Statutory guidance

NEA phase 2 memo 25: COVID-19 provider guidance update

Updated 13 January 2023

To	New Enterprise Allowance (NEA) Providers
From	Gordon Ross, Department for Work and Pensions (DWP)
Action	For PRIME provider information and action
Timing	Immediate

The New Enterprise Allowance (NEA) Phase 2 COVID-19 provider guidance has been updated to:

• provide instruction on the process to take if a participant request you delete their records
• the COVID-19 boxes have been updated as you return to more face-to-face interventions
• we have also taken the opportunity to update some of the paragraph references made within the guidance

Summary and action

NEA Phase 2 COVID-19 provider guidance has been updated and version 5.0 published on the GOV.UK provider guidance website.

Please ensure your supply chain is notified of the most recent guidance and ensure all staff adheres to the latest version.

Further information and contact details

If you have any queries about this Live Running Memo please contact your Performance Manager in the first instance.

Table of the main changes and amendments

Section and Paragraph	Version 5 wording
2.01	JCP Work Coaches will refer eligible people to NEA by making a referral for an Initial Assessment (IA). There will be no requirement for the Work Coach to contact you by telephone whilst making the referral (sometimes referred to as a “warm handover”) but Work Coaches may contact you to discuss the referral where required. Prior to undertaking the IA, you will need to ensure that the Link Up: Start Up (LUSU) information is shared with the claimant. This can be face to face, via telephone or using digital channels (or a combination of some or all of these). You must agree this with the claimant as to which is the best option for their circumstances. Any alternative to a face to face meeting would still need to be interactive and we would not expect, for example, for it to be just a matter of filling in a few questions on a form or answering a few questions on a telephone call. The face to face option must remain as one of the options available to the customer. As we return to Business as Usual, Providers will need to ensure latest Government guidance is followed on re-opening premises and offering face-to-face support.
Between 2.13 and 2.14	COVID-19 As a result of the increased risk to health and safety as a result of COVID-19 Governments in England and Wales have issued guidance around safety. This includes a requirement to complete a health and safety risk assessment that includes the risk from COVID-19. Please review the Government Guidance for your Country and ensure that a risk assessment is undertaken, links are provided below. For England, please refer to the guidance around working in Offices, Factories and Labs available at: Working safely during coronavirus (COVID-19): guidance from Step 4 - Guidance - GOV.UK (www.gov.uk) The Welsh Government has guidance around their current Coronavirus restrictions here: Coronavirus (COVID-19) Topic GOV.WALES The Scottish Government guidance regarding transitional arrangements and returning to offices is available here: Coronavirus (COVID-19): returning to offices - gov.scot (www.gov.scot) ESF COVID-19 – audit visits If a A125 or A127 audit visit at a Provider or Sub Contractor premises is arranged you will be asked to complete a ‘Host organisation health and safety assurance questionnaire’. This is a Managing Authority document and will be sent to you by the ESF CFO Assurance team. The document must be completed and returned before the audit takes place. For more information on ESF audit visits, please refer to the Managing Authority Action Note paragraph 4.4 – Health and Safety/Risk Related Action 071/21 Reversal of COVID-19 Easements: Recommencement of Visits to ESF projects. Evidence should be gathered and retained to show the government guidelines you were adhering to which meant you could not offer face–to-face delivery at the time you supported the participant. This could be due to imposed lockdown restrictions, or the COVID-19 secure guidance required under health and safety legislation. When you are not supporting the participant with a face-to-face intervention the documents can be annotated “due to Covid-19” and you should obtain a wet signature as soon as possible. When you are delivering face-to-face interventions a wet signature must be obtained.
Between 3.03 and 3.04	COVID-19 As a result of the increased risk to health and safety as a result of COVID-19 Governments in England and Wales have issued guidance around safety. This includes a requirement to complete a health and safety risk assessment that includes the risk from COVID-19. Please review the Government Guidance for your Country and ensure that a risk assessment is undertaken, links are provided below. For England, please refer to the guidance around working in Offices, Factories and Labs available at: Working safely during coronavirus (COVID-19): guidance from Step 4 - Guidance - GOV.UK (www.gov.uk) The Welsh Government has guidance around their current Coronavirus restrictions here: Coronavirus (COVID-19) Topic GOV.WALES The Scottish Government guidance regarding transitional arrangements and returning to