Guidance

COVID-19 Chapter 16: Performance management, assurance and compliance monitoring

Updated 15 December 2021

This guidance was withdrawn on 14 April 2022

This guidance is no longer current and is not being updated. Find the latest Work and Health Programme (including JETS) provider guidance’

Applies to England and Wales

This is Work and Health Programme Coronavirus (COVID-19) specific guidance, including Job Entry Targeted Support (JETS).

Due to measures and restrictions imposed during the Coronavirus (COVID-19) period, some elements of the Work and Health Programme have been varied. These variations also reflect the contract variations CV01, CV04 and CV05 and CV06.

The following temporary guidance is for use only during this COVID-19 period, as defined by the period contract variations are in place. Procedures and guidance will revert to pre-COVID-19 versions as these variations are revised or revoked. A full version of the original Work and Health Programme guidance remains in publication for reference.

Performance management and intervention regime (PMIR)

1. DWP operates a robust performance management regime to hold providers to account for performance offers within their contract. This Performance Management and Intervention Regime (PMIR) has been developed to support the delivery of Provision, and underpin your contract.

2. The aim is to support you and ensure you meet the performance levels and customer service standards (CSSs) stipulated in your contract.

3. DWP will manage your performance at the headline Contract Package Area (CPA) level, and, for WHP Core only the headline Devolution Deal Area (DDA) level, at individual customer group level (disability, long term unemployed (LTU) and early access (EA) in the CPA. For WHP Core only we will also monitor the performance of the individual WHP Core Participant groups within the DDA in order to inform progress towards an outcome. These will be included in the regime as Performance Indicators (PIs).

4. There are four levels of this regime:

• Level 1: Standard Action – PM Led
• Level 2: Enhanced Action – PM/SPM Led
• Level 3: Informal action – Led by Provision Lead
• Level 4: Formal action – Led by Provision Lead

5. All levels of the PMIR can run independently or concurrently. DWP will with reasonable discretion be able to take action at any level at any time.

6. Generally, all contracts must have a Provider Action Plan in place submitted by the Contract Operational Lead to the PM. Subject to the agreement of DWP Provision Lead, Providers with a Contract at Level 1 will be advised if a Provider Action Plan is not required. Unless advised otherwise, the Provider Action Plan is required to be in place immediately following the contract implementation period and reviewed at each Contract Performance Review (CPR) meeting.

7. An example of the Provider Action Plan to be used is included at Annex A. You may use your own version if preferred, as long as it includes all areas covered in the example Provider Action Plan at Annex A.

8. The Provider Action Plan should include any improvement activity, how and over what timescale you expect to achieve/exceed minimum performance levels. All actions in the plan should be Specific, Measurable, Achievable, Realistic and Timebound (SMART) and longer-term actions should incorporate SMART milestone targets.

9. If a Flightpath is required, this should be included as an annex to the Plan. You should also supply a summary breakdown of current performance for all direct delivery sites and Supply Chain partners in a format to be agreed with your DWP Performance Manager. This should be included as annex to the plan and updated each month.

10. PMIR intervention levels will not necessarily be applied sequentially, e.g., if appropriate, DWP may move from PMIR Intervention Level 1 directly to PMIR Intervention Level 3, without applying Level 2.

Level 1: Standard Action – PM led

11. May include actions such as:

• DWP holding regular Contract Performance Review (CPR) meetings with you which will focus on achieving contractual performance levels and (CSSs) including but not limited to, on an in-month, rolling three month, rolling 12 month, cumulative and relative performance basis, in line with the Contract from Day One, CV04 and CV06. Your Provider Action Plan will be reviewed as part of the CPR. These meetings may be virtual, delivered through compatible on-line meeting platforms or via telephone conference facilities. Your PM will discuss and confirm arrangements with you.
• Performance Management on both the quantitative and qualitative aspects of your contract. Other staff, including those representing Jobcentre Plus, may also attend these meetings. You will be required to provide monthly Management Information five working days prior to the CPR.

