate any longer and/or is unable to agree a start. This could be, for example, when a customer’s original availability has changed, and they cannot undertake an assessment during the time frame they were previously available
• no contact (NC) when the referral information is incorrect or is missing vital detail to allow effective contact to be made with the customer. This may be mismatch of names, incorrect NINO, or missing postcode. This may also include missing employer or customer contact information

5.24 Please see Annex D MMIR template for more information regarding DNS and KPIs.

5.25 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

5.26 The following lines are available to be claimed for either a Face-to-Face, Virtual Holistic Assessment and Enhanced Holistic Assessment:

• ATWHARELET001 – ATW Start
• ATWHARELET003 – Referral End
• ATWHARELET004 – ATW Re-work MI Only line
• ATW005 – ATW Standard Holistic Assessment Virtual Payment
• ATW006 – ATW Standard Holistic Assessment Face to Face Payment
• ATW007 – ATW Enhanced Holistic Assessment Payment

Please note: TESG recipients requiring an Enhanced Holistic Assessment will be referred to you as “ATW HA/Provider name/TESG.”^    

Use of Form PRaP 14

5.27 The PRaP 14 form is used to request the removal of incorrect data from PRaP. Guidance notes for completion are held on the form.

5.28 The PRaP 14 form can be used when you have claimed a line incorrectly, for example, if you have recorded the dates on the start line incorrectly. If you have made a claim to any of the lines and you have made a mistake, you must complete the PRaP 14 form and email a copy to the AtW Policy inbox atwproviderguidance.policy@dwp.gov.uk.

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

Assessment outcome payment

5.30 If after 5 working days, you have not received a request for re-work from the Access to Work Case Manager you are entitled to claim an outcome payment in PRaP.

5.31 Once the Holistic Assessment has been completed to the specified standard the Assessment Outcome Payment can be claimed in PRaP, ensuring the correct line has been chosen.

Please note: only one outcome line can be claimed. 

5.32 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.’
• for ‘employment type’ select ‘employed’
• has been claimed the End Date must be recorded in PRaP
• for ‘Job Title’ insert the Primary Health Condition
• for ‘Working Pattern’ insert the Primary Health Condition Code. To ensure the MI is completed correctly you must use the below codes:

1. Muscular Skeletal

2. Difficulty in Hearing

3. Difficulty in Seeing

4. Learning Difficulty

5. Progressive Illness

6. Dyslexia

7. Mental Health

8. Other (Where a health condition is not covered in the above options 1 to 7, the condition should be recorded under option 8 (Other)

• for “Job Start Date” enter the date the Holistic Assessment was returned; and
• for “Job End Date” enter the same date as the Job Start date

5.33 You must ensure that the correct outcome is selected before you make an outcome claim by selecting either:

• Standard Face to Face ATW Holistic Assessment
• Virtual Standard Holistic Assessment; or
• Enhanced Face to Face Holistic Assessment

5.34 You will be required to input dates into PRaP to confirm an Assessment Outcome has been delivered, such as:

• 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; and
• date 2: the same date as Date 1

5.35 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.

Referral end date

5.36 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.

5.37 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 a 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 DESCRIPTOR
36	No longer engaging with JCP	Cancelled by customer
37	No longer eligible	Cancelled by Provider
39	Completed Provision	Assessment completed
42	Referred to Other Suitable Provision	Customer on wrong opportunity when acknowledgment and start have been claimed

Assessments rework management information (MI) only line  

5.38 When Access to Work receive an assessment that is not fit for purpose, or needs rework, this line is used to record the action.

5.39 The following line is available for shipment: AtW Assessment Rework MI Only line.

5.40 This line can be shipped after, before or at the same time as the End Date line.

Please note: You will still need to ship an outcome line to receive payment after completing a rework and waiting 5 (five) working days, as mentioned in paragraph 5.

5.41 Prior to entering the ATW Rework MI only line, the job details screen must be completed.

5.42 Complete the Job Details Screen to show the rework has been undertaken.

5.43 Ship the AtW 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 a 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

Chapter 6: Performance Management and Compliance

Introduction

6.01 The Department for Work and Pensions operate a robust Performance Management (PM) regime to ensure contracts deliver value for money for the taxpayer and to ensure Providers are accountable for delivering what is outlined in their contract.

