Statutory guidance

Generic guidance for DWP providers

Updated 9 December 2024

Chapter 1: Introduction to Generic Provider Guidance

1.01 Generic Provider Guidance gives you information about your role as an organisation delivering Department for Work and Pensions (DWP) Provision.

1.02 This guidance provides additional information to the schedules of your contract(s). This Provider Guidance does not look to replicate the details within your contract, and you are responsible for ensuring you read, understand and are complying with your contract.

1.03 Provider Guidance is split into three distinct elements that work in conjunction with each other, a summary of which can be seen in the table below:

Guidance	Purpose
Generic Provider Guidance	Provides requirements and background generic to all Contracted Employment Programmes (CEPs). In summary it focuses on the contracting body of DWP, its agency Jobcentre Plus (JCP) and what you can expect from them; minimum standards for delivering DWP Provision, including Law and Legislative requirements; the management and assurance of these standards; and business continuity and related procedures.
User Productivity Kit (UPK) – Provider Referrals and Payments (PRaP) Guidance (Available within the PRaP system)	Provides details of how to carry out the actions on the PRaP system indicated within the respective Programme Specific Guidance. Please see programme specific guidance for more detailed information on PRaP.
Programme Specific Guidance	Each DWP CEP will have its own Programme Specific Guidance. This will need to be used in conjunction with the Generic and UPK (PRaP) Guidance. In summary it focuses on the procedures and processes to be followed for the delivery, performance management and assurance of the requirements listed within your specific contract(s).

Welsh Language Act

1.04 Our customers in Wales have the right to conduct their business in Welsh should they wish to do so. Welsh versions must be available at the same time as English versions of any product if you are delivering services in Wales. In the first instance providers should request a translation by contacting their local JCP contact. You should also approach your local JCP contact if you require further information on the DWP Welsh Language Scheme.

Introduction to the DWP

1.05 The DWP is responsible for welfare, pensions and child maintenance policy. As the UK’s biggest public service department, it administers the State Pension and a range of working age, disability and ill health benefits to around 20 million claimants and customers.

1.06 Read further information about the DWP.

Aims of DWP Provision

1.07 DWP aims to deliver an outstanding customer service to the people who are its Participants. Read the values and aims of DWP.

1.08 Your performance contributes directly to that of the DWP, and we therefore have a shared interest in the success of your provision. DWP operates a policy of continuous improvement in which we work to raise all aspects of quality, and performance in the services we deliver. You are expected to work with us in doing so.

Chapter 2: Delivering Provision

Introduction

2.01 This chapter gives you general information on delivering provision for the DWP. Further information relating to specific programmes can be found in programme specific guidance.

Business Continuity

2.02 All key business processes must have Business Continuity Strategy Plans, and facilities must be put in place and maintained to ensure the DWP Information Systems and Services can recover and continue should a serious incident occur. A copy of the plan must be passed to your relevant Employment and Accounts Division (EAD) contact. Quality

2.03 It is important all organisations responsible for the delivery of DWP Contracted Employment Provision (CEP) are committed to raising standards. The primary responsibility for improving the quality of provision rests with you, and you will be expected to build and maintain a culture of continuous improvement.

Working with Participant

2.04 You are responsible for ensuring all Participants are treated within the requirements of legislation outlined in your contracts. You should ensure the Participant is clear about the aims of your provision, the specific aims of the programme of activity that has been developed, and the benefits of their participation. Reasonable adjustments

2.05 You are expected to provide appropriate services to ensure compatibility with the Equalities Act, for example, to enable communication with participants who do not speak English as a first language, or who are deaf, hearing impaired or have a speech impediment. Providers should provide sufficient services to allow participants to complete any training courses that are part of your provision, or required for the participant’s journey.

2.06 You will be informed if the Participant has an appointee. You must include the appointee at any stage where the participant’s entitlement or award may be affected. General Data Protection Regulation (GDPR).

2.07 When collecting evidence as an audit trail of your Participant’s employment, all staff within your organisation must be aware of, and follow GDPR to ensure you and your Participants personal information is protected. More information can be found on the Information Commissioners Office (ICO) website and within your contracts and programme specific guidance. and within your contracts and programme specific guidance.

Training Plans/Action Plans

2.08 Participants on your provision may require a Training Plan and/or Action Plan. For more information, please refer to your programme specific guidance.

2.09 Individual arrangements should be discussed with the Participant, for example, requirements for specialist support such as a communicator for those with a hearing impairment.

Learning

2.10 Most DWP provision will engage Participants in learning related activities, whether for the acquisition of vocational skills, developing positive attitudes to employment or improving basic skills. Learning activities, like other aspects of provision, must be tailored to meet individual needs. For more information on this subject area please refer to your programme specific guidance.

Job Search

2.11 Job Search can be an essential feature of provision. For more information on Job Search please refer to your programme specific guidance.

2.12 A Participant is not expected to search for, or take up paid work, in any location which would normally take the claimant more than 90 minutes to travel to or from their home, unless you have had special arrangements agreed by DWP.

2.13 When working with your Participants it is important, from a job search and contacting employers’ perspective, that you understand if the Participant has any spent or unspent convictions. As a recommendation, you should gather this information at the earliest opportunity e.g., during initial meetings or when collating participant background information during the first weeks on the provision. Please see Paragraphs 91 onward for Multi-Agency Public Protection Arrangements (MAPPA).

2.14 The links below outline which convictions should be disclosed and those where disclosure is not required. In addition, if a Participant has a conviction, you should ensure they also understand what disclosure means, based on their individual circumstances.

2.15 For more specific details on this please visit Disclosing your criminal record. This will outline when a participant is required to do so and when they are not.

2.16 For more information on how long certain offences stay on a participants record please visit Rehabilitation Periods, which outlines rehabilitation periods.

2.17 Understanding this information is to ensure that you protect yourselves and your Participants when discussing suitable employment opportunities and/or job applications and is something that should frequently be revisited throughout the Participants time on the provision.

Health and Safety

2.18 All Participants involved in any way with DWP Provision are entitled to train and work in a healthy and safe environment with due regard to their welfare. Under Health and Safety Law they are regarded as your employees, whether they are paid by you or not.

2.19 You must, therefore, comply with your Duty of Care under the Health and Safety at Work etc. Act 1974 and the Act’s associated regulations in the same way as you would do for any other member of your workforce.

2.20 You must ensure that Participants receive health and safety induction, training and supervision which are appropriate to the provision being delivered, and that systems are in place for checking this, both within your own organisation and for any sub-contractors.

2.21 You must complete risk assessments, instruct, inform, and train Participants on the control measures identified. There are specific risk assessments for young people, pregnant workers, Lone Workers, and employees who are engaged in Manual Handling activities. This list is not exhaustive.

2.22 DWP and Jobcentre Plus staff may therefore visit you and your sub-contractors for a variety of reasons. When doing so they will, in the course of their duties, adopt an ‘awareness’ approach to health and safety. In doing this they will not be conducting a health and safety inspection, nor will they be in a position to offer advice on whether something is safe or not.

2.23 Instead, they will approach this from the position of any layperson. If, however, they do spot something on which they require assurance or clarification they will raise this with you or your sub-contractor’s representative at the location they are visiting. If it is subsequently decided that the issue raised is one that requires follow up, this will be arranged with you through your local Jobcentre Plus contact.

Managing and Reporting on Interactions with Participants

2.24 Participants on DWP provision have a responsibility to behave in an appropriate manner just as they would if they were in employment. You must explain what constitutes appropriate behaviour as part of the induction. Where cases of misconduct or challenging behaviour by Participants arise, you must immediately deal with it in the most appropriate manner. Where the inappropriate behaviour is of a minor nature, such as an initial refusal to co-operate, you should aim to handle the issue internally in the first instance.

2.25 If an incident is more serious or there is a pattern of behaviour that makes interacting with the Participant potentially unsafe, for example, damage to property or continued refusal to co-operate with reasonable requests, you should notify the Jobcentre Plus adviser or other nominated contact point.

2.26 You cannot select the Participants with whom you work. You will experience a wide range of behaviour which may include individuals who exhibit difficult, aggressive, or sometimes violent behaviour.

Notifying Jobcentre Plus of Incidents and unsafe interactions

2.27 You are required to notify Jobcentre Plus of all incidents of unsafe interactions that involve Participants. DWP considers the following are examples of such interactions (this is not exhaustive):

• violence
• verbal abuse
• verbal abuse of a sexual or racist nature
• threats, which are implied or otherwise
• intimidation
• sexual innuendo
• harassment
• unwelcome attention
• attempted or actual assaults, and/or
• inappropriate use of the internet or provider’s information technology (IT) system

2.28 When notifying Jobcentre Plus of an Incident you should complete the Clerical Incident Report form. You should also arrange for a manager to complete the managers section of the form, plus a form IF3 completed by each witness to the incident. Forward these forms to your named contact at the Jobcentre Plus immediately, preferably by secure email. Your contact will forward the report(s) to one of our Safe Interaction Risk Managers who will take appropriate action in consultation with you.

Exclusion from Provider Premises

2.29 Only in extreme circumstances should you request a Participant be excluded from your site(s). Before any such request you are required to attempt to manage the Participant within your business, moving them to alternative provision/ sites where available and necessary. As a last resort you may request that a Participant is excluded from your site(s).

Please note: This is not exclusive from the programme, only from your site(s).

2.30 If a Participant’s behaviour consistently leads to unsafe interactions and other methods of engaging or issuing verbal or written warnings prove ineffectual, you may wish to request the Participant is excluded from your premises. The situation must be one of genuine risk to staff and not just because the Participant is difficult, and you would have to supply evidence about why exclusion is appropriate.

2.31 If exclusion is sought, a request should be made via your Performance Manager, who will forward the details to Jobcentre Plus to decide based on the individual circumstances.

2.32 Participants will not be excluded from provision based on potentially violent or inappropriate behaviour (for example, racial or sexual verbal assault, foul language or the issuing of threats, or if the Participant refuses to engage). However, you must show a duty of care to Participants and staff and in certain circumstances the only immediate option may be to temporarily remove the Participant from the situation.

2.33 In some circumstances Participants who have an incident marker recorded against them may be considered as posing a risk to the health and safety of staff. These Participants will be subjected to certain safety measures to ensure staff safety. Further information on the Participant’s incident marker should be requested by contacting Jobcentre Plus.

2.34 Examples of behaviours that would result in safety measures being implemented would be where a Participant:

• has committed an actual physical assault on a member of staff or another Participant, regardless of injury
• has committed an actual physical assault on a member of staff’s family, if it can be demonstrated that it is directly connected to that person’s work in the department
• has attempted to commit a physical assault on a member of staff or another Participant
• stalked a member of staff or another Participant (which is defined as “the wilful, malicious and repeated following and harassing of another person”)
• suffers from a severe mental illness, and a qualified medical practitioner or social worker states that they are likely to pose a danger to staff
• has made a threat of violence either face to face, over the phone, or in writing, and/or
• has displayed threatening or aggressive behaviour

2.35 Where incidents such as this occur or where safety measures have been introduced by Jobcentre Plus then you may decide how best you can manage any potential risk posed by the Participant, suggested controls include:

• holding interviews in public areas;
• having a colleague present at interviews, and
• informing senior staff/ managers of interview details

Fast Track Incidents

2.36 While all incidents of unsafe interactions are serious, some may have to be afforded a particular importance and dealt with as a priority because of their nature and circumstances.