Level 2: Enhanced Action – PM/SPM led

12. Whilst at Level 1, if it is determined that you may not achieve the performance levels or CSSs, your PM may undertake informal action to escalate you to Level 2, you will be notified of this in writing. You will be required to enhance your Provider Action Plan, to capture all agreed actions for performance improvement. You will also be required to provide a flightpath including incremental performance and pipeline data that may lead to outcomes to improve the achievement of the performance levels and CSSs in line with the Contract. Formats to be agreed with your PM.

Level 3: Informal Action – led by provision lead

13. If the remedial actions at Level 1 or 2 were unable to lift your performance in order to meet the performance levels and CSSs in the Contract, the DWP Senior Performance Manager (SPM) can propose escalation to Level 3.

14. You will be invited to a meeting to discuss your performance with Senior Managers and receive a Management letter to request that your performance improves. At this stage you will be informed that formal action could be taken in the event that performance doesn’t improve.

Level 4: Formal Action – led by provision lead

15. If you fail to meet the required standards at Level 1, 2 or 3, DWP Employment Account Division (EAD) and Commercial Directorate will take formal action to address the performance issues, considering and applying, where applicable, all the remedies available to DWP under the contract.

Performance indicators

16. DWP will manage your performance against Performance Indicators (PI). These will include the individual Participant groups within the DDA (for WHP Core only), and progress towards an outcome as informed by Real Time Earnings (RTE) commencement, and the £1,000 and, for WHP Core only, £2,000 milestones. Where a PI potentially indicates a future failure of a tender Minimum Performance Level (tMPL), DWP may require you to develop an improvement plan to remedy this by issuing a Performance Indicator Course of Action Notice.

17. Subsequent failure of the improvements stated within your Provider Action Plan and/or tMPL does not remove or impact the rights and remedies available to the authority.

Relative performance

18. Ranking tables will be used to monitor performance against other providers and provision based bench marks.

Cohort profiles and management information

19. DWP will measure your performance using cohort measures based on the information you provided as part of your tender (WHP Core) or Service Delivery Assessment (WHP JETS) and which has been incorporated in to your Contract.

20. The outcome definition for both employed and self-employed must have been met at or before 639 days (for WHP Core) or 238 days (for WHP JETS) from the Start Date. For self-employed outcomes, DWP will allow you until 700 days (WHP Core) or 299 days (WHP JETS) from the Start Date to submit a claim.

21. Performance data against these profiles will be taken from HMRC data, the Provider Referral and Payment system (PRaP) and, in the case of self-employed Participants, from outcome claims submitted by you. DWP produces MI Packs on a monthly basis. The MI packs will contain the data input to PRaP regarding your customers, cohort profiles performance against the performance levels and in the Contract. This will allow the Department to monitor your performance across various time periods including cohort, rolling three months, rolling 12 months and cumulative from day one of the contract.

22. You will be required to provide a performance return containing key data that drives the performance of the Contract including schedule 20 and CSSs return by 15th working day of the month.

Local engagement meeting (LEM) – applicable to WHP Core only

23. LEMS will be made up of DWP representatives from current and/or future DDAs as they are created within the CPA, representatives from the DDA authority and local area stakeholders, including Jobentre Plus. This will provide a forum in which we can discuss and support performance improvement, service delivery and service integration across the CPA and the DDA. At the sole discretion of DWP you may be invited to discuss performance at these meetings.

24. The agenda will include a discussion of your performance in the DDA, particularly relating to your integration with local services. The LEM is also an opportunity to discuss future direction and impact any changes affecting delivery of the provision.

25. The LEM will provide an opportunity to ensure that the Programme is helping the appropriate claimants into work, and to address areas of concern. This may include discussion on referrals to you from Jobcentre Plus as well as the Participants being signposted to Jobcentre Plus from external organisations. It will enable a collaborative approach to be taken between all stakeholders to contribute to the successful delivery of the programme.