6.02 DWP Employment Account Division (EAD), which has responsibility for performance management, has developed a Performance Management and Intervention Regime (PMIR) to support the delivery of provision and to underpin your contract.

6.03 You will be responsible for managing the contract, including addressing poor performance with sub-contractors, and will need to ensure that all systems and processes (including tracking) used for the monitoring and recording of performance are robust, provide a clear audit trail of evidence, and give confidence to DWP that you and your supply chain are delivering the contract.

Performance Management Intervention Regime (PMIR)

6.04 DWP intends to utilise (without being bound by) its Performance Management and Intervention Regime (PMIR). This will centre on monthly Contract Performance Review (CPR) meetings which will be the key vehicle through which DWP drives delivery of performance and service delivery through the AtW.

6.05 CPRs will be conducted by DWP with the Provider and will focus on reviewing the Provider’s delivery of services against the contractual performance levels. Your performance will be managed on both quantitative and qualitative aspects of the contracts, including, but not limited to, an in month, rolling three-month, rolling 12-month and cumulative basis from the Service Start Date.

6.06 You must submit an Action Plan monthly to DWP. The purpose of the Action Plan is to give assurance that you have identified the top areas for improvement and have documented specific actions to take to improve them. The Action Plan will be reviewed at each CPR.

6.07 DWP will use MI from PRaP for the on-going management of the provision. DWP will also expect you to capture and use your own MI and retain evidence for contractual and performance purposes.

6.08 DWP’s performance teams may visit your premises or undertake assurance remotely on an ad hoc (announced or unannounced) basis to investigate performance, for example, under-performance or high performance.

6.09 As DWP is committed to transparency on how its programmes are working, you need to be aware that MI may be shared across AtW HA Providers and may also be fed into published official statistics on DWP provision. You must treat information you have access to as restricted for your use only, ahead of formal publication. Official statistics may also cover DWP’s assessment of delivery of the services against the contractual KPIs at AtW HA Provider level.

6.10 At a national level, DWP will host regular Operations, Partnership and Stakeholder Forums to give a strategic focus to Programme performance and delivery. Where required, DWP will invoke the right to move through the four stages of intervention, as deemed appropriate by DWP according to the Provider’s level of performance and responsiveness to meeting requirements. This is in addition to any other rights or remedies available to DWP under your contract.

6.11 DWP intends to utilise (without being bound by) its Performance Management and Intervention Regime (PMIR) and will conduct regular evidence-based compliance checks to assess your performance and to ensure that you are adhering to the delivery model set out in your contract.

6.12 Checks will be conducted on the service delivery requirements as described in the Customer Journey (see Annex 1 of your Specification), the KPIs and in the PMIR. These measures, and the Providers ability to meet them, will be regularly assessed by DWP Performance Managers as part of business as usual.

6.13 Where required, DWP will invoke the right to move through the four stages of intervention, as deemed appropriate by DWP according to the Providers level of performance and responsiveness to meeting requirements. This is in addition to any other rights or remedies available to the DWP under this Agreement.

6.14 The Provider must have the necessary remote IT equipment, which must comply with the relevant DWP policies as defined in the appropriate section of this Agreement, to enable DWP to carry out centralised checks of the Supplier’s systems; this includes the provision of any necessary electronic evidence that is required to undertake the checks effective.

Performance Management and Intervention Regime levels

6.15 The four Levels of the Performance Management and Intervention Regime are:

• Level 1: Standard action – DWP Performance Manager led. Performance will be managed on both quantitative and qualitative aspects of the contract as detailed above

• Level 2: Enhanced action – DWP Performance Manager / DWP Senior Performance Manager led. An Action Plan will be used to capture all agreed actions for performance improvement including incremental performance and pipeline data that may lead to outcomes, review dates, and the Management Information to inform the KPIs

• Level 3: Informal action – DWP Provision Lead or above led. Provider will be invited to a meeting to discuss performance and will receive a management letter to request that performance improves. At this stage, the Provider will be informed that formal action could be taken if performance does not improve

• Level 4: Formal action - DWP Provision Lead or above led. DWP will take formal action by issuing a notice to address failure to respond to previous intervention activities undertaken. If performance does not improve to the levels stipulated in the KPIs DWP may take action to terminate the contract

Key Performance Indicators (KPIs) and Performance Requirements

6.16 You are under an obligation to meet or exceed the following performance targets. PMIR escalation process will be followed if you fail to meet all or any of the agreed defined target performance levels described above).