2.37 Therefore, in addition to completing a report, you are expected to telephone your Jobcentre Plus contact urgently if an incident occurs that can be defined as:

A serious incident occurs, which compromises the health and safety of DWP staff or the staff of our Partners and/or our ability to safely use our premises. The serious nature or sensitivity of the incident warrants an immediate notification to senior management, prior to further investigation.

2.38 The following is not an exhaustive list; sometimes an incident may not neatly fit within the criteria below:

• actual assault (intentional physical contact) has occurred – which is directed at DWP or Partner employees (including Customer Care Officers (CCOs)) in connection with their duties
• weapon, or other item presenting a similar level of threat, has been used to harm, attempt to harm or intimidate
• is significant disruption to normal business

• is a significant cost implication (i.e. estimated at over £2,000) for the business/DWP/ Partners, for example damage to property

• has been a viable targeted or personalised threat (and police advice has been sought)
• suicide, attempted suicide or self-harm incident, understood to be directly connected to DWP business

2.39 If you are unclear as to whether an incident should be considered a Fast Track, you should contact your local Jobcentre Plus for further advice and support.

Incident Referral Process

1. Incident leading to an unsafe interaction occurs.

2. Provider notifies (Jobcentre Plus) of incident via the report form.

3. Provider attempts to manage Participant’s behaviour.

4. Has the incident been resolved?

• if yes, go to Step 5
• if no, go to Step 6

5. No further action is required.

6. Has the Participant consistently ignored all attempts by the provider to resolve the issue?

if yes, go to Step 7 if no, go to Step 3

7. Jobcentre Plus notified to consider safety measures.

8. Have safety measures resolved the issue?

• if yes, no further action is required
• if no, provider may request the exclusion of the Participant from their premises via the Jobcentre Plus contact.

Accidents/Incidents

Arrangements for Managing and Reporting Accidents

2.40 In reporting and managing accidents, which involve a Jobcentre Plus Participant, you and your sub-contractors may wish to consider using similar or the same procedures as you use for existing employees. However, these procedures should include ensuring that:

• immediate action is taken to ensure the safety of Participants and prevent reoccurrence
• all accidents, including minor incidents, are recorded in your accident book
• all accidents covered by the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) are reported to the appropriate enforcing authority
• an investigation is carried out to assess whether any changes should be made to the workplace or procedures following the accident/incident
• Risk Assessment Control Measures are reviewed and, if necessary, revised to ensure their effectiveness and that they remain suitable and sufficient

2.41 In doing this you will wish to consider the full range of factors relating to the incident including, for example, whether:

• the Participant had received appropriate Health and Safety awareness and instruction and that they understood the implications
• the activities undertaken by the Participant at the time of the accident were required as part of the provision
• supervision was adequate
• appropriate clothing and equipment were being used, or
• the work environment was organised in a safe manner

2.42 DWP no longer requires providers to complete forms PARF1 and PARF2. Should Participants need to make a claim to Industrial Injuries Benefit they are asked to either contact their local Jobcentre Plus or the relevant benefit centre detailed in Industrial Injuries Disablement Benefit where if appropriate, claim forms for accident or prescribed diseases (usually BI100A or BI100PD) can be issued.

Analogous Industrial Injuries Scheme (AIIS)

2.43 From 31st October 2013 AIIS will be abolished as a benefit. Claimants in receipt of AIIS payments will be transferred to the main Industrial Injuries Scheme and receive benefits at the corresponding rates of Industrial Injuries Disablement.

Diversity and Equality

2.44 The Equality Act 2010 replaces all previous legislation covering discrimination. You must ensure that you comply with the Equality Act 2010 and the Welsh Language act 1993.

2.45 As you will be aware, your approach to diversity and equality is an important factor in the delivery of a DWP contract. You should refer to the Diversity and Equality Schedule in the contract documentation you have and raise any queries and issues with your performance manager.

Permitted Work

2.46 Participants may be able to do some limited work while claiming Incapacity Benefit (IB) Severe Disablement Allowance (SDA) and Employment Support Allowance (ESA). This is called ‘Permitted Work’.

2.47 The Permitted Work rules strike a delicate but important balance between, on the one hand, encouraging customers to build their confidence, undertake some part-time paid work and plan a gradual move to sustained employment, while continuing to receive benefit. It can help provide the incentive for them to move off benefit entirely and into full-time work, in line with the government’s overall approach.

2.48 Please see Permitted Work for further information or contact your local Jobcentre Plus office for advice and guidance.

Absence from Mandatory Provision

2.49 In all cases, a decision on good reason is for the Secretary of State to make and not at the discretion of the provider and if there is any doubt at all in any individual case or consideration of further information or further evidence is required a Decision Making and Appeal (DMA) referral should be made. Follow your programme provider guidance when considering doubts.

Allowable short-term absences

2.50 Allowable short-term absences for Mandatory Provisions will be detailed in provider guidance, identifying circumstances where DMA referrals would not be applicable, such as:

• lifeboat crew duties
• reserved forces training
• Open University residential course
• part time firepersons
• Jury Service

(This list is not exhaustive)

2.51 The provider will need written evidence from the Participant to justify their absence and should notify Jobcentre Plus of the absence so that the claimant record can be updated with the details.

Medical appointments/Job interviews

2.52 A claimant will need some flexibility to attend occasional medical appointments (doctor, dentist, hospital etc.) and job interviews that cannot be arranged at a time outside the hours of the placement. Provider guidance will be amended to make it clear that, provided the claimant has written evidence of their appointment, and notifies the provider in advance of the absence, a DMA referral would not be appropriate.

2.53 A first appointment may be accepted without written evidence, but if frequent or recurrent appointments could not be verified by evidence, a DMA referral would be appropriate. In any case where the provider considers the requests are frequent and unreasonable the case should be referred for DMA action and for a Decision Maker (DM) to consider.

Sickness absence/domestic emergency/domestic violence

2.54 Jobseekers Allowance (JSA) regulations allow claimants to be treated as actively seeking employment in the following circumstances:

• 2 periods treated as available for short term sickness (2 weeks each) during a 12-month period
• 4 periods treated as available for domestic emergencies (up to one week each)
• one period treated as available where they have been a victim of domestic violence (up to 13 weeks)

2.55 In these circumstances the provider will be instructed to contact Jobcentre Plus who will check the claimant record to ascertain previous periods allowed in the 12-month period and advise whether the period of absence is allowable or should be referred to DMA. If the claimant could be treated as available/actively seeking employment (ASE) then the assumption is that they can be treated as having participated in the provision and a referral would not be required.

2.56 Jobcentre Plus will need to note the claimant record with the reason for and period of absence. However, in every case where the provider has any doubt whether an absence can be accepted or not a DMA referral should be made for the DM to decide. It is not the responsibility of the provider to seek reasons or further evidence from the claimant and in those cases should raise a referral.

Holidays

2.57 JSA regulations allow claimants to be treated as actively seeking employment when away from home on holiday (within GB), but they must be willing and available to return immediately to take up employment.

2.58 For longer placements, if the claimant notified the provider in advance that they would be absent on holiday, this will be acceptable if Jobcentre Plus agree they are Available/ASE, and a DMA referral would not be required.

2.59 It is proposed that a cumulative period of 2 weeks holiday during a 26-week placement is reasonable, but anything over that would need to be referred to DMA for a decision. However, if the provider has any doubt in any individual circumstance, then a DMA referral should be made for the DM to decide.

Casual lateness, unexplained absence, other failure to participate

2.60 A claimant will be given clear instructions about what ‘participation’ means as part of their induction, including the start and finish times of provision, timing of breaks and what is expected in terms of behaviour. Any failure to meet those expectations (other than for the reasons set out in previous paragraphs) comprises a ‘failure to participate’ and should be referred to DMA.

Childcare and Caring Responsibility

2.61 Parent and Carer Participant’s attending provision may be able to get help with the costs of childcare and replacement care.

2.62 Funding for childcare can only be paid to a childcare provider who is registered or approved under the voluntary part of the General Childcare Register (GCR) or exempt from registration. Any contract for childcare must be between the parent and the childcare provider. All payments need to be paid within Jobcentre Plus agreed daily and weekly limits directly into their bank account or by cheque. These costs are in line with Working Tax Credit payments.

2.63 Payments can be made for a child dependent of the parent up to but not including the first Tuesday in September following the Childs 15th birthday or the first Tuesday in September following the Childs 16th birthday if the child is in receipt of Disability Living Allowance or registered blind.

2.64 Funding for replacement care costs may be paid to a carer. The carer must be aged 18 or over; not working or working less than 16 hours a week and spend a significant proportion of their lives providing unpaid support to relatives, partners or friends who are ill, frail, disabled or have mental health or substance misuse problems.

2.65 For the purpose of eligibility for the payments of replacement care costs ‘significant’ is defined as any caring responsibilities that are a barrier to work and will impact on the type of paid work a carer can undertake.

2.66 There is no national registration process for replacement care providers. However, providers who provide personal care in the home must be registered by the Care Quality Commission (England), or the Social Care and Social Work Improvement Scotland (SCSWIS), the Care and Social Services Inspectorate (Wales). Jobcentre Plus pays replacement care costs on behalf of the carer. Any contract for care must be between the carer (or person cared for) and the replacement care provider and must not involve Jobcentre Plus.

Opportunities Involving Work with Children or Other Vulnerable Members of Society

2.67 On occasion, as part of your provision, you might organise opportunities where Participants would encounter children or other vulnerable groups. Jobcentre Plus staff will take reasonable steps to ensure Participants’ suitability before they refer them to you. However, it is your responsibility to ensure that Participants are suitable for such opportunities.

2.68 You must also comply with the legislation in the Multi Agency Public Protection Arrangements (MAPPA) England and Wales and MAPPA Scotland.

2.69 Changes to legislation brought about by the Police Act 1997 Section V altered the arrangements for obtaining criminal record checks. From April 2002, the Criminal Records Bureau (CRB) and the Scottish Criminal Records Office (SCRO) took over the role from local police authorities for checking criminal record information for employment and volunteering purposes.

2.70 These checks are known as ‘Disclosures’. The aim of the Disclosure service is to enhance public safety and enable employers and voluntary organisations to make safer recruitment decisions. Further information on Disclosures can be found on the CRB website and for carrying out any criminal record checks that are required.

Safeguarding Vulnerable Groups

2.71 Providers must comply with legislation in The Safeguarding Vulnerable Groups Act 2006 (Disclosure and Barring Service for England and Wales), The Safeguarding Vulnerable Groups Order (Northern Ireland) 2007 and Protecting Vulnerable Groups Act 2007 (PVG Scotland).