26. Integration will remain a Critical Success Factor of WHP Core throughout the COVID-19 relief period. The frequency and format of LEMs may be subject to change about which your Performance Manager will keep you informed.

Contract performance review (CPR)

27.The purpose of the Contract Performance Review (CPR) is to formally examine your contract performance including your Supply Chain’s performance for individual contract(s). All relevant aspects of performance will be assessed against contractual requirements and outcomes.

28. The usual frequency of CPRs is monthly, however, this can be reviewed as advised by DWP at its absolute discretion.

Content of the CPR meeting

29. The CPR will focus on the ongoing achievement of performance levels and CSSs. Depending on priority issues for each meeting, the CPR is likely to cover some/all of the following areas:

• Performance including relative performance
• Expected future performance based on information available (e.g. earning commencements and current performance levels)
• Review of Provider Action Plan – including improvement expectations agreed at the last meeting
• Sub-contractor (end to end performance) and Supply Chain performance
• Employer engagement
• Collaborative working (including Operational Process Updates)
• Decision Making and Appeals (DMA), where appropriate
• Participant experience/Customer Insight
• Assurance and Compliance Monitoring
• Performance Manager checks
• Exit feedback/CV/references
• DWP policy changes – latest DWP memos

This list is not exhaustive.

Performance requirements – WHP Core

30. The Performance levels you are required to deliver for WHP Core are set out in schedule 2 of your contract and the CSSs are detailed in schedule 6 of your CV04 variation.

31. DWP will actively monitor the service you deliver against these performance levels and CSSs. This will be done using a combination of IT based management information, provider MI submission, Assurance and Compliance checks conducted via a range of mediums. The following tables and paragraphs show the categories under which performance will be measured and managed and the standards which relate to the delivery of customer service.

32. The tender Minimum Performance Levels (tMPLs) for WHP Core are:

1	CPA level tMPL. This is the headline performance target; a CPA-level % conversion rate taken from your tender offers for each of the separate customer groups. Performance will be measured and managed on a cohort profile basis.
2	CPA level Disability Customer Group tMPL.This is the performance target for persons who have a disability attending WHP on a voluntary basis, taken from your tender offer. Performance will be measured and managed on a cohort profile basis.
3	CPA level Early Entry Customer Group tMPL. CPA level Early Entry Customer Group tMPL. This is the performance target for the Early Entry disadvantaged groups attending WHP on a voluntary basis, taken from your tender offer. Performance will be measured and managed on a cohort profile basis.
4	CPA level LTU Customer Group tMPL. This is the performance target for the LTU group attending WHP on a mandatory basis, taken from your tender offer. Performance will be measured and managed on a cohort profile basis.
5	DDA level tMPL. The tMPL for the DDA will be measured both distinctly from and as part of the tMPL for the CPA (tMPL1). Performance will be measured and managed on a cohort profile basis. This is an aggregate of the performance against performance targets for each of the separate customer groups at DDA level; a DDA-level % conversion rate.

33. Please see the table at Annex B for more detail (WHP Core).

Performance requirements – WHP JETS

34. The Performance levels you are required to deliver for WHP JETS are set out in variation CV06.

35. DWP will actively monitor the service you deliver against these performance levels and CSSs. This will be done using a combination of IT based management information, provider MI submission, Assurance and Compliance checks conducted via a range of mediums. The following tables and paragraphs show the categories under which performance will be measured and managed and the standards which relate to the delivery of customer service.

36. WHP JETS does not have separate Customer Groups, therefore there is only one tMPL: a 22% conversion rate of starts to achievement of £1,000 earnings. Performance will be measured and monitored on a cohort basis.

Customer Service Standards – WHP Core

37. The Customer Service Standards and tendered Customer Service Standards as detailed in Schedule 2, paragraph 2 of the WHP Core contract are not applicable and are replaced with the Customer Service Standards as set out below and may be further clarified/amended from time to time as required.