Key Performance Indicators

6.17 The Key Performance Indicators are detailed below. The KPI Targets are minimum performance levels and DWP expects them to be maintained for the duration of this Agreement. Where there is room for improvement, DWP expects performance to improve over the course of this Agreement.

Key Performance   Indicator	Description	Target
KPI 1: Acknowledging the referral ​	Referral acknowledged on PRaP within one (1) Working Day of receipt from DWP​	99% ​
KPI 2: Arranging the Holistic Assessment​	Appointment made and recorded on PRaP within two (2) Working Days of receipt of referral from DWP​	96%​
KPI 3: Completing the Holistic Assessment Report​	Holistic Assessment undertaken and Holistic Assessment Report received by DWP within:​  – eight (8) Working Days of receipt of referral (Virtual Standard Holistic Assessment) – ten (10) Working Days of receipt of referral (Face-to-Face Standard Holistic Assessment) – twelve (12) Working days of receipt of referral (Enhanced Holistic assessment)​	96%​
KPI 4: Quality of the Holistic Assessment Report​	Holistic Assessment report meets the standard of acceptability defined in Annex 4​	99%​
KPI 5: Reworking of the Holistic Assessment Report​	Rework to be completed within one (1) Working Day upon receipt of notification by DWP	96%​

Social Value KPI - Reducing the disability employment gap  

6.18 You are required to report on the Social Value KPI (KPI 6 in the table below) on a 3-monthly basis to DWP via the eProcurement system, using the template provided.

Key Performance Indicator	Description	Target
KPI 6: Social Value – Reducing the disability employment gap	Total percentage of full-time equivalent (FTE) disabled people employed under the AtW: HA Contract, as a proportion of the total FTE contract workforce	3%

6.19 You should send the completed template to DWP by the 15th day of the month following the last month in the quarter, i.e., in January, April, July and October. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day.

Cabinet Office Reporting and Publication of Key Performance Indicators (KPIs)

6.20 Cabinet Office Civil Service Board requires that on a monthly basis all Government Departments capture the performance of their ‘Gold’ and ‘Silver’ tiered contracts by recording the achievements of the top three KPIs for each contract, plus any Social Value KPIs, with the performance data being reported to the Cabinet Office quarterly for publication on GOV.UK.

6.21 As seen in the table below, for this Agreement the top three KPIs are KPIs 2, 3 and 4 and the performance data used will be monthly data. KPI 6 will be reported as the Social Value KPI and shall be reported quarterly.

6.22 For the avoidance of doubt, the Cabinet Office 4 tiers of performance levels are for reporting purposes only, and do not affect whether a KPI target has been met for performance purposes.

Key Performance Indicator and Cabinet Office 4 Tier Performance levels

KPI 2: Arranging the Holistic Assessment​

4 - Good = 96% and above 
3 - Near Target = 93.5% to 95.9% 
2 - Needs Improvement = 91% to 93.4% 
1 - Inadequate = Less than 91%

KPI 3: Completing the Holistic Assessment Report​

4 - Good = 96% and above 
3 - Near Target = 93.5% to 95.9%   
2 - Needs Improvement = 91% to 93.4% 
1 - Inadequate = Less than 91%​

KPI 4: Quality of the Holistic Assessment Report​

4 - Good = 99% and above
3 - Near Target = 98% to 98.9% 
2 - Needs Improvement = 97% to 97.9%
1 - Inadequate = Less than 97%= Less than 97%

KPI 6: Social Value – Reducing the disability employment gap

4 - Good = 3% and above
3 - Near Target = 2.5% to 2.99% 
2 - Needs Improvement = 2% to 2.49%
1 - Inadequate = Less than 2%

Contract Performance Review (CPR)

6.23 You will have as a minimum, monthly discussions with your Performance Manager (PM) and the AtW Service Delivery Team ATWPROVIDER.CONTRACTCORRESPONDENCE@DWP.GOV.UK to review performance in month and trend performance achieved against contractual requirements.