2.72 For more information and guidance regarding these schemes and legislation please see the links below.

• Disclosure and Barring Service
• The Safeguarding Vulnerable Groups (Northern Ireland) Order 2007

Special Customer Records (SCR)

2.73 Certain participants are allocated SCR status, this is where DWP have determined that further handling instructions are required for safeguarding purposes.

2.74 These Participants must not have their details held on any electronic systems.

2.75 Non Universal Credit referrals e.g. Legacy benefits for SCR customers will be made clerically by Jobcentre Plus using the form SL2, which replicates the information the provider would otherwise receive digitally.

2.76 During the time Participants who have had this status allocated to them are with you on your provision you are required to maintain their records clerically.

2.77 Access to a SCR must be restricted to a set period of time and on an event-by-event basis.

2.78 The period of time allowed should be sufficient for the effective conduct of business and, in every case, no longer than four hours. If this period of time is inadequate, management authorisation will be necessary.

2.79 To prevent unauthorised access to documents relating to SCRs, clerical papers must be physically protected to a level commensurate with the identified risks.

2.80 All clerical records must be stored securely in robust lockable wooden or steel furniture.

2.81 You are expected to replicate the Jobcentre Plus policy. A member of staff at management level must be nominated at each of your offices to be responsible for the safekeeping of all sensitive Participant records.

2.82 Your nominated officer will be responsible for ensuring that the access to clerical papers is strictly controlled and only granted to a user on those occasions where it can be established that a legitimate business need exists. Ideally there should be a control sheet for these cases, showing date, name of staff member and reason for record access.

2.83 Your nominated officer should make themselves known to Jobcentre Plus. All SCR Participant information shared between yourselves, Jobcentre Plus and/or the Benefit Centre (BC) should be between your nominated officer and the Jobcentre Plus/ BC equivalent.

2.84 All clerical documents carrying personal information should be retained securely in line with the Data Protection Act Principles.

2.85 For more information on how to process sensitive Participant records refer to your programme specific guidance.

2.86 See Generic Guidance Chapter 4.21 – Special Customer Records for information on how to claim a Job outcome.

Document Retention

2.87 All clerical documents carrying personal information should be retained securely in line with the Data Protection Act Principles. The SL2 and any other clerical documents held securely for the claimant must be destroyed immediately after the Participant ends provision with you. These must be destroyed in the same way as any other sensitive information (i.e. shredded).

2.88 Where you have a job outcome claim for a customer who is granted SCR status you are required to submit the claim on the relevant form(s).

2.89 Once validated, the supporting information job and sustainment claims as detailed in programme specific guidance should be retained in line with the dates set out in the individual provision contracts.

Multi-Agency Public Protection Arrangements (MAPPA)

2.90 MAPPA are the statutory arrangements for managing sexual and violent offenders. MAPPA is not a statutory body but is a mechanism through which agencies can better discharge their statutory responsibilities and protect the public in a co-ordinated manner. Agencies at all times retain their full statutory responsibilities and obligations.

2.91 In England and Wales, the Responsible Authority (RA) consists of the Police, Prison Service and Probation Service.

2.92 In Scotland the Responsible Authority (RA) consists of the Local Authority (social work services in practice), the Chief Constable for the Local Authorities area, Health Boards (and special Health Boards – Health Boards and Special Health Boards roles are limited to certain restricted patients who are subject to particular kinds of orders under the 1995 Act) for that area and Scottish Ministers (the Scottish Prison Service in practice).

2.93 National Health Service health boards/special health boards are nominated as responsible authorities due to the inclusion of restricted patients within MAPPA in Scotland.

2.94 The RAs are charged with the duty and responsibility to ensure that MAPPA’s are established in their area and for overseeing the assessment and management of the risks of all identified MAPPA offenders.

Employment and training restrictions

2.95 Once the risk assessment has been completed, the RA will notify the designated officer within Jobcentre Plus on form MAPPA J referral form of the restrictions placed upon the claimant.

2.96 Offenders who are released into the community and MAPPA managed may have time limited restrictions placed upon them by a variety of legal requirements which may affect the type of employment and training accessible to them.

2.97 These restrictions could include specific license conditions or civil order prohibitions or obligations (in Scotland) such as:

• exclusion zones and non-contact license conditions
• Sexual Offences Prevention Orders (SOPO’s)
• Restrictions of Liberty Order (ROLO)
• Disqualification Orders, or
• Being subject to the Vetting and Barring scheme

2.98 If the Participant is subject to Multi Agency Public Protection Arrangements (MAPPA), the MAPPA SPOC within Jobcentre Plus will contact your nominated SPOC to discuss the restrictions that are in place for the Participant. There are exceptional circumstances when you may receive the MAPPA J Form, but this will only be for those occasions where the Jobcentre Plus MAPPA SPOC 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 Jobcentre MAPPA SPOC will inform you how and when this will be shared. Should any restrictions impact on the appropriateness of any Initial Face-to-Face Meeting, it is your responsibility to reschedule this for a time and venue that does not conflict with the restrictions imposed on the Participant.

2.99 The Jobcentre Plus SPOC will contact your nominated SPOC to provide the Participants contact details where applicable and discuss any or restrictions that should be in place for each MAPPA referral. They will also discuss the obligations placed on you regarding these cases and how the information should be treated.

2.100 Once the provider has been made aware of the restrictions and their obligations a copy of the MAPPA notification form must be securely forwarded to the provider where appropriate label standard in line with current guidance. See the DWP Security Classification Policy.

Participant Records

Electronic records

2.101 Electronic referrals will be made in the usual way via Provider Referrals and Payments (PRaP), you may receive this referral with or without contact details. On receipt of the referral, you should process this the same way you would any other referral on your programme.

2.102 You may create an electronic record for the Participant, however, it must only contain the information you receive from PRaP and any other information pertaining to the daily running of the record, such as activities, job submissions etc.

2.103 The record must be marked up in such a way that identifies it as a MAPPA record and that further information may be obtained from your nominated officer.

Clerical records

2.104 Where issued, the original MAPPA J template document and any other clerical documents relevant to the Participant must be kept securely in locked metal or wooden furniture. Access to the document must be strictly controlled by your nominated officer. Changes in Circumstances for MAPPA customers

2.105 If a MAPPA Participant reports a change in their circumstances to you, you must notify your nominated officer. Your nominated officer must contact your local Jobcentre Plus MAPPA Special Point of Contact (SPoC) via a phone call and advise them of the Participants change in circumstances.

2.106 Any changes relevant to the claimants’ circumstance or changes to their restrictions will be notified to you by Jobcentre Plus via a phone call or an updated MAPPA J where appropriate.

2.107 It may take extra time for Jobcentre Plus to action these changes (compared to normal cases) as they must consult the RA before being able to process the changes themselves.

2.108 The Provider must notify the Jobcentre Plus MAPPA SPOC when a Participant intends to start work. The MAPPA SPOC will seek approval from the RA and inform the provider of the outcome of this discussion prior to starting work. Participants are unable to start work until they have been given permission from their RA to do so. Change of circumstances when issuing an Electronic Device to Participant with MAPPA restrictions in place

2.109 There may be occasions where you feel it beneficial to issue an electronic device to a Participant to help them with their Job Search activity.

2.110 Note: ‘electronic devices’ includes mobile phones, laptops, tablets, or any other device that allows access to the internet.

2.111 Prior to issuing any device, you must contact your nominated officer for them to consider and review any MAPPA restrictions.

2.112 If restrictions are in place, your nominated officer should contact the local Jobcentre Plus MAPPA SPoC for advice and to notify them of the intention to issue an electronic device. The issuing of the electronic device then constitutes a change of circumstances.

Document retention

2.113 All clerical documents carrying personal information should be retained securely in line with Data Protection Legislation. Any other clerical documents relating to this, held securely for the claimant, must be destroyed when the Participant ends provision with you. These must be destroyed in the same way as any other sensitive information (i.e. shredded).

MAPPA cases given SCR status

2.114 There may be small numbers of MAPPA Participants who request to be given SCR status. Jobcentre Plus will notify your nominated officer if this is to be the case.

2.115 MAPPA cases with SCR status will be referred on form SL2 as in the normal clerical referral process for SCRs and should be treated as such throughout the time that the Participant is with you. See para 73 SCR in this chapter for further information.

Sharing Information with third parties (other providers/sub-contractors)

2.116 You are required to maintain a robust system of internal control which must include appropriate checks, monitoring arrangements and adequate records to demonstrate that you are entitled to make the claim. The records maintained need to be sufficient not only to support a claim for the outcome, but also to allow internal management checks, scrutiny from other external bodies including DWP assurance checks.

2.117 MAPPA customers fall into the category of sensitive personal information, and we need to ensure that both DWP and our providers/partnership organisations hold their information securely.

2.118 Information regarding MAPPA Participants should only be shared when necessary and proportionate.

2.119 If there is a need to share information, such as on change of address or referral to a sub-contractor this should be done between Nominated Officers only and must be proportionate and relevant.

2.120 Additionally, there will be circumstances when it is imperative that this information is shared further, so that you do not put the customer into inappropriate work experience, interviews etc. There are also health and safety considerations that may need to be applied to ensure the safety of your staff depending on the circumstances surrounding each customer. Again, the sharing of this information must be proportionate and relevant.

Ensuring Participants are not exploited by Employers

2.121 When delivering Jobcentre Plus provision you are responsible for ensuring that Participants are not exploited. This is particularly relevant where Participants are placed with employers for the purposes of training and/or work experience.

2.122 Before arranging work experience or other periods of attachment to an employer you must be sure there is a genuine reason why the employer wants to offer Participants the opportunity to work with them. The placement must also be genuinely additional e.g. the Participant must not fulfil a role which would otherwise be advertised as vacant.

2.123 If the Participant has MAPPA restrictions these must be considered when making these arrangements. Once the Participant is participating in the activity you are responsible for monitoring their progress and in doing so you will have the opportunity to assure yourself that they are not being exploited.

2.124 For more information on MAPPA arrangements please see paragraphs 90 onwards.

2.125 Any activity that you arrange for a Participant to undertake with an employer must not contravene the National Minimum Wage Act. More information about the National Minimum Wage.

Work Experience

2.126 If your programme offers work placements with employers as part of the delivery model, you should utilise the employer’s feedback on the Participant to develop their employability skills. In addition, the arrangements you have in place with employers should be continually reviewed based on Participant and other feedback e.g., the employers handling of Participants; if the tasks given are comparable to other employees, and if the work experience itself is beneficial for your Participants.

2.127 If the employer feedback is positive you should continue to develop these partnerships however, if the feedback is negative, you should consider whether future offers of work experience will continue with that employer.

2.128 Ultimately, any decision made about withdrawing work experience from the employer and Participant will depend upon the quality of the feedback you get from the employer and your knowledge of the Participant’s capability.

