Guidance

COVID-19 Chapter 3b: (for WHP JETS) Acknowledging referrals, initial participant engagement and registering a start

Updated 15 December 2021

This guidance was withdrawn on

This guidance is no longer current and is not being updated.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

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This publication is available at https://www.gov.uk/government/publications/work-and-health-programme-covid-19-provider-guidance/chapter-3b-acknowledging-referrals-initial-participant-engagement-and-registering-a-start

Due to the impact of COVID-9, some elements of Work and Health Core Programme have been varied to include Work and Health Programme Job Entry: Targeted Supports (WHP JETS). This will be reflected in variation CV06.

Definitions

Initial appointment (voluntary participant)

The initial appointment with the individual, refers to the voluntary appointment arranged between the individual and you following your receipt of the PRaP referral from DWP. This appointment will be to discuss the WHP JETS provision, and potentially agree the individual’s start on the programme. This appointment must take place within 15 working days of you receiving the referral, to meet your Customer Service Standards (CSSs).

First Appointment (Participant mandated to first appointment)

Where the Chapter refers to the first appointment it is referring to the very first appointment you book with the individual which the Work Coach has mandated them to attend and participate in. This is the only appointment that you will need to use WHP JETS MAN APPT 1 letter to invite the individual to the meeting. The purpose of this meeting is the same as the initial appointment that takes place with voluntary Participants.

The individual can be sanctioned for failing to attend (FTA) the first appointment with the provider, that the work coach has mandated them to attend and participate in. Participation in every element of WHP JETS after the first appointment is voluntary for all individual’s.

Programme Start

The point at which the individual agrees to participate in the programme, following an initial/first appointment is their start on the programme.

Referral

1. You will need to work with DWP and your local Jobcentre Plus contacts to ensure an effective referral and engagement process with the individual .

2. Information will be transmitted to you via the Provider Referral and Payment System (PRaP) interface. Further information can be found in the ‘Detailed background and further information section’.

Provider acknowledges referral

3. You are required to ‘acknowledge’ the individual referral in PRaP within two working days of referral being received by you. This is a Customer Service Standard (CSS) and will be measured and performance managed. Further information can be found in COVID-19 Work and Health Programme Provider Guidance Chapter 16 - Performance Management and Compliance Monitoring.

Actions

  • Access PRaP
  • Acknowledge Referral

Consequence

Failure to acknowledge a referral will mean that you will be unable to record a start date and therefore you will be unable to receive any performance outcomes.

Referral - Multi Agency Public Protection Arrangements (MAPPA) cases

4. MAPPA cases who have not been given Special Customer Record (SCR) status will be referred through PRaP.

Actions

  • The nominated officer from Jobcentre Plus will contact your nominated officer to give contact details and any restrictions that may be imposed on the individual

  • Take the same action on PRaP as for non MAPPA cases to acknowledge and start the individual.

5. Further information can be found in the ‘Detailed background and further information section’.

Referral - SCR (including MAPPA cases given SCR status)

6. Individuals who have been granted SCR status will be referred to you clerically via the SL2 process. There is no clerical equivalent of acknowledging an electronic referral for SCR cases, so this step does not apply in these instances.

Actions

  • DWP will complete page one (of three) of the SL2 form, forwarding the entire form to your nominated officer

  • Undertake start activity following receipt of SL2 form from DWP (retaining pages two and three of the SL2 form) and complete and return page one to the DWP nominated officer

  • Send a photocopy of page two of the SL2 form to the Provider Payment Validation Team (PPVT)

7. Further information can be found in the ‘Detailed background and further information section’.

Initial engagement activity (WHP JETS Voluntary Referrals only)

8. You must engage with the individual and book an initial appointment with them. This may be by telephone call, video conference or any other method permitted by the contract, sending out details to the individual to confirm.

9.This can be via email if remote delivery means no access to post. If it has not been possible to contact the individual, you should still book an initial appointment, sending out details to the individual to confirm. This activity must take place within two working days of receiving the referral from DWP to meet your CSSs.

Actions for Voluntary Referrals

10. If, when you contact the individual they inform you that they no longer wish to join the programme, you should enter a Did Not Start (DNS) into PRaP and update your records. You do not need to book an initial appointment in these circumstances.

Initial engagement activity (WHP JETS Mandatory referral individuals mandated to attend and participate in their first appointment with Provider)

11. DWP may mandate some customers to attend and participate in their first appointment with you.

12. The Work Coach will mandate the individual to attend and participate in their first appointment with you.

13. Once you have acknowledged the referral in PRaP (this must be within two working days of receipt), you must write to the individual to confirm arrangements for your first appointment with them. You must use the template letter WHP JETS MAN APPT 1 to do this.