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

6.25 Action Plans will be used to monitor and support continuous improvement and agreed performance improvement actions.

Monthly Management Information Return (MMIR)

6.26 The DWP will use MI presented by PRaP for the on-going management of the Provision and for discussion with Providers. To further support active performance management of the contract, the Supplier will also be required to submit a Monthly Management Information Return (MMIR) to DWP.

6.27 The MMIR is likely to include, but is not limited to, information such as:

• for cancellations, a record of attempted Customer contact
• for cancellations, a record of all appointments offered to the Customer
• details of the oldest case – number of days outstanding from referral and reasons for delay, and volumes outstanding at the end of each month
• the volume of cancellations made by the Provider in-month and year-to-date including reasons for cancellation and the date on which the Customer was re-booked
• the volume of cancellations made by Customers in-month and year-to-date including reasons for cancellation and the date on which the Customer was re-booked
• the top ten recommended solutions in-month and year-to-date
• the 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 the DWP in-month and year-to-date
• anonymised details of the assessors engaged on the contract detailing their skills, experience, clearances, and qualifications
• details of the numbers and reasons where the Standard Holistic Assessment type has been changed from face-to-face to virtual or vice-versa

Please refer to the MMIR template Annex D.

Customer Insight

6.28 Every month, you will be required to obtain information from Customers on the usefulness of the Programme. This will be done by the Provider asking the specific question(s) and follow up (by email, link to a provider portal, website, or on-line survey and where no other option available, by telephone) detailed below.

Question 1: “Thinking about your overall experience of the services provided, how satisfied are you with the AtW Holistic Assessment?”

• Very satisfied
• Fairly satisfied
• Fairly dissatisfied; and
• Very dissatisfied

Question 2: “Please can you tell us more about why you chose your response? Please be as detailed and specific as possible.”

6.29 Customers will be required to record their response to the questions. Where Customers provide responses by telephone, you will create and maintain a detailed written record of the response. You are required to collate the Customer responses in the template to be provided by the DWP.

6.30 You must send the completed template to DWP by the 15th day of the following month. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day. You must maintain each Customer response, which DWP may request to review in the future.

6.31 DWP reserves the right to publish Customer responses or a summary of Customer responses (either in the form provided, or in any other form it sees fit). DWP also reserves the right to add to or amend the specific questions that you ask Customers each month.

6.32 Additionally, DWP reserves the right to require the Provider to ask the Customer the questions more or less often. The frequency of collating Customer responses and the deadline for providing DWP with the completed template can also be varied or amended by DWP.

Ad-hoc MI request

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

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

6.35 As and when directed by DWP, a Provider shall collect statistical data relevant to the Services being provided. The Staff shall make available for inspection all such records upon the request of DWP within ten (10) Working Days.

Compliance Monitoring and Additional Checks

Performance Manager Checks

6.36 DWP staff, including Performance Managers, may undertake checks to complement those already undertaken by the Performance Compliance Officers (PCOs) by looking more in depth at individual cases.

6.37 The checks may also include a ‘go-look-see’ approach where the PM will observe a range of activities, including the Holistic Assessment. These will not only be with you, but also end-to-end delivery partners and sub-contractors (if appropriate). PMs may also undertake ‘deep dives’ into specific areas to understand where there are specific areas of weakness.

6.38 The findings from the checks will feed into a Provider’s CPR meeting.

Performance Compliance Officers (PCO) Checks

6.39 DWP staff, including Performance Compliance Officer (PCOs), perform regular evidence-based checks to identify if Providers are adhering to the delivery models set out in their contracts.

6.40 This includes checking samples of Participant records held by Providers for all related activity.

6.41 Providers must create a system record for each referral and ensure it includes details of all interventions and copies of all documentation.