Unsuitable Types of Activity

2.129 Participants must not be helped to engage in activities, including starting businesses which could put them at risk or bring DWP or you as a Provider into disrepute. It would be difficult to produce an exhaustive list of unsuitable activities and some common sense is required on your part. However, Participants subjected to MAPPA restrictions must not be helped into activities that breach these.

2.130 You will also need to consider a Participant’s personal beliefs when bringing particular jobs or training opportunities to their attention. Some individuals may hold personal beliefs about working within certain types of industry, for example, food production or catering, and you should be sensitive to these.

Self-Employment

2.131 You may wish to offer support to Participants in planning and running their own business. If you do so, you must ensure that the Participant is aware that their entitlement to benefits may be affected. Checks should be made with both Jobcentre Plus and Her Majesty’s Revenues and Customs before commencing any self-employment activity.

Management, Administration and Premises

Administration

2.132 You are responsible for the day-to-day administration of the provision. You must have systems in place, which will ensure all administrative work, including that of any sub-contractors you use, is completed to a high standard within the time limits imposed by DWP. This will include:

• ensuring that all staff who have access to the Provider Referrals and Payments System (PRaP) have read, understood and are following the guidance on accessing and executing processes in the PRaP system
• completing all the necessary actions via appropriate DWP processes accurately required for your provision
• providing regular management and performance information to DWP where appropriate
• keeping track of Participants and letting the Jobcentre Plus office know of their movement into, through and out of provision and into employment or other activities
• letting a nominated Jobcentre Plus contact know of Participants’ progress, including any difficulties they may be experiencing that affect their ability to participate in and benefit fully from your provision
• having in place and operating systems to handle financial administration promptly and accurately, including keeping appropriate records and documentation
• facilitating access by DWP monitoring staff, auditors, evaluators and others at DWP request; or
• prompt reporting to the Jobcentre Plus office of all relevant accidents involving Jobcentre Plus Participants while they are in your charge, including those that occur whilst the Participant is on placement at a sub-contractor and Health and Safety monitoring as a result of any changes
• All documents relating to a MAPPA Participant’s restrictions must be filed securely and access to them controlled by the nominated officer

This list is not exhaustive. Please refer to individual programmes Provider Guidance for further instructions.

Premises

2.133 Where applicable, we expect your provision to be delivered from premises that are of a high standard and that offer a professional, business-like environment. They should be appropriate to the expected through flow of Participants and method of delivery.

2.134 You will also need to provide areas where Participants can work without distraction and areas that afford the privacy needed for one-to-one discussion given that, on occasion, you will be dealing with issues of a sensitive and/or confidential nature.

Sub-Contractors

2.135 Our contract is with you, and it is therefore your responsibility to ensure that any sub-contractors you employ work to the same standards specified by DWP. You are responsible for ensuring they understand the objectives of the provision and their part in the delivery of those objectives, including meeting the needs of the labour market in your area, so that there is no compromise to the levels of quality and performance expected of you.

2.136 You will need to demonstrate effective contract management and close support of sub-contractors and ensure that they have appropriate administrative systems in place. You will need to have in place suitable arrangements for checking that health and safety requirements are met by any sub-contractors.

2.137 You must also bring the Programme Specific Provider Guidance to the attention of all sub-contractors. In line with the terms of your contract with DWP, you will need to ensure that DWP has right of access to your sub-contractors.

Identity Checks

2.138 It is your responsibility to verify with whom you are communicating. To do this, you may decide to ask them to state a combination of their personal information. For more information on what type of information may be required from Participants please refer to your programme specific guidance.

Fraud Prevention

2.139 If you suspect that a Participant is committing fraud you should follow the procedures outlined via the National Fraud Hotline.

2.140 DWP places the utmost importance on the need to prevent fraud and irregularity in the delivery of its contracts. All suppliers and sub-contractors will be required to, as a minimum, adhere to the following four principles:

1. have an established system that enables its Staff to report inappropriate behaviour by colleagues in respect of any claims for payment in relation to any Call-Off Contract

2. ensure that the Prime Contractor’s (or any Sub-contractor’s) performance management systems do not encourage individual staff to make false claims for payment in relation to any Call-Off Contract

3. ensure a segregation of duties within the Prime Contractor’s (or any Sub-contractor’s) operations between those staff directly involved in delivering the Services and those making claims for payment in relation to any Call-Off Contract

4. establish an audit system to provide periodic checks, at a minimum 6 monthly intervals, to ensure effective and accurate recording and reporting of performance of the Services

2.141 Providers are reminded they should use their best endeavours to safeguard funding of the contract against fraud generally and in particular, fraud on the part of the Provider’s directors, employees or sub-contractors.

2.142 You must pay the utmost regard to safeguarding public funds against misleading claims for payment and must notify DWP immediately, via your Performance Manager, if you have reason to suspect that any serious irregularity or provider/internal fraud has occurred or is occurring.

2.143 If you the Provider, your staff or sub-contractors commit fraud in relation to any contract with the Crown, DWP may:

• terminate the contract and recover from Providers the amount of any loss suffered by DWP resulting from the termination, including the cost reasonably incurred by the DWP of making other arrangements for the supply of the services and any additional expenditure incurred by the DWP throughout the remainder of the Contract Period, or

• recover in full, from the Provider any other loss sustained by the DWP.

2.144 You are required to report all incidents of allegations of provider/internal fraud to DWP.

2.145 You must co-ordinate fully with DWP and assist it in the identification of Participants who may be unlawfully claiming state benefits. DWP may from time to time brief the Contractor as to the co-operation and assistance it reasonably requires including the provision of information regarding fraud by Participants. On receipt of the information, further evidence may be collected by DWP or other department, office or agency of HM government with a view to prosecution.

Grievance and Complaints Procedure – Treating Participants Fairly

2.146 There may be occasions when a Participant wishes to complain or air grievances. You must have a complaints process which allows Participants to do this. Provider receives a request to erase Participant information

2.147 There may be occasions when you receive a request from a Participant to erase their personal information from your records.

2.148 Upon receipt of these requests, you should consult your own programme’s Provider Guidance for the actions that you should undertake.

Chapter 3: Management Information

Introduction

3.01 To effectively operate Contracted Employment Provision (CEP), Department for Work and Pensions (DWP) require the collation of performance Management Information (MI) for performance management, reporting and analysis.

3.02  MI is used to measure the performance and success of CEP – at local, regional, contract and national levels:

• to report progress to Ministers
• evaluate the effectiveness of the programme
• measure the uptake and delivery of provision
• measure performance in and across Contract Package Areas
• monitor and manage contracts (including financial monitoring and external quality inspection)
• produce Official Statistics
• to inform the allocation of market share

Collection of MI

3.03 DWP will collect MI electronically about Participants who have been referred to you by Jobcentre Plus. In exceptional cases we may request MI from you.

3.04 The Provider Referral and Payment (PRaP) System will be the main source of CEP MI collected by DWP to provide data on:

• referrals
• attachments
• Job Outcomes
• Sustained Outcomes

This list is not exhaustive.

3.05 Where DWP requires additional information, to support performance management for example, you will be expected to supply this within the agreed time limits.

Sharing of MI

3.06 There are rules around the sharing of MI. These are detailed in your contract and your terms and conditions.

3.07 You shall not (and shall ensure that any of your Sub-contractors shall not) at any time publish, disclose or divulge any of the MI to any third party until the date of publication of the official and/or national statistics, other than any exceptions stipulated by your contract and terms and conditions.

Chapter 4: Evidencing and Validating Payments

4.01 This chapter is an overview of the standard validation models that may be applied to Contracted Employment Provisions (CEPs) that are owned by Contract Management & Partner Division (CMPD) within the Department of Work and Pensions (DWP). The information provided in this chapter is intended as a high-level overview which should support the details of the processes which are included in each programme specific guidance.

High Level Provider Requirements

4.02 You are required to ensure yourselves that you only submit accurate claims for payments that you are entitled to. DWP will utilise its own systems to ensure itself that the claims are valid. This will include a series of checks to confirm that claims for payment meet the required definitions.

4.03 You are required to maintain a robust system of internal control that needs to be sufficient not only to support any claims but also allow you to undertake internal management checks and independent testing by DWP and HM Revenue & Customs (HMRC) systems. The records maintained should document how and when the appropriate supporting evidence was obtained.

Before submitting claims for payment

4.04 Before submitting any claim for payment you must ensure yourself that you are entitled to do so as stated in the outcome claim conditions within your programme-specific guidance and, by claiming a payment from DWP, you are declaring to this has been checked and verified.

4.05 DWP does not prescribe the way in which you should track your own Participants or how you capture and record information about their employment activity however your processes should ensure they align with any requirements outlined in Chapter 7 – Information Security. In addition, there is specific information that you are required to input to the Job Details Screen within the Provider Referral and Payment System (PRaP) when you submit claims for payment from DWP which should be done as per the instructions in each programme-specific guide.

4.06 Providers remain accountable for making sure that any outcome claims submitted manually to DWP (e.g. self-employment outcome claims) are checked prior to being claimed and you have confirmed they are valid at the point of submission for payment.

DWP  Validation Approaches

4.07 The information provided below outlines the various payment validation principles that can be applied to a programme and will be the best solution in relation to the funding model that is in place and protects the public purse. The high-level information below is intended as an overview only and the specifics of each programme will be covered in your contracts and programme specific guidance.

Pre-Payment Validation

4.08 Where pre-payment validation applies every claim submitted will be subject to pre-payment checks using DWP systems or directly with Participants using the claim dates submitted by providers and, if the conditions for payment have been met, will be released for payment. These checks are to determine on a case-by-case basis whether the required Outcome Definition has been met as outlined in your programme specific guidance.

Cost and Cost Plus Validation

4.09 The ‘Cost’ payment model is where DWP pays Providers based on the running costs of delivering a service e.g., running cost examples may cover building rent or leases, staff salaries, printing, advertising etc (this list is not exhaustive), and the Provider will submit their listed expenses to DWP in order to be paid. Cost Validation is therefore either a full census or a random sample of checks which looks to verify this outlay by the Provider is genuine. Cost validation can be applied as a pre- or post-payment approach. If the Cost model applies, this will be outlined in your programme specific guidance.

4.10 The ‘Cost Plus’ (or Cost+) payment model expands on the paragraph above and the ‘Plus’ element of this approach covers elements that are in addition to a Provider’s running costs. Examples of this can include payments for a fixed percentage of profit, anticipated job outcomes performance or various combined elements depending on the delivery needs of the provision. If the Cost+ model applies, this will be outlined in your programme specific guidance.

Validation Outcome

4.11 Once a claim for payment has been validated by DWP, there are several outcome scenarios which will vary by programme.