14. It is always necessary to ensure that the timeframe between issuing the Mandatory Appointment Notification letter (WHP JETS MAN APPT 1) and the individual attending the appointment is reasonable. Where the letter is posted to the individual, the assumption is that they will have received the notification on the second working day after posting (not including Saturday, Sunday, Christmas Day, Good Friday or bank holidays). It is advisable to allow additional time for the individual to make any necessary arrangements to attend the appointment.

For example: if the appointment is due to start on the Tuesday at 9am, it would be advisable to send the WHP JETS MAN APPT 1 on the preceding Tuesday. It could then be assumed to have been received in good time.

Method of sending the Mandatory Appointment Notification Letter

15. It is not acceptable to use electronic methods, such as text or email, to send the Mandatory Appointment Notification letter to the individual. The letter must be posted to their home address, or handed to them. Where an individual is of no fixed abode use the individual’s correspondence address. You may choose to use registered post to ensure delivery. If it is posted it is deemed to have been received on the second working day after posting (see above).

16. It is acceptable to communicate electronically with the individual to remind them of their appointment after issuing the letter.

Actions

Please note: It is only the first appointment you notify the individual to attend with you that they have been mandated to attend and participate in. For any subsequent appointments you may book following this meeting, their attendance will be on a voluntary basis.

Initial appointment (Voluntary)

17. The initial appointment should take place on a one to one basis.

18. The initial appointment must take place within 15 working days of you receiving the referral from DWP to meet your CSSs. It must also be recorded on PRaP within 15 working days of receiving the referral from DWP, in line with your CSSs.

19. If an individual fails to attend the initial appointment and they have not contacted you to rearrange , or let you know that they no longer wish to participate .In these circumstances, it would be good practice for you to make use of the full 15 working days from receipt of the referral to try to rearrange the initial appointment with them.

20. For example, where an individual has failed to attend their initial appointment, to maximise their opportunity to engage with the programme, you may consider offering at least two further appointments before inputting a DNA into PRaP by the 15th working day.

21. If by the 15th working day from receiving the referral, you have attempted to arrange for the individual to attend the initial appointment to discuss their potential start on the programme and they have not attended, you should enter a Did Not Attend (DNA) into PRaP.

22. Where an individual attends their initial appointment, and informs you that they no longer wish to participate on the programme, you should input a Did Not Start (DNS) into PRaP within 15 working days of your receipt of the referral. You should signpost the individual back to Jobcentre Plus.

23. Where the initial appointment does not take place within 15 working days of you receiving the referral, and you have not entered a Did Not Attend (DNA) code in PRaP, you will fail to meet your CSS. You may choose to still engage with the individual., However, you only have 30 calendar days from the referral being made in which to register a start. Following this time, the line will be automatically closed in PRaP.

24. If an individual fails to participate in the initial appointment and you input a DNA into PRaP, or after the 30 calendar day period has lapsed, the Jobcentre Plus Work Coach at their discretion may make a new referral to you if the individual still wishes to take part in the programme.

First Appointment (Mandatory Referral individuals- mandated to attend and participate in first appointment)

25. The first appointment should take place on a one to one basis.

26. If an individual has been mandated by DWP to attend and participate in their first appointment with you, you must notify the individual of the arrangements for them to attend via the WHP JETS MAN APPT 1 letter, to enable their attendance. You must undertake this activity within two working days from your receipt of the referral from DWP to meet your CSSs.

27. It is always necessary to ensure that the timeframe between issuing the Mandatory Appointment Notification letter (WHP JETS MAN APPT 1) and the individual attending the appointment is reasonable. Where the letter is posted to the individual, the assumption is that they will have received the notification on the second working day after posting (not including Saturday, Sunday, Christmas Day, Good Friday or bank holidays). It is advisable to allow additional time for the individual to make any necessary arrangements to attend the appointment.

Individual fails to attend and participate in the first appointment with you (Mandatory Referral individuals - mandated to attend and participate in first appointment)

28. If an individual fails to attend and participate in their first appointment with you, you must immediately notify DWP of this by completing and emailing a WHPJETS01 form to the designated DWP inbox notified to you by DWP. The only exception to this is, if the individual contacted you prior to the date of the appointment to request an alternative date. You may choose to agree to re-arrange the appointment, or you may request that they attend on the original date. If an alternative date is arranged, you must issue an updated WHP JETS MAN APPT 1 letter to the individual with the new appointment details.

29. For individuals who fail to attend and participate in their first appointment (as notified by you via the WHP JETS MAN APPT 1), you should attempt to continue to make use of the full 15 working days from receipt of the referral to continue to try to arrange their attendance at their first appointment with you.

30. For example, where an individual has failed to attend and participate in their first appointment , to maximise their opportunity to engage with the programme, you may consider offering at least two further appointments before inputting a DNA into PRaP by the 15th working day.

