Chapter 6: Performance
Updated 5 June 2023
© Crown copyright 2023
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gov.uk.
Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.
This publication is available at https://www.gov.uk/government/publications/access-to-work-holistic-assessments-provider-guidance/chapter-6-performance
Monthly MI
6.01. You should submit your monthly MI by the 3rd working day of each month to your Performance Manager. Please also copy it to the SPOC (the Access to Work Contract Liaison Point).
6.02. Monthly MI must include the:
- oldest case – number of days outstanding from referral and reasons for delay, and volumes outstanding at the end of the month
- volume of cancellations made by customers in month and by and year to date including reasons for cancellation and the date on which the customer was re-booked
- volume of cancellations made by you in month and year to date including reasons for cancellation and the date on which customer was re-booked
- top ten recommended solutions in month and year to date
- number of complaints handled by the Provider and time taken to resolve to customer’s satisfaction (in Working Days) in month and year to date
- the number of complaints referred to DWP in month and year to date
- list of all Assessors engaged on the contract detailing their skills, experience, clearances and qualifications
6.03. Please refer to the MI template Annex D.
Yearly MI
6.04. You should submit your yearly MI by the 3rd working day of the next year to your Performance Manager. Please also copy to the SPOC (the Access to Work Contract Liaison Point).
6.05. Yearly MI must include the summary report for all your delivery staff detailing all continuous professional development activities undertaken in the last 12 months and a forward look plan for the next 12 months. As a minimum the plan should include:
- how and why the activities were selected and the supporting rationale and
- the benefits of these activities to the service you deliver
Ad-hoc MI requests
6.06. Occasionally you may be asked to provide other statistical data that is relative to the services you deliver. In these circumstances you should make available for inspection all such records and work counts as requested within a reasonable timescale.
6.07. You shall allow DWP access to all MI throughout the life of your contract and maintain all data as specified in your contract.
Performance Management
6.08. You will have monthly discussions with your Performance Manager (PM) and Access to Work SPOC to review performance in month and trend performance achieved against contractual requirements.
6.09. You will update your PM and commercial contact immediately on any changes to information, data, progress, processes, procedures and issues relating to this service.
6.10. Action Plans will be used to monitor and support continuous improvement and monitor agreed performance improvement actions.
Key Performance Indicators (KPIs) and Performance requirements
6.11. You are under an obligation to meet or exceed the following performance targets. Failure to meet all or any of the agreed defined target performance levels, shall entitle DWP to serve notice to terminate on the contract.
| Ref | SERVICE OR PROCEDURE | DESCRIPTION OF STANDARD REQUIRED | MONITORED BY |
|---|---|---|---|
| KPI 1 | Initial contact made | 96% of initial contact and appointment made within two (2) Working Days of referral by DWP and is recorded on PRaP within two (2) Working Days of the initial referral | DWP |
| KPI 2 | Return of completed specified Needs Assessment Report | 90% of Needs Assessment reports to be sent and received by the specified AtW Adviser within eight (8) Working Days of referral by DWP and recorded on PRaP within fifteen (15) Working Days | DWP |
| KPI 3 | Return of completed specified Needs Assessment Report | 90% of Needs Assessment reports to be with the specified AtW Adviser within eight (8) Working Days of initial referral by DWP to the required quality (see KPI 4) | DWP |
| KPI 4 | Accuracy (quality) | Minimum of 99% of reports meet the standard of acceptability defined in Annex D | DWP |
| KPI 5 | Rework of the specified Needs Assessment Report | 96% within one (1) Working Day of return by DWP to the specified AtW Adviser | dwp |
| KPI 6 | Provide detailed Management Information | 100% of monthly returns by the third (3rd) Working Day of each month. Yearly returns by third (3rd) Working Day following anniversary of the Contract | DWP |
| KPI 7 | To forward all Providers complaints and proposed draft responses to DWP | 99% within five (5) Working Days of receipt for approval ahead of issue to the customer. Rework to be done within one (1) Working Day of notification by DWP | The Provider |
| KPI 8 | To forward any complaints relating to DWP to DWP | 99% within two (2) Working Days of receipt | The Provider |
Market Share Shift (MSS)
6.12. Shifts are cumulative and therefore revised market shares will remain in effect until or unless further revised (up or down) by a subsequent shift.
6.13. Before being considered for an increase in market share, if a Merlin Standard Accreditation has been completed, the provider must have achieved a rating of “excellent”, “good” or “satisfactory in the most recent assessment.
6.14. Until the first implementation of MSS DWP shall endeavour to refer customers to the prime contract and a competing prime provider in equal numbers. At the end of the 6 month MSS assessment period (starting from service commencement) and each six-month assessment period thereafter, DWP shall:
- assess the provider’s performance against KPI 3 over the MSS assessment period
- not consider MSS if both the providers are ‘green’ on KPI 3
- determine MSS on the Market Shift review date which will be 2 months following the end of the MSS assessment period
- shall (at its sole discretion) if one or more provider is rated amber or red against KPI 3 allocate ten (10) percentage points less market share to the lower performing provider against KPI3 and the provider whose performance is higher will be allocated ten (10) percentage more market share; and
- ensure that the maximum market share that one provider can achieve is eighty (80) %
6.15. If the competing provider with the lowest performance against KPI 3 (for a MSS assessment period) has a compliance risk rating for that KPI of amber or red, DWP may, at its sole discretion, reduce the future market share of that provider by ten (10) percentage points and increase the market share of the competing provider with the higher KPI 3 score (for the same period) by a corresponding ten (10) percentage points.
Providers can now find annexes A-E of the holistic assessments provider guidance on Jaggaer.