6.42 DWP will specify the location where the checks will take place and expects them to be centralised in DWP locations or undertaken digitally and remotely by sharing of screens through Microsoft Teams. However, DWP retains the option for PCOs to carry out the checks in Provider’s’ premises where DWP decides this is appropriate. All records must be available on the Provider’s system for inspection.

6.43 The sample of Participants to be checked will be sent to Providers 12 days prior to the PCO checks being carried out. It is expected that Providers will undertake their own compliance checks on the sample and will return their completed checks to the PCO before the agreed compliance meeting date. This is to ensure Providers can have fully informed discussions regarding the sample when the compliance checks are carried out.

6.44 Providers are expected to have the necessary remote IT equipment, which must comply with the relevant DWP policies as defined in the appropriate section of the Access to Work Terms & Conditions, which Providers can bring to the location to enable DWP to carry out centralised checks of Providers’ systems; this includes the provision of any necessary electronic evidence that is required by the PCO to undertake the checks effectively.

6.45 The sample of records to be checked will be selected randomly using a method chosen by DWP. The frequency, periodicity and size of the samples may change throughout the contract period.

6.46 All issues arising from PCO checks are reported to the Provider and relevant DWP stakeholders. Contract Performance Review meetings with DWP and Performance Managers will include discussions around compliance issues identified by PCOs. Actions to address areas of concern re: compliance should be included in your PMIR Action Plan.

6.47 DWP reserves the right to carry out physical checks on documentation as part of this process.

Provider Assurance Team (PAT)

6.48 Information regarding PAT can be found in the DWP Generic Provider Guidance Chapter 6 Provider Assurance.

Chapter 7: Complaints and Retention of Documents  

Enquiries and complaints

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

7.02 A signature or an email response from the Customer confirming they understand and agree with the complaint’s procedure is acceptable evidence of the Customer’s agreement to proceed.

7.03 Where a formal complaint has been received from a Customer, a drafted response should be submitted to the AtW Service Delivery team at  atwprovider.contractcorrespondence@dwp.gov.uk before replying to the Customer’s complaint. AtW Service Delivery team will review the draft response and either request it to be reworded or confirm their approval. Once you have received an approval from AtW Service Delivery team, the response should then be sent to the Customer.

7.04 You should refer to the Complaint resolution core briefing pack in the DWP Generic Guidance  and the DWP Customer Charter when reviewing your complaints processes.

7.05 When a customer is unhappy about any aspect of the supply of the Services received from you (and/or any of your Sub-contractors) they can raise a complaint. You should ensure that you follow each step of your complaints process robustly, to bring the complaint to a satisfactory conclusion.

7.06 After following all steps in your process, you must include in your final response a standard text which signposts the Customer to contact the Independent Case Examiner (ICE) should they wish to pursue their complaint. The text can be found in Annex E.

7.07 Complainants should be advised that they can escalate their complaint to ICE within six months from the date of the final response that you issue.

7.08 ICE will first look to see if there is scope to resolve the concerns raised without requesting any evidence from you. If a complaint is straightforward, and the Customer has reasonable expectations about what you could do to resolve it, ICE will liaise between the parties involved and try to reach an agreement which is satisfactory to all. ICE will write to the Customer with details of what action you have agreed to take and will monitor the case until that action has been completed. If a complaint is resolved at this stage, then no determination of fault will be made.

7.09 If the complaint cannot be resolved, ICE will request the evidence from you to establish what happened. Following the review of evidence, ICE will propose a way forward. If you agree the actions that ICE propose, and if your customer is satisfied that they address their complaint, the case will be closed. Again, no determination of fault will be made.

7.10 ICE will contact you to confirm that each step of your internal process has been completed.  If they feel that you have not completed your process satisfactorily, you may be asked to revisit some steps to seek resolution before ICE are prepared to investigate further.

7.11 You must action and (if applicable) respond to any correspondence of any nature from ICE within the stated timescales.