• Pass – DWP has confirmed the condition for payment, as set out in the relevant definition, has been met
• Unable to Validate – If DWP are inconclusive via either internal system checks or PPVT has either not been able to contact the Participant, or they are unable/unwilling to provide the information required to validate the claim, the outcome will be classed as Unable to Validate (UTV). Some programmes may pay a UTV outcomes e.g., if DWP are unable to pass or fail an outcome claim after a set number of days and this will be reviewed through the End of Cohort Reconciliation process
• Fail – DWP independent checks show the condition for payment, as set out in the relevant definition, has not been met. Providers should ensure they check programme specific guidance for Fail Rulings in case there are limitations on the number of submissions through PRaP

4.12 PPVT will keep management information about claims that have been submitted inaccurately and claims that they have been unable to validate. This will be used to inform other activities that may take place, for instance, consistently submitting poor quality claims could indicate a weakness in providers’ systems and feedback of this nature may therefore inform Provider Assurance Team activities (see Chapter 6 – Provider Assurance for more information).

End of Cohort Reconciliation (ECR) Process

4.13 To ensure CMPD can formally review then settle or recover any outstanding payments on a cohort-by-cohort basis, an End of Cohort Reconciliation (ECR) process may be applied which will be outlined in each programme-specific guidance.

4.14 ECR exercises are normally conducted in two parts, covering Employed/PAYE income and Self-Employed outcome claims separately.

4.15 Once a cohort, normally defined as all starts on a programme within a calendar month, is beyond the point where additional outcomes can be made or claimed, the ECR undertakes activities to ‘settle’ each cohort and enable the Department to formally close it. This activity is to ensure that all outcomes associated with the cohort of Participants have been paid, or will be paid, and any overpayments to be recovered from the Provider have been considered and concluded.

4.16 ECR exercises will commence after the first cohort after the contract has gone live has matured and ECR exercises (monthly/quarterly etc) will run throughout the life of the contract until all cohorts have been reconciled/closed. Invoicing Arrangements

4.17 If there is a need for DWP to raise an invoice requesting a payment, you are expected to pay this amount within 30 days of the receipt of the invoice. If this payment is as a result of an overpayment linked to job outcome performance, any adjustments will be attributed to the relevant contract and management information performance reports may be adjusted accordingly.

Irregularities/Potential Fraud

4.18 You have a responsibility to minimise the risk of fraud within the programmes delivered. Funding should be safeguarded against fraud and serious irregularity on the part of directors, employees, or subcontractors. Such abuse would include false or misleading claims for payments, whether designed to gain immediate financial advantage or overstate performance. 19. Deliberate and/or persistent non-compliance with prescribed standards of delivery would also be subject to investigation if a possible financial impact was identified.

4.19 In such instances DWP may contact you to pursue enquiries relating to potential abuses of funding. Their remit will be, primarily, to investigate fraud and financial irregularity but it can in certain circumstances extend to non-compliance with contract and guidance.

4.20 You should therefore ensure that all staff involved in the delivery and management of contracts are fully aware of the risks and consequences of any falsification, manipulation, deception, or misrepresentation. Occurrence of fraud within any Participant programme could lead to the termination of all contracts held as well as civil or criminal proceedings against those implicated.

Special Customer Records

4.21 If you are claiming a self-employed Job Outcome for a Participant who is granted Special Customer Record (SCR) status, there is no change to the claiming process and the outcome claim should be submitted as per your programme specific guidance.

Chapter 5: Using Provider Referral and Payment (PRaP) System

Introduction

5.01 This chapter gives information on the actions that are required on PRaP to record the Acknowledgement of a referral, record a start, claim a self-employed outcome, and exit a Participant from the Programme that you are delivering.

5.02 You must always use this Guidance in conjunction with your Programme specific Guidance and the PRaP User Productivity Kit (UPK).

5.03 You must not work with or see any Potential Participant without a PRaP referral unless Jobcentre Plus or DWP instruct you otherwise. This may be to accommodate an individual or multiple referrals in a contingency situation and, in these situations, a formal communication or a DWP representative will liaise with you prior to this happening.

5.04 Providers must ensure that all staff who have access to the Provider Referrals and Payments System (PRaP) have read, understood and are following the guidance on accessing and executing processes in the PRaP system.

5.05 The PRaP Operational Digital and Database Support team (PODDS) will carry out administration and approval functions to support supplier referrals and payments on PRaP. They are responsible for the live support for referrals and payments made to you by the PRaP. For more information on PRaP, please refer to the PRaP Operational Digital and Database Support team (PODDS) page for further information including, legal notices, contact information, questions and answers and PRaP terms and conditions.

5.06 Should there be any PRaP system issues you will be notified by PODDS team directly and given clear instructions on what actions to take on PRaP.

5.07 You must ensure that all information that is entered onto PRaP is 100% accurate, as in some instances, mistakes cannot be rectified by PODDS.

5.08 Providers access PRaP via DWP Authenticate. Providers can download information to manage on their individual systems and update information about Participants progress into PRaP. Payment claims, and calculations are generated automatically. Please see the PRaP terms and conditions.

Customer Service Standards (CSS) and Management Information (MI)

5.09 Providers are required to deliver Customer Service Standards, designed to ensure that all Participants receive a quality service. Some CSS are recorded and measured from the information that you record on PRaP, and when this activity is completed. It is essential that any information recorded is recorded accurately and on time. The Customer Service Standards for your programme will be covered, in your specific provider guidance.

5.10 PRaP will be the main source of CEP  MI collected by DWP to provide data on:

• Referrals
• Attachments
• Rejections
• Programme starts
• Job Outcomes
• Self Employed Job outcomes
• Early exits

This list is not exhaustive.

5.11 Where DWP requires additional information, to support performance management for example, you will be expected to supply this within the agreed time limits.

Receiving a PRaP Referral

5.12 Following your Programme specific referral arrangements, you will receive your PRaP referral from Jobcentre Plus or DWP.

5.13 If you have not received a PRaP referral you must contact your Jobcentre Plus Single Point of Contact (SPOC) or your DWP Performance Manager depending upon the arrangements that you have in place for your Programme. This will enable the Jobcentre Plus Work Coach or DWP Performance Manager to take corrective action and for the PRaP referral to be received before you see your Potential Participant.

Acknowledgment of the Referral

5.14 You must check the PRaP referral prior to acknowledging, ensuring that the data fields for the following are complete and correct;

a. Name, Address, Contact Telephone Number, Email Address.

b. Information relating to a need for additional support is recorded.

c. The Potential Participant lives in England or Wales.

d. The Potential Participant is not on another contracted provision, for example Restart, Work and Health Programme (WHP), Intensive Personalised Employment Support (IPES).

e. Any advanced support needs are recorded.

f. The potential Participant has not gained employment since the referral was made.

g. The potential Participant has not become gainfully self-employed since the referral was made.

This list is not exhaustive so please check your specific provider guidance eligibility details.

5.15 Once the initial system checks have been completed you can acknowledge the referral in PRaP.

5.16 You must allow one business day between the acknowledgment of a referral, recording a start or requesting a cancellation of a referral.

5.17 Should any information be missing from the referral please contact your SPOC to request the outstanding information.

Rejecting a Referral and Cancelling an Acknowledgment

5.18 You can reject the referral when applicable to your Programme specific provider guidance but please ensure that you use the appropriate rejection reasons stated.

Recording a Start

5.19 Following the initial meeting you must claim a start – this is line one on PRaP.

5.20 You must record the start date as instructed within your specific provider guidance.

5.21 You must ensure that the start date is recorded accurately as some Programmes may use the Real Time Earnings (RTE). Where this is applicable the interest marker is set based upon this date.

5.22 Once the start date has been recorded in PRaP, the Participant will be working with you for your Programme-defined period of participation. If applicable the RTE interest will look for earnings from this date forward.

Please note:

• It is advised to check your Advanced Shipment Notice (ASN) Report to ensure that the Start date has not been rejected by PRaP
• Should you fail to record a start in a Programme specific time, PRaP may automatically close the referral
• Mistakes may not always be rectified by PODDS should the date be recorded incorrectly on the PRaP system

Rejecting a Referral and Cancelling an Acknowledgment

5.23 You can reject or cancel the acknowledgement of the referral as stated within your specific provider guidance.

Please note:

A rejection or cancellation reason in PRaP cannot be rectified if mistakes are made. You must contact the Jobcentre Plus work coach and request a new referral.

Auto Closure of a PRaP Referral

5.24 On the PRaP system an auto closure can occur in the following circumstances

a. If after a specific number of working days has past and you have taken no action as described in your specific Provider Guidance, the PRaP referral will automatically close.

• Should you manage to engage with the Participant after the auto closure, you will need to request a new PRaP referral from Jobcentre Plus.
• Please ensure you do not conduct any further activity without an active PRaP referral.

b. Once the Participant has reached the maximum number of Participation days on your Programme.

c. If your Participant has become employed and has reached the earnings threshold and the outcome has been paid.

d. If your Participant has become self-employed and your outcome has been successfully validated and paid.

Please note:

Once a PRaP referral has automatically closed it cannot be reopened unless by exceptions noted in your specific Provider Guidance.

Early Completers and Change in Circumstances (UC78e or CEPD1 Form)

5.25 It is important that you only exit a Participant in line with your specific provider guidance.

5.26 You must ensure that you use the correct exit reason codes at all times as failing to do so could result in over and underpayments of employed/self-employed outcomes.

5.27 You must ensure that you retain a copy of the UC78e or CEPD1 form for audit purposes.

5.28 Once the end line and leaver reason have been entered, in some circumstances the RTE interest will end and the outcome lines will close. Where this is the case, no employed outcomes can be paid. Outcomes may be subsequently paid as part of End of Cohort Reconciliation (ECR).

Please note:

If you exit a Participant by mistake on PRaP it cannot be rectified by PODDS. You must contact your performance manager and explain how this has occurred. The performance manager will then consider the request in conjunction with the Live Running Policy team.

PRaP 14 Process

5.29 Please see your programme specific guidance for further details.

Non-Qualifying Earnings Identified

5.30 To protect public funds and DWP’s reputation, the Programmes funding model includes controls to ensure that the only income derived from employment or self-employment that commenced after the Participant started on your Programme will count towards achievement of an outcome.

5.31 You must email your live running policy team when you are aware of these payments or where you or the supply chain are employing a Participant so that an outcome payment is not made.

5.32 Once you inform PODDS, the PRaP payment line will be put on hold to avoid ineligible payments being made then this payment will be considered during the End of Cohort Reconciliation process.

5.33 If you are aware that your Participant has received any income from the list below, you must also follow your programme specific guidance to ensure that the outcome is not paid based upon:

a. Tax Refunds (Not Tax Credits).

b. Payments in lieu of notice from previous employment.

c. Holiday pay from previous employment.

d. Bonuses from previous employment.

e. Pension payments.

f. Reserve Armed Forces Payments.

g. Reserved Fire Fighter payments.

h. Earnings from Intermediate Labour Market (ILM’s).

i. The Provider or supply chain Employing a Participant.

5.34 Although the scenarios listed above have provided some preventative solutions which include you having prior knowledge that ineligible income may be incorrectly being counted as earnings from employment, it is important to note that if we later become aware that ineligible earnings have contributed towards the achievement of a paid outcome these outcome payments may be reviewed, could impact on your performance, or be included in any end of cohort reconciliation or extrapolation calculations.