1	The Contractor must acknowledge 99.5% of referrals on the Provider Referral and Payment (PRaP) system within 2 (two) working days of receipt of the referral. This will be monitored through PRaP system.
2	The Contractor will attempt to contact a potential Participant within 2 (two) Working Days of receiving a Referral. This will be done with a view to setting up an initial appointment between the Contractor and the potential Participant.
3	The Contractor and the potential Participant will undertake the initial appointment within 15 (fifteen) Working Days of the Contractor receiving the Referral. The Contractor must also update PRaP with a start, did not attend or did not start by the 15th (fifteen) working day for 99% of referrals. This will be monitored through PRaP.
4	No more than 4% of referrals will be in backlog. Backlog means an accumulation of uncompleted work or matters needing to be dealt with in relation to CSS1 or 3 above. This will be monitored through PRaP.
5	No single referral will be in backlog for more than 25 working days of receiving the referral. This will be monitored through PRaP.
6	The Contractor will provide the Participant with a copy of the Customer Service Standards within 1 (one) Working Day of becoming a Participant. The Customer Service Standards referred to here are details on the support that the Contractor can provide to the Participant.
7	The Contractor will work with the Participant to explore the Participant’s ambitions, goals, priorities and personal needs. This will help formulate an Action Plan. This Action Plan must be finalised within 20 (twenty) Working Days of receipt of the Referral.
8	The Contractor will contact the Participant (by telephone/video conference or any other method permitted by the Contract) every 10 (ten) Working Days as a minimum, to discuss the Participant’s wellbeing, Action Plan and job goals (“Booked Meeting”). The frequency of the Booked Meetings can be amended if the Participant prefers a different arrangement.
9	If the Participant misses a Booked Meeting and the Contractor is not contacted by the Participant with an explanation as to why, the Contractor will attempt to contact the Participant within 2 (two) Working Days with a view to resolving any issues.
10	Ahead of the Participant commencing employment or self-employment, the Contractor will attempt to discuss with the Participant the initial in-work support needs that exist.
11	Whilst the Participant is in employment or self-employment, the Contractor will attempt to contact (via telephone/video conference or any other manner permitted by the Contract) the Participant every 10 (ten) Working Days to offer any necessary support that the Participant may require in employment or self-employment. The frequency of the contact can be amended if the Participant prefers a different arrangement.
12	If the Participant is not in employment or self-employment at the point they cease to be a Participant, the Contractor will produce an exit report pack. This will include a summary of the Participant’s time on WHP, along with details of additional support that can be accessed to support them going forward (“Exit Report Pack”). The Exit Report Pack will be provided to Participants within the last 10 (ten) Working Days of the Participant being a Participant. When a Participant’s employment ends during the in work support period and they return to Jobcentre Plus for support, an exit report pack must be provided to the Participant within 10 (ten) working days of the date the Contractor establishes that the Participant is no longer in employment. The Contractor will also maintain a copy of the Exit Report Pack securely, which must be sent to the Contracting Body upon request from the Contracting Body.
13	Contractors must send a copy of the fully completed ESF1420 Initial form for WHP provision to the DWP ESF Admin Team within five (5) Working Days of the start date; this should be annotated COVID-19 where a Participant signature is unobtainable. For ESF provision a copy of fully completed ESF 1420 start form needs to be sent five (5) Working Days from the eligibility and referral meeting.
14	Contractors must securely send a copy of the fully completed ESF1420 end form to the ESF 14-20 Admin Team within eight (8) weeks of the completion date.
15	Every month, the Contractor will be required to obtain information from Participants on the usefulness of the programme. This will be done by the Contractor asking the specific question(s) and follow up (by email, link to a provider portal, website or on-line survey and where no other option available, by telephone) detailed below. Participants will be required to record their response to the question(s) (“Participant Response”). Where Participants provide responses by telephone, the Contractor will create and maintain a detailed written record of the response - this also falls within the definition of “Participant Response”). Contractors are then required to collate Participant Responses split by customer groups. The Contractor will collate Participant Responses in the template as provided in Annex A to Schedule 6 of CV04. The Contractor will send the completed template to the Contracting Body by the 15th day of the following calendar month. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day. The Contractor will maintain each Participant Response, which the Contracting Body may request to review in the future. Further information on the manner of differentiating different customer groups will be provided in due course. The Contracting Body reserves the right to publish Participant Responses or a summary of Participant Responses (either in the form provided for in Annex A to Schedule 6 of CV04 or in any other form it sees fit). The Contracting Body reserves the right to amend the specific questions or add additional questions that Contractors ask Participants on a monthly basis. Additionally, the Contracting Body reserves the right to require Contractors to ask the Participants the question(s) on a more/less regular basis. The frequency of collating Participant Responses and the deadline for providing the Contracting Body with the completed template from Annex A to Schedule 6 of CV04 can also be varied by the Contracting Body. The Contracting Body also reserves the right to amend the template as provided in Annex A to Schedule 6 of CV04. Question: “Thinking about your overall experience of the services provided, how satisfied are you with the WHP programme? - Very satisfied - Fairly satisfied - Fairly dissatisfied - Very dissatisfied. Please can you tell us more about why you chose your response? Please be as detailed and specific as possible.
16	At the end of each calendar month, the Contractor will complete the template as provided in Annex B to Schedule 6 of CV04. This template will be provided to the Contracting Body on the 15th day of the following calendar month. If the 15th day happens to be a non-Working Day, then the deadline will move to the next Working Day.