Please note: these subsequent appointments will be voluntary appointments and you should not use the WHP JETS MAN APPT 1 to notify the individual of these. It is recommended that you use the WHP JETS VOL APPT1 for voluntary appointments. If you choose to use your own version of the WHP JETS VOL APPT1 letter you must ensure that this has been approved by DWP prior to use.

31. If by the 15th working day from receiving the referral, you have attempted to arrange for the individual to attend their first appointment, to discuss their potential start on the programme, and they have not attended, you should enter a Did Not Attend (DNA) into PRaP to meet your CSSs. You must also notify DWP of this by completing the UC194 form and email it to the designated email inbox address notified to you by DWP.

32. When completing the form; note the date the individual failed to attend the first appointment in the ‘Date they failed to undertake the ‘original mandatory activity’ section. Tick the box stating that it is no longer appropriate for the participant to complete the activity, and note the date you entered the Did Not Attend into PRaP in the date of compliance or activity no longer applicable section.

33. For individuals who didn’t attend and participate in their first appointment you notified them of via the WHP JETS MAN APPT 1 letter. You must:

  • Immediately notify DWP of their non-attendance by completing WHPJETS01 and sending it back to the designated email inbox address notified to you by DWP via unencrypted email

  • Continue to try and re-engage with the individual up until the 15th working day from receipt of the referral

Individual attends first appointment but does not start on the programme (Mandatory Referral individual - mandated to attend and participate in first appointment)

34. For individuals who have attended and participated in their first appointment with you, and informed you that they do not wish to participate on the programme, you should input a Did Not Start (DNS) into PRaP within 15 working days of receiving the referral. You must complete a WHP07 which notifies the Work Coach that the individual attended and participated in the initial meeting and signpost the individual back to Jobcentre Plus.

35. On the WHP07,note the date the individual attended and participated in the meeting. In the free text box note appointment attended. You must send this back to DWP to the designated inbox notified to you.

36. For further information, please see the COVID-19 Work and Health Programme Provider Guidance Chapter 10 Change of circumstances and notifications.

Individual attends subsequent appointment (Individual mandated to attend and participate in first appointment)

37. If the individual attends a subsequent appointment up to the 15th working day from receipt of referral, and agrees to start on WHP JETS, you should input the start date into PRaP. After the individual attends the meeting, you must notify DWP immediately of this by completing form UC194 and email it to the inbox address notified to you by DWP.

38. When completing the form select the tick box ‘Participant has now fully complied’ option on the form. You must note the date the Individual failed to attend the first appointment in the ‘date they failed to undertake the original mandatory activity’ section.

39. In the ‘date of compliance’ section, the date you enter should be the date the individual re-booked the appointment, provided they then attended the appointment.

Please note, you should use the UC194 form for both UC and New Style JSA claimants and return to the designated email inboxes notified to you by DWP.

40. Before sending the e-mail, ensure that the e-mail standards are complied with. See section ‘Standard E-mail Content in background information’ below.

41. If you are unable to use unencrypted e-mail, in exceptional circumstances such as complete IT failure, referrals by post will need to be sent securely to the Mail Opening Unit at:

Universal Credit
Post Handling Site B
Wolverhampton
WV99 1AJ

42. The point at which the individual agrees to participate in the programme, following an initial meeting is their start on the programme.

43.If the individual attends a subsequent appointment up to the 15th working day and does not want to start on WHP JETS, you should input a Did Not Start (DNS) into PRaP.

44. After the individual attends the meeting, you must notify DWP immediately of this by completing form UC194 and emailing it to the designated email inbox address notified to you by DWP. (See paragraph 36 – 38 for details).

45. Where you are unable to arrange for the individual to attend a subsequent appointment, because doing so would cause you to fail to meet your CSS target, the DNA date you input to PRaP must be the latest date the individual contacted you to try to arrange another appointment.

46. You must notify DWP immediately of the individuals attempt to rearrange the meeting by completing form UC194 and email it to the designated email inbox address notified to you by DWP.

47. When completing the form; note the date they failed to attend the first appointment in the ‘Date’ they failed to undertake the ‘original mandatory activity’ section in the date of compliance section. Note the date the individual contacted you and that you were unable to accommodate their request to attend further appointment.

48. Where the first appointment does not take place within 15 working days of you receiving the referral and you have not entered a Did Not Attend (DNA) code in PRaP, you will fail to meet your CSS.

49. You may still engage with the individual , however you only have 30 calendar days from the referral being made in which to register a start. Following this time, the line will be automatically closed in PRaP.

50. After the individual attends the appointment, you must notify DWP immediately of this by completing form UC194 and email it to the designated email inbox address notified to you by DWP. (See paragraph 36 to 38 for details).