Claiming the Self-employed Job Outcomes

5.35 Please see your programme specific guidance for further details

5.36 Should you identify that you have made a self-employment claim in error you may be able to have this backed out by following the PRaP 14 process. See Programme Specific guidance for further details.

Please note:

You only have three attempts to claim a self-employed job outcome. Should you exceed three attempts the outcome line will be closed to further self-employed job outcome claims. This includes any use of the PRaP 14 process.

Additionally, your Programme may have timebound claim rules where you must ensure that your self-employed outcome is entered onto PRaP with a prescribed number of days from the time it qualifies to be submitted to DWP for validation.

Claiming an Employed Job Outcome

5.37 Where applicable, DWP will use Real Time Earnings information data supplied by HMRC to identify achievement of employed job outcomes. Payment decisions will be based solely on the RTE data supplied, no additional evidence or requests to review will be accepted.

5.38 When Real Time Earnings information is used, an employed Job outcome payment will be automatically paid to you when the earnings threshold is met, within the Participation period, plus any additional consideration period of your Programme. Please see your specific Provider Guidance for more details on qualifying periods.

5.39 Any earnings from one or multiple employers reported via HMRC within the qualifying period will count towards meeting the earnings threshold.

5.40 During this time reports will be available on Provider Referral and Payments (PRaP) Supplier portal for you to view:

a. When a Participant’s earnings are first declared to HMRC, following a confirmed start on your Programme (multiple notifications are possible with two or more jobs).

b. When a Participant has achieved income milestones of £1,000, £2,000.

c. When DWP is notified that the Participant’s employment has ended (multiple end notifications possible with two or more jobs).

d. When an automatic outcome payment has been triggered once the earnings threshold is reached (final notification).

e. You must also check for end of employment notifications and ensure that you engage with Participants when this happens.

5.41 When an employed outcome has been achieved the tracking earnings via HMRC will stop and an end line will automatically be claimed.

Chapter 6: Provider Assurance

Introduction and background

6.01 The Provider Assurance Team (PAT) is part of Department for Work and Pensions (DWP) Finance Group in the Contracted Management and Partnership Directorate (CMPD) and has been in operation since October 2009.

6.02 The primary purpose of the PAT is to provide the DWP CMPD Director with an assurance that provider systems of internal control are such that payments made to CMPD providers are in accordance with DWP and Treasury requirements.

6.03 PAT reviews and tests providers’ systems of internal control to establish how effective they are at managing risk to DWP in relation to health and employment provision expenditure and service delivery, including the arrangements they have in place for their supply chain.

6.04 This work is carried out by the PAT by reviewing providers’ internal control systems to assess their ability to manage risk across 3 key areas:

• Governance Arrangements – covering the provider’s governance arrangements, systems for tracking and reporting performance and their anti-fraud measures
• Service Delivery – includes the provider’s systems for starting, ending, and moving Participants through provision and generally looks to ensure that DWP is getting the service it is paying for. This section also covers management of the supply chain
• Claim Procedures and Payments – looks to ensure that providers have in place effective systems to support their claims for payment, including appropriate segregation of duties

How the PAT operate

6.05 PAT operates at a national level enabling it to present CMPD provision providers operating across regions with a single view of the effectiveness of their systems. Each provider is allocated a nominated Senior Assurance Manager as a single point of contact within DWP for management of assurance related issues / concerns. Contact details for the team can be found at paragraph 37.

6.06 On completion of each review providers are awarded a PAT assurance rating in one of the following 4 categories:

(I) weak

(II) limited

(III) reasonable, or

(IV) strong

6.07 The provider is sent a formal report which details the review findings including key strengths and areas for improvement, and where weaknesses have been identified. Providers are required to complete an action plan setting out appropriate steps for improvement. Action plans are followed up until the PAT is satisfied that all required actions have been undertaken.

6.08 The description of the 4 assurance levels are as follows:

• Strong Assurance – governance, risk management and control arrangements operated provide strong assurance that material risks are identified and managed efficiently and effectively, although improvements may be recommended
• Reasonable Assurance – governance, risk management and control arrangements operated provide reasonable assurance that material risks are identified and managed efficiently and effectively. Remedial action is required to improve the control environment
• Limited Assurance – governance, risk management and control arrangements operated provide limited assurance that material risks are identified and managed efficiently and effectively. Corrective action is required to resolve control weaknesses
• Weak Assurance – governance, risk management and control arrangements operated provide weak assurance that material risks are identified and managed effectively. Urgent and significant corrective action is required to resolve significant control weaknesses

How the PAT plan

6.09 In order to manage review activity and direct our resources in the most effective way, the PAT operates a national plan covering all health and employment provision providers in scope for PAT reviews. Provider reviews are allocated in priority order according to risk. This is determined by a number of factors including the current assurance rating, length of time since the previous review, and DWP stakeholder intelligence.

The review process

6.10 The PAT look for evidence that systems are in place across provider organisations to manage key risks to DWP expenditure. To facilitate this process the key risks have been broken down across the 3 scope areas (see paragraph 4) and the PAT will examine the controls in place within the providers organisation to look at how effective they are in managing the risks identified.

6.11 There are 5 stages to the review process which can take up to 23 weeks to complete, depending on the complexity of the providers organisation and the extent of the health or employment provision contracts. The bulk of provider facing activity takes place within field testing which generally lasts no longer than 5 weeks.

Provider review process

6.12 A PAT Review covers the following stages:

• Planning and research
• Initial evaluation
• Field work
• Final evaluation
• Reporting
• Follow up of action plan

Planning research and initial evaluation

6.13 The purpose of this stage is to pull together all relevant information about the provider, form a paper-based opinion about the systems and develop the testing strategy.

6.14 During this period the provider will be sent 2 documents:

• a Provider Systems Questionnaire (PSQ) which asks a series of questions about the providers systems across each of the 3 scope areas

• a site information stencil to confirm information about the delivery sites for the programmes

6.15 The PAT also take account of feedback from other departmental colleagues who work closely with the provider. Intelligence is gathered from these sources during the planning process and used alongside the PSQ response from the provider when forming an initial view of the risk and development of the test strategy. See paragraph 32 for the stakeholders consulted during this period.

Field work at providers

6.16 Commencement of the field work is signalled by a formal start-up meeting between the provider and the PAT. The purpose of this meeting is to brief the provider on the forthcoming review and agree the terms of engagement throughout including timescales for final feedback and the timeframe for providing all evidence by.

6.17 Based on the planning, research and initial evaluation the PAT decide whether to carry out any testing deemed necessary to form a judgement as to the effectiveness of the systems under review.

6.18 Field Testing is arranged via MS Teams and at the providers premises or a combination of both. Where fieldwork is to be undertaken at a provider’s premises, it can be conducted at any of the sites across the country. Choosing which premises to visit will be determined by a number of factors, for example the provisions and activities delivered at individual sites, any intelligence gathered during the planning stage which may indicate weaknesses in certain areas, or the availability of PAT resource.

6.19 The tests will typically include reviewing key policy documents, examining Participant files, interviewing staff, and performing checks in sufficient quantities to allow the team to form an opinion across the providers systems as a whole. This may mean that testing has to be extended in some circumstances or that it may be cut short in others.

6.20 During the testing period the PAT provides a written summary of the key points. This allows the provider to understand and discuss the findings to date.

6.21 Throughout the testing period the provider will be given the opportunity to provide any supporting documentation and/or missing evidence that has been requested by the PAT. All evidence must be provided by the date agreed at the start up meeting.

Final evaluation

6.22 Evaluation of the providers systems is continuous throughout the end-to-end PAT process. Once testing is complete all the findings are considered, and an overall assurance level is awarded covering the 3 scope areas of Governance Arrangements, Service Delivery and Claims Procedures and Payments as described in paragraph 4.

6.23 The final evaluation and assurance level will be formally presented to the provider at a final feedback meeting at a time agreed in advance. At this meeting the PAT will discuss what actions will need to be taken to address any issues raised and timescales for satisfactory completion of those actions.

Review outputs

6.24 Following the final feedback, a report is produced by the PAT and sent to the provider. The report will contain details of our findings and opinion against all key risk areas across the 3 scope areas and an overall assurance level assessment.

6.25 There will be an action plan covering all the issues raised at the feedback meeting. The provider is expected to return the action plan within 10 working days of receipt. The response should contain any timescales for implementing any necessary improvements, which can be from one week to a maximum of 3 months.

6.26 Providers will work with EAD Performance Managers on behalf of the PAT to implement all the actions but it is PAT that make the final decision on and sign off of each action. This follow up will take place within the timescales agreed with the PAT.

6.27 Providers are also asked to complete and return a feedback stencil to the Senior Assurance Manager (SAM). DWP is committed to providing an effective Provider Assurance function and in order to meet this commitment the PAT need to constantly review the way in which they operate and their supporting policies and procedures. As a major stakeholder in this process, obtaining feedback from the provider is critical.

6.28 If there are any issues or causes for concern that cannot be addressed throughout the course of the review, then the provider should in the first instance put a complaint in writing to the Head of the Provider Assurance Team (contact details at paragraph 6.37).

6.29 There is no formal appeals process to allow the provider to challenge the level of assurance awarded. The PAT undertake a period of extensive evaluation to ensure there is a good understanding of the providers systems and processes and will gain sufficient evidence through testing to reach a sound conclusion regarding the adequacy and effectiveness of the controls within the providers organisation. If a provider is unhappy with the outcome there will be the opportunity to discuss concerns with the SAM and/or Head of the PAT.

6.30 The final feedback meeting allows the provider ample opportunity to discuss the findings and assurance level, before the final report is issued.

6.31 The main focus of any meeting or correspondence after an assurance rating has been given will concentrate on the implementation of the areas for improvement as detailed in the action plan to strengthen the providers controls/maintain a strong level of control in preparation for the providers’ next review.

6.32 The report is also sent to DWP stakeholders, these typically include (but not exclusively):

• CMPD Director
• Commercial Directorate
• Employment Accounts Division or Health Controls
• Counter Fraud and Investigation
• Performance Managers
• PRaP Operational Support Team (POST)

Other potential actions

6.33 Without prejudice to any other of DWPs rights under your Contracts, there may be other actions required depending on the findings of the review, including:

• Overpayment Recovery – if overpayments are identified and evidence could not be produced during the review, then DWP may seek to recover any overpayments

• If any overpayments, errors or discrepancies identified during the review indicate they are as a result of systemic weaknesses then you may be required to provide the applicable evidence over a specified period of time and in doing so identify any overpayments. The results will be verified before any subsequent action is taken

PAT reporting

6.34 DWP may periodically publish assurance levels by Provider (note - this will not include reports or supporting information).