Customer service standards – WHP JETS

38. The success of the WHP JETS provision will be measured against a series of Customer Service Standards (CSSs),

1	The Contractor must acknowledge 99.5% of referrals on the Provider Referral and Payment (PRaP) system within 2 (two) working days of receipt of the referral. This will be monitored through the PRaP system.
2	No more than 4% of referrals will be in backlog. Backlog means an accumulation of uncompleted work or matters needing to be dealt with in relation to CSS1 or 3 above. This will be monitored through PRaP.
3	No single referral will be in backlog for more than 25 working days of receiving the referral. This will be monitored through PRaP.
4	The Provider will contact a potential Participant within 2 (two) Working Days of receiving a Referral, to set up an initial appointment between the Provider and the potential Participant.
5	The initial appointment will take place within 15 (fifteen) Working Days of the Provider receiving the Referral. The Contractor must also update PRaP with a start, did not attend or did not start by the 15th (fifteen) working day for 99% of referrals. This will be monitored through the PRaP system.
6	The Provider will provide the Participant with a copy of the customer service standards within 1 (one) Working Day of becoming a Participant. The customer service standards referred to here are details on the support that the Provider can provide to the Participant.
7	The Provider will work with the Participant to explore the Participant’s ambitions, goals, priorities and personal needs. This will help formulate an Action Plan. This Action Plan must be finalised within 10 (ten) Working Days of the Participant’s start on the WHP JETS provision.
8	The Provider will engage the Participant (by telephone/video conference or any other method permitted by the Contract) every 10 (ten) Working Days as a minimum, to discuss the Participant’s wellbeing, Action Plan and job goals (“Booked Meeting”). The frequency of the Booked Meetings can be amended if the Participant prefers a different arrangement.
9	If the Participant misses a Booked Meeting and the Provider is not contacted by the Participant with an explanation as to why, the Provider will attempt to contact the Participant within 2 (two) Working Days with a view to resolving any issues.
10	If the Participant is not in employment or self-employment at the point they cease to be a Participant, the Provider will produce a WHP JETS Exit Report. This will include a summary of the Participant’s time on WHP JETS, along with details of additional support that can be accessed to support them going forward. The WHP JETS Exit Report will be provided to Participants within the last 10 (ten) Working Days of the Participant being a Participant. The Provider will also maintain a copy of the WHP JETS Exit Report securely, which must be sent to the Contracting Body upon request from the Contracting Body.
11	Providers must securely send a copy of the fully completed ESF1420 Initial form for WHP JETS provision to the DWP ESF Admin Team within five (5) Working Days of the Participant’s start date; whilst ESF COVID-19 easements are in place forms may be annotated COVID-19 in lieu of a wet signature. For ESF provision a copy of a fully completed ESF1420 initial form needs to be sent five (5) Working Days from the Participant’s eligibility and referral meeting.
12	Providers must securely send a copy of the fully completed ESF1420 end form to the DWP ESF Admin Team within eight (8) weeks of the Participant’s completion date.