Actions to take when Participant confirms they want to start on programme (Voluntary (initial appointment) and Participants Mandated to the first appointment)

Please note: If the Participant is registered as self-employed with HMRC, they do not need to de-register to participate in JETS.

European Social Fund (ESF) 2014-2020 Programme and WHP JETS eligibility, evidence requirements and initial activity (England only)

51. WHP JETS is ESF match funded in England only, it will therefore be subject to stringent audit by DWP and European Union (EU) Auditors. They will require evidence that the programme is being delivered in accordance with the contract and all payments are clearly and appropriately evidenced. Failure to meet these audit requirements can result in financial penalties or withdrawal of funding.

WHP: JETS – ESF Eligible Participants

52. All ESF related paragraphs apply to any individuals identified as ESF Participants by Providers as part of your allotted quota. ESF related paragraphs in this guidance apply only to those identified as ESF participants (where applicable).

53. Each CPA has a set quota for ESF eligible Participants (where applicable). Once this Quota has been met you should continue to meet all your ESF and marketing obligations as outlined in your contract. This will be reviewed by the ESF team and your Performance Manager on a quarterly basis.

Please note: Any Participants referred after the extension period has started cannot be used as part of your JETS Quota.

54. ESF Participants must be identified at the start of the programme. An ESF-1420m initial form must be completed, including wet signatures on all supporting documents such as action plans, self-declarations etc.

55. The ESF quota is only met once a ESF-1420m initial and ESF-1420m End form have been received and accepted by the admin team. You must retain all other supporting evidence as per the ESF Document Retention guide in Chapter 11b of the Generic Provider Guidance.

56. ESF eligible Participants must be unemployed for 13 weeks or more and are not currently participating on other ESF 2014 – 2020 or ESF match funded provision.

57. Jobcentre Plus Work Coaches will use their expertise and skills to identify eligible claimants to participate in WHP JETS. For referrals made by Jobcentre Plus, they will continue to be the final decision maker for determining if an individual is eligible. As WHP JETS eligibility includes 13 week unemployment, a work coach referral is deemed sufficient evidence of this for ESF purposes.

58. Suitable ESF Participants may include (list is not exhaustive):

  • Lone parents

  • Low or no qualifications

  • An ex-offender

  • Language barrier (English not first language)

59. To be eligible for ESF 2014-2020 all Participants must be:

  • legally resident and have the right to take paid employment in the United Kingdom (UK)

  • aged 16 or over.

60. Further information can be found in Generic Provider Guidance chapter-11b European Social Fund (ESF) Requirements 2014 – 2020 (England Only).

61. For Participants in receipt of benefit a referral from DWP can be considered as confirmation that they have the right to work and reside in the UK. The referral from DWP will also act as sufficient evidence for the Participant being unemployed for 13 weeks or more.

Please Note: Do not keep copies of identification for example passports, birth certificates. Instead you should note the reference/serial number of these documents and hand them back. All other evidence should be copied and retained. For further information on evidence requirements please refer to The ESF Data Evidence Requirements – Eligibility and Results guide.

62. Eligibility evidence should be obtained prior to the completion of the ESF1420m European Social Fund Match Participant Form (Initial).

63. For further information regarding the preferred list of evidence and information about recording a Participants labour market status please refer to: The ESF Data Evidence Requirements – Eligibility and Results guide.

Actions

  • Make the Participant aware of support they will receive from ESF and issue the ESF2020 information leaflet. The ESF 2020 information leaflet can be emailed to Participants using the electronic version published on the GOV.UK website along with all other ESF 2014-2020 Provider Guidance. If a Participant does not have an email address you must ensure the Participant is aware of the information the form contains verbally and arrange to post it to them at the earliest opportunity

  • You must also remind the Participant of EU and ESF support throughout their time on provision and have evidence to support this audit requirement

  • An ESF1420m form (Initial) must be:

    • fully completed for each eligible Participant
    • correct, including where information is collected directly from participants, the gender identity of participants should be recorded (that is, the gender that the participant wishes to be identified with)
    • completed jointly with the Participant
    • signed by the Participant on the start date. The point at which the individual agrees to participate in the programme, following an initial interview is their start on the programme

64. For the COVID-19 period, The ESF-1420m Initial form, should be annotated ‘COVID-19’ in the signature/declaration box to confirm the Participant was enrolled during this event. The date should be included and you should obtain confirmation from the Participant it has been issued for audit purposes.

65. As COVID-19 restrictions ease and you move back to face-to-face delivery all ESF documents which require a participant’s signature should be signed and dated by the participant. If the signature box is annotated ‘COVID-19’ you should obtain a signature retrospectively when they are seen in person, and such form/s retained on file, for audit. This applies only to participants on programme.