offices is available here: Coronavirus (COVID-19): returning to offices - gov.scot (www.gov.scot) ESF COVID-19 – audit visits If a A125 or A127 audit visit at a Provider or Sub Contractor premises is arranged you will be asked to complete a ‘Host organisation health and safety assurance questionnaire’. This is a Managing Authority document and will be sent to you by the ESF CFO Assurance team. The document must be completed and returned before the audit takes place. For more information on ESF audit visits, please refer to the Managing Authority Action Note paragraph 4.4 – Health and Safety/Risk Related Action 071/21 Reversal of COVID-19 Easements: Recommencement of Visits to ESF projects. Evidence should be gathered and retained to show the government guidelines you were adhering to which meant you could not offer face–to-face delivery at the time you supported the participant. This could be due to imposed lockdown restrictions, or the COVID-19 secure guidance required under health and safety legislation. When you are not supporting the participant with a face-to-face intervention the documents can be annotated “due to Covid-19” and you should obtain a wet signature as soon as possible. When you are delivering face-to-face interventions a wet signature must be obtained.
4.06	You are reminded to comply with GDPR and DWP security requirements when engaging in any digital delivery. As we return to Business as Usual, Providers will need to ensure they follow the latest Government guidance and also consider completing a risk assessment on re-opening premises and offering face-to-face support
7.32	Under the cost model of payments you are still required to input the outcomes for the following for MI purposes: * NEA Phase 2 Programme Start / Initial Assessment * Mentoring Phase / Business Development and Growth Plan Assessment * Confirmation of 26 weeks trading duration, following signoff of the Business Development and Growth Plan (BDGP)
Section 10 New Title	Provider receives a request to erase Participant’s information
10.11 New Paragraph	There may be occasions when you receive a request from a Participant to erase their personal information from your records.
10.12 New Paragraph	Upon receipt of the request you should acknowledge the request from the Participant and issue a holding response immediately detailing that the query will be responded to within one month. You should then forward the details of the request, to the Data Protection Office, email address:data.protectionofficer@dwp.gov.uk and copy in the NEA enquiry inbox, email address:cepspecialist.provisionenquiries@dwp.gov.uk
10.13 New Paragraph	You will receive a generic email containing a reference number and the actions that you should take from the Data Protection Office (DPO) team. The reference number must be used with all correspondence with the DPO team
10.14 New Paragraph	Before responding to the Participant, you should consider the following: Details can be deleted for participants who didn’t attend the IA If the Participant has started the interventions or attended the Initial Assessment and was not accepted or did not want to be on the programme, their information would be kept for audit and payment purposes.
10.15 New Paragraph	Once you have considered the participant’s progress within the programme, and you agree to the erasure of the customer’s personal information, you must either issue the accepted letter NEA RTE Acc ENG for Participants in England, NEA RTE Acc SCOTWALES for Participants in Scotland and Wales or you must respond with your own communication. Please note: If you would like a copy of NEA RTE Acc ENG, NEA RTE Acc SCOTWALES, or a Welsh version please send your request to cepspecialist.provisionenquiries@dwp.gov.uk
10.16 New Paragraph	You should then forward the response email (including letter or communication from yourself) with the reference number to the Data Protection Office, email address:<brdata.protectionofficer@dwp.gov.uk and copy in the NEA enquiry inbox, email address: cepspecialist.provisionenquiries@dwp.gov.uk
10.17 New Paragraph	All responses must be issued within one month of receipt of the request from the customer and must contain the reference number supplied to you.
10.18 New Paragraph	If when considering the participant’s progress within the programme you cannot erase their information you must either issue the rejection letter NEA RTE Rej ENG for Participants in England, NEA RTE Rej SCOTWALES for Participants in Scotland and Wales or you must respond with your own communication. Please note: If you would like a copy of NEA RTE Rej ENG, NEA RTE Rej SCOTWALES, or a Welsh version please send your request to cepspecialist.provisionenquiries@dwp.gov.uk
10.19 New Paragraph	You must forward the response email (including the letter or communication from yourself) with the reference number to the Data Protection Office. email address: data.protectionofficer@dwp.gov.ukand send a copy to the NEA enquiry inbox, email address: cepspecialist.provisionenquiries@dwp.gov.uk
10.20 New Paragraph	All responses must be issued within one month of receipt of the request from the Participant and must contain the reference number supplied
Paragraphs 10.11 to 10.23	Re-numberws from 10.21-10.33