13	Every month, the Contractor will be required to obtain information from Participants on the usefulness of the programme. This will be done by the Contractor asking the specific question(s) and follow up (by email, link to a provider portal, website or on-line survey and where no other option available, by telephone) detailed below. Participants will be required to record their response to the question(s) (“Participant Response”). Where Participants provide responses by telephone, the Contractor will create and maintain a detailed written record of the response - this also falls within the definition of “Participant Response”). Contractors are then required to collate Participant Responses split by customer groups. The Contractor will collate Participant Responses in the template as provided in Annex A to Schedule 6 of CV06. The Contractor will send the completed template to the Contracting Body by the 15th day of the following calendar month. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day. The Contractor will maintain each Participant Response, which the Contracting Body may request to review in the future. Further information on the manner of differentiating different customer groups will be provided in due course. The Contracting Body reserves the right to publish Participant Responses or a summary of Participant Responses (either in the form provided for in Annex A to Schedule 6 of CV06 or in any other form it sees fit). The Contracting Body reserves the right to amend the specific questions or add additional questions that Contractors ask Participants on a monthly basis. Additionally, the Contracting Body reserves the right to require Contractors to ask the Participants the question(s) on a more/less regular basis. The frequency of collating Participant Responses and the deadline for providing the Contracting Body with the completed template from Annex A to Schedule 6 of CV06 can also be varied by the Contracting Body. The Contracting Body also reserves the right to amend the template as provided in Annex A to Schedule 6 of CV06. Question: Thinking about your overall experience of the services provided, how satisfied are you with the WHP programme? - Very satisfied - Fairly satisfied - Fairly dissatisfied - Very dissatisfied. Please can you tell us more about why you chose your response? Please be as detailed and specific as possible.
14	At the end of each calendar month, the Contractor will complete the template as provided in Annex B to Schedule 6 of CV06. This template will be provided to the Contracting Body on the 15th day of the following calendar month. If the 15th day happens to be a non-Working Day, then the deadline will move to the next Working Day.

None of the above precludes any and all rights or remedies available to DWP under the Terms and Conditions of the contract. The contract takes precedence.

Assurance and compliance monitoring

39. DWP PMs and/or Performance Compliance Officers (PCO’s) may perform evidence based checks to identify if providers are adhering to the delivery models set out in their contracts. These checks may incorporate the use and quality of Participant Action Plans; Participant engagement; DMA activity (where appropriate); delivery of the CSSs and to seek assurance that you are addressing the Participants barriers to employment.

40. If there is a performance concern or an area of weakness identified, PMs may undertake ‘Go-Look-See’ and/or ‘Deep Dive’ visits. These may be undertaken remotely. PMs will discuss fully the objective of these visits and how they will be undertaken. PMs may also ask to attend sub-contractor end-to-end delivery and supply chain meetings.

41. In England only, adherence to the ESF Regulatory Requirements, in terms of Marketing and Publicity; Sustainable Development; Equality and Diversity and Document Retention will be checked. Further information regarding ESF requirements can be found in the Generic Provider Guidance Chapter 11b – ESF requirements 2014 – 2020 (England Only).