66. The department recommends that you follow the relevant country specific government guidelines below in relation to safety and only see those participants who request or agree to receive face to face support for all voluntary employment programmes. When you are delivering face to face, a wet signature must be obtained. The COVID-19 period easements are to be used only when you are not seeing the participant face to face due to restrictions imposed by government guidelines.

67. Evidence should be gathered and retained to show the government guidelines you were adhering to which meant you could not offer face–to-face delivery at the time you supported the participant. This could be due to imposed lockdown restrictions, or the COVID-19 Secure guidance required under health and safety legislation.

68. Where you have not been able to obtain signatures from participants for any forms that require them, and the reason for that is not related to any government guidelines you were following at the time, you will need to clearly show that all reasonable attempts were made; date and evidence those attempts for your own audit trail and future inspection.

69. You should refer to Generic Provider Guidance chapter-11b European Social Fund(ESF) Requirements 2014 –2020 (England Only) for further information.

70. Meetings may take place by video or audio calls and not necessarily the standard face to face requirement.’ Eligibility and Programme evidence should be obtained prior to the completion of the ESF1420m form (Initial).

71. The fully completed ESF1420m form (Initial) should be signed by the Participant in doing this they declare that they:

  • understand provision is being ESF funded

  • have received the ESF2020 leaflet

  • are aware and consent/agree that their information will be stored and used for ESF purposes.

72. Where a Participant is unable to sign the ESF1420m form (Initial) due to a disability for example you must ensure ‘Participant unable to sign’ is also included in the email subject field “ESF1420 Export - Participant unable to sign”. In these cases a mark such as an “x” will be acceptable as a signature, however the identification evidence must be aligned to the ESF requirement. The date should be included, and email evidence for audit should be gathered and retained to demonstrate the individual’s participation on the programme.

Please Note: During the COVID-19 period all forms should be annotated ‘COVID-19’ in the declaration sections where signatures cannot be obtained. The date should be included. As COVID-19 restrictions ease you should refer to paragraphs 65-69 above.

Actions

  • The fully completed ESF1420m form (Initial) must be sent back to DWP within five working days of Participant signature

  • Where you are aware that the Participant has MAPPA restrictions with SCR or is an SCR case, you should send ESF1420m form (Initial) clerically to the ESF Administrative Team. For further information on MAPPA restrictions please refer to ESF 2014-2020 requirements

  • When emailing DWP the fully completed ESF1420m form (Initial) annotate the email subject field with the following wording “ESF1420 Export”

  • In the exceptional circumstance that the evidence cannot be obtained it is essential you still complete an ESF1420m form (Initial) and annotate accordingly as detailed in bullets below

  • In the exceptional circumstances that the Participant has refused to provide evidence, you must ensure ‘Participant Evidence Refusal’ is also included in the email subject field “ESF1420 Export - Participant Evidence Refusal.” when emailing DWP the ESF1420m form (Initial)

  • In the exceptional circumstances that a Participant refuses to sign the ESF1420m form (Initial) you must ensure ‘Participant Refuses to sign’ is also included in the email subject field “ESF1420 Export - Participant Refuses to sign” when notifying DWP

  • If neither ‘Participant refusal to sign’ or ‘Participant unable to sign’ is on the referral email subject field but the Participant signature is missing DWP will reject the ESF1420m form (Initial) and send it back to you for correction

  • Evidence must be retained for the initial interview and must be retained in line with ESF document retention requirements. For further information, please refer to The ESF Data Evidence Requirements – Eligibility and Results guide

73. You should refer to Generic Provider Guidance chapter-11b European Social Fund (ESF) Requirements 2014 – 2020 (England Only) for further information.

Consequences

Failure to send ESF1420m form (Initial) back to DWP within five working days of date of Participant signature will result in a failure of your revised CSS during the COVID-19 period.

Failure to follow the required subject header guidelines when emailing an ESF1420m form (Initial) will result in a rejection.

74. Further information can be found in the ‘Detailed background and further information section’.

Provider registers a start

75. Once you have acknowledged the referral and engaged with the individual you are required to register the start in PRaP. To meet the CSSs initial engagement and start activity must take place within 15 working days of receiving the referral from DWP.

76. After 30 calendar days of the referral from Jobcentre Plus, the individuals record will automatically show as a Did Not Attend in PRaP, unless you have, prior to the 30th day, input the Participants start date, Did Not Attend (DNA) or Did Not Start (DNS). If this occurs, the individual will not be a Participant on the Programme unless subsequently, Jobcentre Plus makes a new referral for that individual which results in a start. Any individual not recorded as a Start within 30 calendar days should be referred back to DWP, if appropriate.

Actions

  • Input the individuals start date in PRaP within 15 working days from receipt of the referral from DWP

  • The start date you record in PRaP must always be the point at which the individual agrees to participate following the initial appointment . This may be a retrospective date if you are entering the start date after the interview was conducted

  • Input in PRaP the delivery location or end to end sub-contractor you allocate the Participant to.