6.35 All PAT provider assurance reports are shared with the CMPD Director and other senior managers within DWP.

6.36 DWP may take remedial actions in the following circumstances:

• if following a Weak or Limited Assurance level from the PAT the providers subsequent assurance level is the same or worse for the same reasons, or they are awarded a consecutive third weak or limited assurance, regardless of the reasons
• following a review, if the provider fails to submit and/or implement the Action Plan within agreed timescale
• where there are suspicions that a provider may be acting inappropriately the team will refer to Counter Fraud and Investigations as the experts trained in the legalities and techniques required to carry out formal investigations, or
• where there are serious concerns around data security these are reported through the respective channels to colleagues in the DWP Security Incident Response Team

Contact details

6.37 Send all enquiries to the PAT central inbox: provider.assuranceteam1@dwp.gov.uk

Chapter 7: Information Security

Introduction

7.01 This guidance should be read in conjunction with the relevant provision specific guidance and your contract. It is provided as generic guidance for all providers delivering national employment programmes on behalf of Department for Work and Pensions (DWP).

7.02 Your DWP contract will detail what security policies and standards you must be compliant with. The DWP Security Policies and Standards can be found on the GOV.UK website.

Right of Access Requests

7.03 Right of Access requests replaced what was previously known as Subject Access Requests following the introduction of General Data Protection Regulation 25 May 2018.

7.04 Where possible claimants should be directed to the Right of Access online form which is submitted directly to DWP.

7.05 If you receive a Right of Access request from a claimant or Participant solicitor or third party you must forward immediately to the Right of Access Gateway Team at rightofaccess.requests@dwp.gov.uk. The Gateway Team has 30 days in which to respond to the Right of Access request and communicate this to you. This only applies to data where DWP is the data controller, or a joint data controllership exists with DWP. Where you are the independent data controller you should follow your internal procedures.

Security Incident Reporting

7.06 You must comply with the DWP Security Standard SS-014 Security Incident Management.

Changes that Impact Compliance with DWP Security Standards and Policies

7.07 When requesting any change, modification or refinement to any aspect of your security plan or IT system that impacts on your compliance with DWP Security Standards and Policies you are required to submit a change request to DWP.

7.08 Completed change request documents should be sent to  ches.businessmanagementteam@dwp.gov.uk. You should supply as much information about the proposed change as possible such as what contracts are impacted, architecture diagrams, data in scope, access levels, storage, support arrangements, offshore elements, audit and testing etc and include the name and contact details of the individual within your organisation leading on the change.

7.09 You must state whether your change is compliant with the DWP Security Standards and Policies and provide detail where the change is not compliant including any mitigating security controls.

Sharing Information

7.10 You may only share information in line with your DWP contract, DWP Information Management Policy and DWP Information Security Policy.

7.11 You must follow processes and procedures that you have agreed with DWP when returning data to DWP (including Jobcentre Plus).

Email Security

7.12 When sending DWP data by email you must first ensure that the recipient is entitled to receive that data and has a legitimate business need.

7.13 The sender is responsible for ensuring the safe transmission of DWP data ensuring all relevant standards are adhered to at all times.

7.14 You should only send the minimum amount of data needed to make the communication effective.

7.15 Wherever possible, Providers must use a shared email address when contacting citizens as this helps protect employee identities and minimizes the risk of potential online abuse. Individual DWP email addresses should not be included in such communications, only authorised DWP shared addresses where relevant.

Claimant CV and Name Unencrypted Email Exemptions

7.16 The following claimant or Participant CV and claimant or Participant name unencrypted email standards apply to all provisions.

Claimant or Participant CV Exemption

7.17 The unencrypted emailing of a claimant or Participant’s CV to their email account. The following conditions must be adhered to:

• Only one CV to be sent per email
• The individual must have requested their CV to be emailed to them – CVs must not be emailed without the individual’s prior consent – i.e. they must not be sent unsolicited
• A confirmation will need to be kept that the individual is content for their CV to be sent by email to their stated email address
• The following must not be included: date of birth, NINO, bank details, medical information, ethnicity and criminal record information

Claimant or Participant Name Exemption

7.18 The unencrypted emailing of a full claimant or Participant name to an employer or within your supply chain or to DWP provided the following conditions are adhered to:

• Only one claimant or Participant name per email
• Claimant or Participant name only
• If any other identifiable claimant data is included within the email or subject line, then encryption must be applied unless you have specific written permission from DWP to the contrary
• Confirm who the email recipient will be and that the email is received

Supply Chain and Third Party Unencrypted Email Exemptions

7.19 Provider, subcontractor and service delivery partner staff are permitted to send an unencrypted e-mail within their supply chain or to a third party containing information about individual data subjects for the following situations:

• up to 10 CV’s (see paragraph 7.21)
• up to 10 application forms (see paragraph 7.22)
• up to 10 letters (see paragraph 7.25)
• lists of claimant or Participant names (up to 500) (see paragraph 7.29)

For emailing of DMA, Exit Reports, Change of Circumstances and Benefits Cap Notification please refer to provision specific guidance.

7.20 You must ensure you continue to adhere to the security requirements in your contract and associated guidance; if a Security Plan Change Request is required please follow the change process detailed in this chapter.

Emailing up to 10 CV’s

7.21 You may send up to a maximum of 10 CVs by unencrypted email. This may comprise of CVs and or information directly extracted from a CV (single data set) but must not exceed the 10 CV/data set limit in a single email.

Emailing up to 10 Application Forms

7.22 You may send up to 10 application forms in one unencrypted email; for example, to a prospective employer.

7.23 Application forms must contain the minimum information to make the communication effective. You must not include NINOs, bank details or date of birth however the age of the claimant or Participant may be included where appropriate.

7.24 Where application forms are for couples (each form includes data about two persons) then you must limit the number of forms to 5 applications per email to ensure each email contains information on no more than 10 claimants or Participants in total.

Emailing up to 10 of the following types of letters

7.25 This includes the following types of letters:

• Interview Letters
• Job Offer letters
• Appointment Letters

No other letters are permitted to be sent by unencrypted email and using unencrypted email to send letters containing significant sensitive personal data is not permitted (see paragraph 7.32 for examples of sensitive personal data).

7.26 Limited personal data can be included to make routine communications effective however information about substance addiction or mental health issues for example are not suitable for transmission by unencrypted email.

7.27 NINOs and bank details must not be communicated by unencrypted email by yourself or your supply chain to employers for claimants or Participants successful at interview.

7.28 Where there is a concern about the sensitivity of particular correspondence you should send it by more secure means such as encrypted email or by Royal Mail or a similar secure service.

Emailing Lists of Claimant or Participant Names (up to 500)

7.29 You may send a list of up to 500 claimant or Participant names in 1 unencrypted email however you must always follow DWP guidance; In the case of a list of information about more than one data subject, and these are claimants: surnames and initials, or forenames, NINOs and/or reference numbers (additional simple details such as date of interview/appointment may be included if necessary) may be sent.

7.30 There must be no reference to benefits payment amounts, child support payment amounts, or any additional personal details such as date of birth or home addresses, home or mobile telephone numbers or other contact details in these correspondences.

7.31 The maximum number of data subjects which may be included in a list in a single unencrypted e-mail is 500. Any emails containing only a list of NINOs and no other information about the data subjects are not subject to this limit.

Claimant or Participant Data Not Permitted via Unencrypted Email

7.32 The following DWP claimant or Participant data must not be included in unencrypted email when exchanging information with your supply chain or third parties unless you hold prior DWP approval to do so:

• Date of birth
• Bank account details
• Medical history/mental health issues
• Substance abuse
• Criminal records
• Benefit payment details
• Children’s names and dates of birth/age
• Ethnicity
• Sexual orientation

National Insurance Number

7.33 NINOs must not be communicated by unencrypted email unless otherwise specified in the above exemptions or you hold prior DWP approval to do so.

Unencrypted Emailing of Data to DWP

7.34 You are permitted to use unencrypted email when sharing the following data with DWP:

• Submission of UCNEA1s
• Submission of Good News Stories

7.35 When emailing any of the above you must only attach one UCNEA1 or Good News Story per email.

7.36 The Supply Chain and Third Party Unencrypted Email Exemption – Emailing Lists of Claimant or Participant Names (up to 500) paragraphs 7.29 to 7.31 of this guidance has been extended to permit you to use unencrypted email when sharing this data with DWP, Work and Health Programme (WHP), Intensive Personalised Employment Support (IPES). Please refer to provision specific guidance should a particular provision not be listed.

7.37 Please ensure you use clear and concise email header titles, so it is clear to the recipient your emails intent.

Sending Clerical Information

7.38 Official and Official Sensitive documents may be posted using Royal Mail standard services although a fully tracked delivery service providing a signature as proof of delivery must be used for secure claimant items and sensitive data, e.g. medical records, certificates, identification documents.

7.39 You must not include a protective marking on the envelope.

Chapter 8: Marketing and Communications

Introduction

8.01 The purpose of this section is to provide a general guide to marketing and communications for Participants. It also aims to help you understand the minimum expectations for communicating your service standards to Participants as part of the provision you have been contracted to deliver.

8.02 There are references and links to other sites containing more detailed information about marketing for government funded services. This guidance sits alongside that information, highlighting the main issues to be considered in any draft marketing products or media activity.

Planning your marketing, communications and public relations (PR) activity

8.03 As a contracted supplier of Department for Work and Pensions (DWP) we would encourage you to share your own marketing and PR activity with Jobcentre Plus. This is to achieve:

• complementary timing of activities
• consistency of message
• an understanding with all audiences how the activity you are delivering for DWP fits into our wider picture

8.04 This will ensure that both DWP and providers are able to maximise the value of their communications.

8.05 You may be required to share and agree your communication/marketing and publicity plans with the relevant Jobcentre Plus or DWP contact.

8.06 As you are best placed to know the demographics of your local area, it is up to you to decide the best way to promote and describe your services in relation to the relevant DWP Programme.

8.07 It is up to you to decide what types of products, activities and channels you want to use to market or communicate your services to prospective Participants. However, you must, as a minimum, provide your organisation name, address, contact details, relevant DWP or government logo and appropriate relationship endorsement wording. Information on how to correctly apply the logo will be provided by your DWP contact.

8.08 All the marketing products you produce must adhere to the standards, as written in your contract, and within this guidance. These standards are in place in order to protect the integrity of DWP programmes and the reputation of DWP and Jobcentre Plus.

8.09 These standards apply to all information sharing, press activity and marketing products or activities that you undertake.

8.10 There may be times when you will need to change aspects of your marketing plans. For example, you would need to be flexible on timing, if there is a clash which could lead to confusion for the target audience. Or you might need to incorporate ministerial involvement in PR activity. However, establishing close working relationships with your Jobcentre Plus or DWP contact should minimise any negative impacts.

Content

8.11 Any material you produce specifically for marketing DWP programmes must make reference to the specific DWP programme you are delivering and clearly show that it is a government programme.

8.12 You should introduce what Participants on the programme may receive and include wording to describe what the programme will deliver.

Key Issues

8.13 Some key issues you must consider for the content of your marketing, communications and press activity are:

• reputational risk – materials you produce must not adversely affect the reputation of the service being provided by the government, DWP or Jobcentre Plus, for example risks that could lead to adverse media attention, or messages that could be misunderstood or misinterpreted

• Disability Equality Duty/Equality Act 2010 – you must ensure that all our Participants can access our information by:

  • providing a variety of alternative formats (for example, large print, audio format, Braille) on request

  • ensuring that people can still access our information when their chosen alternative format is not available

8.14 More information about delivering inclusive communications is available from the Disability Unit (part of the Cabinet Office).