42. Any issues arising from PCO/PM checks will be reported to you and relevant DWP stakeholders and discussed at CPRs

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

Evaluation and reporting

44. Independent evaluation will be an important element of your Provision and you will be asked to co-operate in a range of evaluations commissioned by the DWP and the European Commission.

45. Other interested parties and Government Departments as part of wider cross-government agendas may commission further evaluations and your assistance will be expected when required.

46. As part of this evaluation work, researchers may wish to visit and interview you and your sub-contractors and supply chain, Participants and employers involved in your Provision. You may be asked to provide the relevant contact details and, in order to facilitate this process; you should seek advance agreement from Participants to take part in evaluations.

47. Advance notice will be given where your co-operation is required.

48. An end of project evaluation report will also be required, highlighting innovative delivery practices and achievements against the cross cutting themes.

Provider assurance team

49. The primary purpose of the Contract Management and Partner Delivery (CMPD) Provider Assurance Team (PAT) is to provide the DWP CMPD Director with an assurance that Prime Provider systems of internal control are such that payments made to Prime Providers are in accordance with DWP and Treasury requirements.

50. PAT reviews and tests Prime Providers’ systems of internal control to establish how effective they are at managing risk to DWP in relation to CMPD expenditure, and service delivery including the arrangements you have in place for your supply chain.

51. This work is carried out by the PAT by reviewing your internal control systems to assess your ability to manage risk across three 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 F2F 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 Prime Providers have in place effective systems to support their claims for payment, including appropriate segregation of duties

52. The PAT operates at a national level, enabling it to present CMPD providers operating across regions with a single view of the effectiveness of their systems; each Prime Provider will have a nominated Senior Provider Assurance Manager as a single point of contact within DWP for management of assurance related issues/concerns.

53. On completion of each review, providers are awarded an assurance rating from the following four categories – weak, limited, reasonable and strong. Providers will also receive a formal report detailing the review findings including key strengths and areas for improvement. Where weaknesses have been identified providers are asked to complete an Action Plan setting out appropriate steps for improvement. This is followed up until PAT is satisfied that all actions have been undertaken. The timescale for reviews is determined by risk.

54. Findings from each review are routinely reported to the relevant Provision Leads and other DWP stakeholders. Remedial actions may be taken in the following circumstances:

• if, following a Weak or Limited Assurance level from the Provider Assurance Team, the Prime Providers subsequent assurance level is the same or worse for the same reasons, or the Prime Provider is awarded a consecutive third weak or limited assurance, regardless of the reasons
• following a review, if you fail to submit and/or implement the action plan within the agreed timescale; or
• where there are suspicions that you 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.

55. DWP will periodically publish Prime Provider assurance levels and names (note - this will not include reports or supporting information).

56. PAT will work with you to ensure that you understand what is expected. For further information on PAT please see DWP Generic Provider Guidance, Chapter 6, Provider Assurance.

NOTE: Nothing in this Chapter shall amend any rights or remedies or obligations available to the Authority under the contract.

Should you require a copy of any of the forms mentioned in this chapter, please email: whp.enquiries@dwp.gov.uk

Annex A: Provider action plan

Date	—
Provider	—
CPA	—
Provider Accountable Lead	—
DWP Performance Manager	—
DWP Senior Performance Manager	—

Monthly update

The narrative should include key achievements, emerging opportunities and risks.

The Provider Action Plan should formalise activities that are being undertaken to address identified areas of poor performance, service delivery, changes in management structure, resource or other emerging risks.

Where risks/issues have been identified mitigation must be articulated with the plan. All performance improvement activities must be SMART (specific, measurable, achievable, realistic, time-bound).

Area to be addressed and outcome objective

Number	Actions	Targets/outputs	Due/review date	Progress	Action completed
	1.1	-	-	-	-	-
	1.2	-	-	-	-	-
	1.3	-	-	-	-	-
	1.4	-	-	-	-	-

Annex B: tMPL diagrams (Not applicable to WHP JETS)