Consequence

Failure to register a start as soon as you have taken the action will mean that Real Time Earnings (RTE) tracking will not start promptly.

77. Further information can be found in the ‘Detailed background and further information section’.

Individual starts work or has a job offer between referral and start

78. Individuals may report that they have a job offer or have started employment or self-employment in between their referral interview with Jobcentre Plus and engaging with you. These customers should not continue to take part on the Programme.

Please Note: this include individuals that have been employed and then furloughed.

Actions

  • If the individual informs you prior to acknowledgement, signpost the individual back to Jobcentre Plus (if appropriate) and update PRaP with cancellation reason ‘inappropriate referral’

  • If the error is discovered after acknowledgement but you have not claimed the start line then use reason ‘no contact’

  • If the individual informs you after you have acknowledged and recorded a start date, complete a PRaP14 and send to the PRaP Operational Support Team (POST) at PRAP.SUPPORT@DWP.GOV.UK who will consider the request

  • You will be notified via email once approved and you should update PRaP with an end date and exit reason ’46 ‘exceptional circumstances’-. The end date is the day after the start date

  • You should then signpost the individual back to Jobcentre Plus (if appropriate)

  • POST will complete the actions to back the referral out and will contact you via email to notify you that this has been completed

  • Upon receipt of the email you must promptly cancel the referral in PRaP recording a cancellation reason of ‘No Contact’.

Inappropriate referrals

Individual is ineligible for WHP JETS

79. Situations may arise where individuals are referred to WHP JETS but you are notified by either the participant or JCP that they are ineligible. This may be because they are in employment, or are taking part in other DWP funded provision. (This list is not exhaustive).

Actions

  • If the error is discovered prior to acknowledgement in PRaP, signpost the individual back to Jobcentre Plus and reject the referral. You should enter the rejection reason ’10 – Other’ into PRaP to end their time on programme

  • If the error is discovered after acknowledgement but you have not claimed the start line then use reason ‘no contact’

  • If the error is discovered after acknowledgement and you have claimed a start line in PRaP, complete a PRaP14 and send to POST at: PRAP.SUPPORT@DWP.GOV.UK who will consider the request. If the request is rejected, you will be notified via email and you should continue to work with the Participant

  • If the request is approved, you will be notified via email and you should update PRaP with the end date and completer reason ‘46 exceptional circumstances to end their time on programme. The end date is the day after the start date

  • You should then signpost the individual back to Jobcentre Plus

  • POST will complete the actions to back the referral out and will contact you via email to notify you that this has been completed

  • Upon receipt of the email you must promptly cancel the referral in PRaP recording a cancellation reason of No Contact.

Duplicate referrals

80. In exceptional cases you may receive a referral which is a duplicate of a previous referral.

Actions

  • If the error is discovered prior to acknowledgement in PRaP, you will need to reject the duplicate referral by updating PRaP with rejection reason ’10 – Other’ to end their time on programme

  • If the error is discovered after acknowledgement but you have not claimed the start line, then use reason ‘no contact’

  • If the error is discovered after acknowledgement and started in PRaP, complete a PRaP14 and send to POST at PRAP.SUPPORT@DWP.GOV.UK who will then consider the request

  • If the request is rejected, you will be notified via email and you should continue to work with the Participant

  • If the request is approved, you will be notified via email, you should update the Participants record in PRaP with the end date and completer reason “46” exceptional circumstances to end their time on programme. The end date is the day after the start date

  • POST will complete the actions to back the referral out and will contact you via email to notify you that this has been completed

  • Upon receipt of the email you must promptly cancel the referral in PRaP recording a cancellation reason of ‘No Contact’

Please Note: You must ensure that action is taken on the duplicate referral only, as RTE tracking and any subsequent automated payments are linked to the first referral.

Individual referred as a mandatory when they should be a voluntary referral

81. There may be circumstances where you identify that a referral may have been sent incorrectly. For example, where the opportunity type is a mandatory referral but the referral check box indicates a voluntary referral.

82. In these circumstances you should contact the Work Coach to confirm referral status.

83. Where the Work Coach confirms the referral was incorrect you should take the following action:

  • If the error is discovered prior to acknowledgement in PRaP, signpost the individual back to Jobcentre Plus and reject the referral. You should enter the rejection reason ’inappropriate referral’ into PRaP to end their time on programme

  • If the error is discovered after acknowledgement but you have not claimed the start line, then use reason ‘No Contact’

  • If the error is discovered after acknowledgement and claimed a start line in PRaP, complete a PRaP14 and send to POST at: PRAP.SUPPORT@DWP.GOV.UK who will consider the request. If the request is rejected, you will be notified via email and you should continue to work with the Participant

  • If the request is approved, you will be notified via email and you should update PRaP with the end date and completer reason “46” exceptional circumstances to end their time on programme. The end date is the day after the start date

  • You should then signpost the individual back to Jobcentre Plus

  • POST will complete the actions to back the referral out and will contact you via email to notify you that this has been completed

  • Upon receipt of the email you must promptly cancel the referral in PRaP recording a cancellation reason of ‘No Contact’

Detailed background and further information

Referral

Individual’s referral from Jobcentre Plus

84. As part of the referral Jobcentre Plus will send over information on the individual to support the initial engagement.