7.12 ICE does not act on behalf of individuals, but as an independent arbiter. The ICE Office has two primary purposes: - to provide a free complaint resolution and investigation service to individuals who are unhappy with the final response to their complaint from the relevant DWP Agency, Business, Access to Work Provider; and - to support DWP Agencies, Businesses, Access to Work Providers in improving their services, by highlighting where things have gone wrong and making constructive recommendations based on the complaints the ICE Office identify. Recommendations might be systemic in nature or case specific.

7.13 The 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 relates 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.

7.14 ICE has three stages of complaint examination, which will be applied to any complaints made about you.  At every stage, you, the Provider, will have the opportunity to give your version of events and offer any supporting evidence.

7.15 More information about each stage can be found in Chapter 2 of the Generic Provider Guidance Grievance and Complaints Procedure – Treating Participants Fairly.

7.16 All draft ICE investigation reports will include findings and recommendations. If any aspect of a draft ICE report is disputed, the grounds for the challenge need to be raised by your complaints lead/senior manager. Disputes should be addressed to the ICE Adjudication Manager, who will review the response and establish the nature and extent of the dispute.

7.17 Any challenges to an ICE report must be clearly articulated. This part of the process is only concerned with factual inaccuracies contained in the draft report or misinterpretation of case events, procedures, or policy. ICE will not revise a report based on a difference of opinion, such as the level of redress recommended. It is for ICE to determine the findings and any appropriate remedy based on the case evidence presented.

7.18 In some instances, an informal discussion between yourselves and ICE Adjudication Manager may resolve any concerns or misunderstanding around the content of the draft ICE report and remove the need to trigger the formal escalation process.

7.19 Your response will be shared and discussed with ICE, who will provide a view. If ICE agrees, the report will be amended, and a revised copy shared for comment. If ICE does not fully agree, the formal escalation process will commence.

7.20 The formal escalation route is in two stages, firstly the ICE Adjudication Manager will reply to you within ten (10) working days of receipt of the challenge, providing their view and if appropriate, a copy of the revised draft report, allowing 10 working days to respond. If agreement is reached, the escalation will be closed.

7.21 Stage two of the process will be instigated if ICE the is not persuaded by the response to the stage one escalation, or your dispute of the draft report remains unresolved, the ICE Head of Office will write to your director to seek agreement on a way forward.

7.22 Further information regarding the three stages of complaints can be found in DWP Generic Guidance Chapter 2 Delivering Provision

Please note that under normal circumstances, if a complaint is upheld against you at investigation stage, a financial contribution will be recovered from you to go towards funding the Independent Case Examiner for Provider complaints in the following year.

7.23 Further information on complaints procedures can be found in your contract and in DWP Generic Provider Guidance Chapter 2 Delivering Provision.

7.24 For more information about ICE, please visit the ICE website .

Issues management

7.25 When you identify problems relating to any aspects of the services you deliver, you should resolve such problems as per the obligations in your HA contract.

7.26 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. Any change that requires a change to the AtW HA Contract will need to be approved by DWP through the “Change Control Procedure” (please refer to the AtW HA Contract).

Document security

7.27 Please refer to Chapter 8 of the Generic Guidance for DWP Providers – Information Security and your AtW HA Contract.

Document retention

7.28 Providers must keep during the contract term and for seven (7) years following the expiry or termination of the contract, complete and accurate records of all contract documentation including the services supplied under it, all expenditure reimbursed by the Department and all payments made by the Department except for Personal Data that is required to be returned or destroyed under the AtW HA Contract.

Please note: Records containing financial information must be retained and maintained in safe storage during your contract and for (7) seven years after the end of the contract period.

7.29 Holistic Assessment Referrals (Annex A), Standard Holistic Assessment Reports (Annex B), and Enhanced Holistic Assessment Reports (Annex C) must be retained for 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

Data Protection Legislation and Data Sharing

7.30 Providers must follow United Kingdom General Data Protection Regulation (UK GDPR) considering as per your AtW HA Contract.

7.31 In relation to the sharing of data, Providers should also adhere to all requirements as laid out in Chapter 8 of the Generic Guidance for DWP Providers – Information Security.

7.32 You must retain all customer responses to each stage of the complaint for the duration of your Contract, as outlined in your AtW HA contract.