Communication standards

8.15 Please request a copy of the “DWP Communication standards for providers” from your DWP contact.

Basic conventions

8.16 In producing your marketing material, you must be aware that there are propriety conventions that you will have to follow. Adhering to these conventions ensures that the government Department, Ministers, Civil Servants and those delivering on their behalf act properly and are seen to be acting properly.

8.17 These basic conventions require that communications activities:

• should be relevant to the service you are providing
• should be factual, clear, objective and explanatory
• should not be, or be liable to misrepresentation as being, party political
• should be conducted in an economic and appropriate way, having regard to the need to be able to justify the costs as expenditure of public funds

8.18 Your Jobcentre Plus or DWP contact can provide you with help and guidance around content.

DWP information products and leaflets

8.19 If you would like to order any DWP leaflets, a full list can be found in DWP leaflets and how to order them.

8.20 DWP leaflets and how to order them provides guidance on how to order them.

National media handling

8.21 DWP has a national press office that is responsible for dealing with the national media (newspapers, news agencies, internet news, television, radio and specialist publications and magazines), providing media advice to Ministers and co-ordinating all visits with media involvement across the department.

8.22 You may be required to liaise with national press office on major announcements. However, you will have most day-to-day PR contact with the Jobcentre Plus or DWP contact.

8.23 You are expected to:

• alert your Jobcentre Plus or DWP contact to all negative stories and provide sufficient information for DWP to prepare and provide a statement to be used in response to media enquiries
• inform your Jobcentre Plus or DWP contact of media activity being planned around DWP provision

8.24 Ministers may want to be involved in publicity from time to time. You should in particular share plans around significant milestones (for example 100th person helped into work) and Participant case studies and liaise with DWP national press office.

Chapter 9: Sustainable Development

Introduction

9.01 Sustainable procurement is a process whereby organisations meet their needs for goods, services, works and utilities in a way that achieves value for money and generates benefits not only to DWP, but also to society and the economy too, while minimising damage to the environment.

9.02 DWP is committed to supporting sustainable procurement.

9.03 For further information on sustainable procurement please visit Procurement at DWP.

Chapter 10: Tax and NI

Introduction

10.01 This chapter has been produced by HM Revenue & Customs (HMRC) and is intended as a general guide. If you have a query in relation to your own tax affairs you can get in touch with HMRC by phone on 0300 200 3300 (the Income Tax helpline) or visit the HMRC Website for further guidance and support.

High-level ‘must dos’

• Participant leaves the Contracted Provision to start employment
• Provider to give the guidance at Annex 2 to the former Participant
• if necessary, both provider and/or employee should contact HMRC for further guidance

Please be aware

10.02 If you make payments or provide benefits to your Participant after they have started work you should inform them that tax and National Insurance contributions (NICs) are payable and how this will be done.

10.03 You can use the guidance in Annex 2 to give to the Participant – this will ensure that they have the correct information and know how to contact HMRC if necessary.

10.04 Failure to account for tax and NICs that are due on payments made to individuals in employment may be subject to penalties in accordance with HMRC regulations. Tax payment information for provider

10.05 Providers who make support payments or provide benefits to individuals once in employment should be aware of potential tax and NICs implications for these payments.

10.06 Payments made by providers to individuals who have found employment are likely to be treated as employment income for income tax and NICs purposes. This means that tax and NICs will need to be accounted for on these payments. The same also applies to non-cash payments such as the provision of travel cards or help towards other work related expenses – these are taxable benefits.

10.07 This guidance tells you when tax and NICs are payable, what information you need to give to the Participant, where you can find further information about your responsibilities and how to account for any tax that is due.

Tax payment information for Participant/employee

10.08 When the Participant has secured employment, you can use the guidance in Annex 2 to tell your Participant about any payments you have made or benefits that you have given and how you have accounted for (or will account for) any tax or National Insurance contributions (NICs) that are due.

10.09 Further help and information for individuals and employees is available on the personal tax area on the GOV.UK website.

Tax payment information for employer

10.10 Providers will need to be fully aware of what they are required to report to HMRC and, in some circumstances, to the employer. Links to further guidance on this are provided in the information below.

Annex 1: Guidance for providers making payments or providing benefits to Participants

General information for Third Parties

a1.01 When an individual finds work there are a number of ways they can be supported; individuals, providers and employers should all understand that both payments of cash or the receiving of benefits can have tax, NICs and tax credit implications.

a1.02 Because of the flexibility given to providers it is not possible to give specific advice which will cover all eventualities. This guidance is intended to help you use our existing guidance and highlight the issues and common areas you should consider. Practical considerations

a1.03 Once an individual enters employment, it’s not only their wages or salary that is subject to tax and NICs. Other items received because of their job, such as expenses payments or benefits-in-kind are generally taxable as income from their employment and are considered as earnings for the purposes of NICs.

a1.04 This also applies when expenses or benefits are provided by someone other than the employer – these are known as “third party benefits”. The rules for tax and NICs are similar to those which the employer must follow. The third party will also have payment and reporting responsibilities.

a1.05 For example, if a third party provides cash payments, they are taxable in the same way as the normal salary received by the individual. The third-party provider is responsible for deduction of tax under the Pay As You Earn (PAYE) system and must notify the employer of the payments so that the employer can correctly account for any NICs that are due. Further examples are given below.

a1.06 Additionally, there are situations where payments or benefits are not employment income or earnings. In those cases, it is the individual that is required to report details to HMRC and pay the tax that is due.

a1.07 This guidance sets out what happens where a third party is providing payments and benefits to an individual.

Your responsibilities as a “Third Party” provider of payments and/or benefits

a1.08 Direct payments of cash can be taxable as earnings in the same way as salary received. How this applies in practice depends on the exact circumstances. Some examples have been provided below. If you provide something other than cash, such as a non-cash voucher or something where you directly meet the cost for an individual and the main reason for doing this is the employment, it could be a taxable benefit in kind. If the employer has no involvement in providing the benefit it will normally be the individual’s responsibility to declare the benefits to HMRC for tax purposes, however you will have a liability to pay any Class 1A NICs on them.

Common situations for making payments or providing benefits

a1.09 Cash payments to support an employee when they have started employment. If you make cash payments to an individual employed by someone else, where the payments are made because he or she is an employee, and for no other reason, they will usually be taxable under the normal PAYE rules. To determine whether this is the case it is important to think about why the payment is being made.

a1.10 Examples of this include payments made solely for the purpose of encouraging a prospective employee to enter into a contract of employment or supporting them to remain there. This can apply to you as a third party even where the individual is not your employee.

a1.11 For Class 1 NICs, their employer remains responsible and so any cash payments you make must be reported to their employer at the time the payment is made (Note: there is no set format for doing so) to enable their employer to account for any Class 1 NICs that are due.

a1.12 Employer Further Guide to PAYE and NICs – CWG2.

Other benefits

a1.13 In other circumstances it may be appropriate for you to arrange and pay directly for something to support an employee. In these circumstances, although it is not possible to operate PAYE because something other than cash is being provided, you may still need to apply the tax and NICs rules on the benefit. Some common examples are provided below.

Clothing and personal costs

a1.14 If you provide an individual with cash to purchase everyday clothing or shoes so that he or she is prepared for work you must operate PAYE and deduct tax from the payment as you would with any other cash sum. You also need to report details to the employer so that they can account for the Class 1 NICs.

a1.15 If the clothing or personal costs are provided through vouchers which cannot be exchanged for cash, you should provide the employee with details of the value, or the cost to you, of the voucher so that they can declare this to HMRC. If you want to pay the tax on behalf of the recipient, you may be able to do this by including it in a PAYE Settlement Agreement (PSA) or by entering into a Taxed Award Scheme.

a1.16 If Class 1 NICs are due these must be paid by their employer, but if Class 1A NICs are due you will need to account for them.

a1.17 Full details of the above, including the schemes referred to, are available in HMRC guidance CWG5.

Travel cards

a1.18 If you provide an individual in employment with a weekly or other travel card to cover cost of their ordinary daily commuting from home to their normal place of work, this represents a chargeable benefit to the employee.

a1.19 You will be liable to pay Class 1A NICs on that benefit. The employee will need to report the value of the benefit to HMRC to account for the tax. Sometimes where the employer is involved in arranging the provision of the travel card, they will need to account for the Class 1A NICs.

a1.20 Existing HMRC guidance can be found at Employee Income Manual .

Welfare counselling

a1.21 Where an employee is provided with counselling facilities this can represent a chargeable benefit, but in certain circumstances welfare counselling provided by the employer for its employees is exempt from tax and NICs. This counselling can cover areas such as alcohol and other drug dependency and particular career issues.

a1.22 Welfare counselling – Legal Advice.

Paying a personal bill for someone

a1.23 If an employee has, for example, a domestic utility bill paid for them by you, the same rules apply to this as they do for cash payments – i.e. is the payment made to the employee because they are an employee and for no other reason?

a1.24 Neither you nor the employer can operate PAYE when making a payment directly to the individual’s gas, telephone or other provider. The individual should be notified to inform HMRC of the amount you have paid on their behalf.

a1.25 The amount of the bill should be reported to the employer to account for Class 1 NICs.

a1.26 If you pay an employee’s bill indirectly by giving the employee the cash to pay the bill, you should deduct tax and account for this through PAYE on the amount of the bill.

a1.27 HMRC guidance – Personal bills.

a1.28 If you choose to pay all or part of an employee’s tax due on that payment or benefit, then the tax you have paid must also be reported to the employer for the purposes of calculating Class 1 NICs. This is regardless of whether the tax is accounted for through a Taxed Award Scheme.

Annex 2: Tax and National Insurance information for employees

Making the move back into employment – what you need to know

a2.01 As an employee you will start to pay tax and National Insurance contributions (NICs) on your earnings. Your employer will take care of this for you under a scheme called Pay As You Earn (PAYE).

Financial support from your provider

a2.02 If you have received financial support from your provider to help you get back into work you will normally have to pay tax on these payments.

a2.03 Examples of financial support where tax is payable:

• Help towards the cost of a travel card or fares to work
• Help towards the cost of new clothing needed for your job
• Cash payments or paying a bill for you

a2.04 If you have received payments like these your provider should calculate the tax and NICs due and pay this to HMRC so that you don’t have an unexpected tax bill for these payments. You can ask your provider to give you a statement showing what payments you have received and what has been deducted.

Further help and advice

a2.05 If you are unsure about any payments, you have received and how these might affect your tax and NICs you can speak to your provider or your employer about it.

a2.06 You can also get in touch with HMRC by phone, free of charge, on 0300 200 3300 (the Income Tax helpline) or visit the HMRC website.

a2.07 HMRC Advice for Individuals and Employees.

Annex 3: Validation Report/Decision Log

a3.01 Decision Log.