85. DWP may send you personal and sensitive information about individual. Information sent as part of the referral is sensitive personal data within the meaning of the Data Protection Act and handling, processing and transmission rules apply. You must comply with General Data Protection Regulation (GDPR) requirements when processing sensitive information, as you must throughout your provision of the Services.

86. Individual data items which may be included are listed here:

  • full name including title

  • National Insurance number (NINO)

  • full address including post code

  • telephone number Inc. area code

  • email address

  • other telephone number (mobile)

  • Driving Licence

  • if the individual has been mandated to attend the first appointment

  • Incident Marker – notification where an individual has had an incident recorded while working with Jobcentre Plus. The Jobcentre will issue you with a notification of control measures form by post to make you aware of any measures following an incident. Further information on incidents can be requested by contacting Jobcentre Plus

  • Disability Status – notification that the individual has informed Jobcentre Plus that they are disabled. Disabled individual may require special arrangements when you meet with them

  • Welsh language written or spoken

  • referral ID

  • provision ID

  • date of referral

  • Individuals who require additional support – this will be notified by the inclusion of the wording “May require reasonable adjustment or additional support” on their action plan.

Participant contact

87. The Provider 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.

88. Any change in the frequency of contact should be documented by the Provider and Participant’s records should be updated.

Identity checks

89. You must ensure that in all communications with Participants you are satisfied you are engaging with the correct person.

90. To do this, you may decide to ask them to state a combination of their personal information such as:

  • full name

  • address

  • NINO

  • other information, such as details that were included within the original referral from Jobcentre Plus

  • details you hold on your records

ESF 2014-2020 requirements (England only)

91. The ESF requirements include but are not limited to the following:

  • adequate evidence must be kept at all stages for Participants who have started on provision

  • a complete audit trail of key documents and electronic information must be captured, maintained and retained at all stages throughout the process

  • the EU regulations in connection with marketing and publicising ESF must be met

  • EU requirements relating to sustainable development, equality, diversity and equal opportunities must be met; and

  • all required documentation for each Participant must be made available to DWP and EU auditors if required.

92. It is an ESF requirement that all Participants are informed about the support they are getting from ESF via the ESF2020 ‘How the ESF Social Fund is Helping You’ leaflet at their initial meeting and that ESF documentation is completed. Further information regarding ESF requirements can be found in Generic Provider Guidance chapter-11b European Social Fund(ESF) Requirements 2014-2020 (England Only).

93. The initial programme start date must be captured. The start date will be evidenced by the completion of an ESF1420m form (Initial) and evidence of initial high level action planning activity.

94. You must send the completed ESF1420m form (Initial) back to DWP within five working days of the start date. Contact details for where the form should be sent are included on the form. DWP will check information contained on the form. Inaccurate or incomplete forms will be returned to you and you will be required to re submit with any omissions or inaccurate data corrected.

95. ESF1420m form (Initial), once fully completed, must be sent via unencrypted email, one Participant record per time, to the DWP ESF Admin team. It is essential that you retain evidence of the initial meeting. This evidence will be subject to validation and audit and the evidence must be retained in line with ESF document retention requirements. Further information can be found in Generic Provider Guidance chapter-11b European Social Fund(ESF) Requirements 2014-2020 (England Only).

96. Where you are aware that the Participant is an SCR case or has MAPPA restrictions with SCR, you should post in a clerical ESF1420m form (Initial) directly to the ESF Admin Team, annotated ‘Restrictions Apply’.

97. All clerical forms to be sent to:

ESF Admin Team
Department for Work and Pensions
2nd Floor, Brunswick House,
29 Price Street,
Birkenhead
CH41 6JN

Action Planning – minimum requirements

98. Following the initial/first appointment with the Participant, you should begin high level action planning activity.

99. You are required to complete an Action Plan, which has been agreed by you and the participant, within 10 working days of the participant’s start date. For ESF participants, the Action plan must have a wet signature. Where you are unable to obtain a participant signature, due to COVID-19 restrictions, annotate the Action Plan with COVID-19 and email evidence for audit should be gathered and retained to demonstrate the participants participation in the programme.

100. As COVID-19 restrictions ease and you move back to face-to-face delivery all ESF documents which require a participant’s signature should be signed and dated by the participant. If the signature box is annotated ‘COVID-19’ you should obtain a signature retrospectively when they are seen in person, and such form/s retained on file, for audit.

101. When you are delivering face to face, a wet signature must be obtained. The COVID-19 period easements are to be used only when you are not seeing the participant face to face due to restrictions imposed by government guidelines.

102. Evidence should be gathered and retained to show the government guidelines you were adhering to which meant you could not offer face–to-face delivery at the time you supported the participant. This could be due to imposed lockdown restrictions, or the COVID-19 Secure guidance required under health and safety legislation

103. You should refer to Generic Provider Guidance chapter-11b European Social Fund(ESF) Requirements 2014 –2020 (England Only) for further information.

104. Further information about Action Planning can be found in: Covid-19 Work and Health Programme including Job Entry: Targeted Support (JETS) Provider Guidance Chapter 4 Action Planning

105. You must record any complex needs or additional support requirements. Further information can be found in COVID-19 Work and Health Programme including Job Entry: Targeted Support (JETS) Provider Guidance Chapter 6 – Working with Participants with complex needs and/or additional support requirements.

106. In England only, a completed ESF1420m form (initial) and proof of high level initial action planning activity is evidence to support the Participants start on programme for ESF purposes. You must ensure that this evidence is documented and stored in line with ESF requirements. Further information can be found in Generic Provider Guidance Chapter 11b – ESF requirements 2014 to 2020 (England only).

Please Note: It is essential that you retain robust evidence of the two-way conversation and evidence of initial high level action planning activity. This evidence will be subject to validation, audit and the evidence must be retained in line with ESF document retention requirements. Where the Participant refuses to agree the initial action plan you must record this on your systems.

Provider registers a start

107. The Start is the point at which the individual agrees to participate in the programme following the first /initial appointment. The start date you record in PRaP must always be the point at which the individual agrees to participate following the initial/first appointment, this may be a retrospective date if you are entering the start date after the meeting was conducted.

108. You must retain evidence of the start date. Examples of acceptable evidence will include (in England) an appropriately completed ESF1420m form (initial), or evidence of initial action planning activity.

109. The Start Date is day one of the 182 calendar day period that you have to work with the Participant. Further information can be found in COVID-19 Work and Health Programme including Job Entry: Targeted Support Provider Chapter 14 – Validation.

MAPPA cases

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

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

112. MAPPA cases who have not been given SCR status will be referred through PRaP.

Procedure for MAPPA cases

113. The DWP nominated officer will contact your nominated officer to discuss any restrictions that should be in place for each MAPPA referral. They may decide to forward to you a copy of the MAPPA J form which will detail the restrictions. Risks or restrictions will be different for every MAPPA case.

114. The MAPPA J form and any other clerical documents for each claim must be held securely, with restricted access, following the same process as you would for SL2’s

115. The DWP nominated officer will also provide you with the individuals contact details.

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

SCR – including MAPPA cases given SCR status

117. Certain individuals are allocated SCR status, for cases where unrestricted access to individual’s data poses a demonstrable risk to the individual’s safety.

118. These Participants must not have their details held on any electronic systems. Participants who have been granted SCR status will always be referred to you clerically using the SL2 clerical referral form. There is no requirement for clerical cases to be acknowledged.

119. In rare cases, some MAPPA Participants may be given SCR status. You must ensure that you treat these cases as you would any other SCR Participant. Access to a SCR must be restricted to a set period of time and on an event-by-event basis.

Procedure for SCR cases - including MAPPA cases given SCR status

120. You must ensure you have a full understanding of who these Participants are and how you should deal with them. You must ensure full compliance with the SCR clerical record process.

121. The clerical completion and return of SL2 Forms for SCR Participants should always be undertaken by your nominated officer, who must ensure that “SCR Participant” is clearly marked at the top of each form.

122. All information on SCR Participants whether received from Jobcentre Plus or generated by yourselves must be stored securely at all times.

123. DWP expects you to have effective processes in place to meet all the above requirement and be able to demonstrate that you have conducted the necessary actions.

Standard Email Protocols

124. Each e-mail sent by you to the UC Service Centre must adhere to the standard e-mail protocols listed below to comply with DWP security requirements.

125. Each e-mail must contain ONLY the following standard content:

Standard wording to be displayed in e-mail ‘Subject Box’

  • Name of relevant form

  • Participant’s surname

  • NINO – only last three characters

Standard wording to be displayed in e-mail ‘Narrative Box’

  • Sender contact details

  • E-mail attachment

  • One UC194 form

  • Each e-mail must never contain more than one form

Please note – It is important that you adhere to these standards

Should you require a copy of any of the forms mentioned in this chapter, please email: WHP.ENQUIRIES@DWP.GOV.UK.

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