Guidance

Chapter 4: Action planning

Updated 4 April 2024

Please note: Please follow the processes outlined for WHP Core for WHP Pioneer. Elements that are exempt from this can be found in Chapter 2b WHP Pioneer eligibility and entry points

ESF Requirement Changes

1. When referring to ESF Requirements within this chapter please note the following changes to ESF Requirements effective from 24 July 2023 (England)

• providers no longer need to submit or process ESF 14-20 Initial or ESF 14-20 End forms for Participants
• products can be updated to remove ESF logos. Changes to existing products and any new marketing and publicity materials should be sent to WHP.ENQUIRIES@DWP.GOV.UK for approval.
• providers should continue to use the current template for Good News Stories, until notified of amendment.
• participants you have already submitted ESF 14-20 Initial and ESF 14-20 End forms for over the lifetime of your WHP contract continue to be subject to ESF obligations. This includes Audit requirements and the ESF Document Retention Policy which at present is expected to be 2034.

In addition to the above, ESF requirements do not apply to participants started on or after 1 November 2022.

Please note: You are expected to continue to complete and to share Good News Stories with your Performance Manager as part of your contract with DWP

Obtaining a Participant Signature

2. Where you are required to obtain a Participant signature, WHP Core is not prescriptive about how any required signature is obtained (except for any signature that is required for ESF purposes).

3. It is your responsibility (for ESF Match Funded Participants) that you follow the latest ESF guidelines and that ESF regulations take precedence to ensure you meet all evidence requirements. Please also refer to Chapter 11b: ESF requirements 2014 to 2020 (England only) – GOV.UK (www.gov.uk) including paragraphs 72 – 75 for electronic signatures information.

4. For more information regarding obtaining a Participant Signature, please refer to:

• Chapter 1: Introduction and Overview - GOV.UK (www.gov.uk) section titled ‘Obtaining a Participant Signature’ which also includes more information regarding signature expectations and ESF requirements
• The paragraphs below for specific ESF documentation required
• The paragraphs below for specific Action Planning activity required

Please note: Now that all COVID-19 restrictions have been lifted and you have moved back to face-to-face delivery, all documents which require a Participant’s signature should be signed and dated by the Participant. For Non-ESF participants if the signature box is annotated ‘COVID- 19’ or ‘REMOTE DELIVERY’ you are not required to obtain a signature retrospectively when they are seen in person.

Action planning WHP Core

5. Your evidence of action planning must comply with the Contract including, without limitation, the Customer Service Standards (CSS), your tender and the Specification.

6. For WHP Core following the initial meeting with the Participant, you should start high-level, initial action planning activity. A signature is not required on the Action Plan at this stage. Further information regarding the initial meeting can be found in Work and Health Programme Provider Guidance Chapter 3 – Acknowledging referrals, initial Participant engagement and registering a start.

7. For WHP Core you are required to complete an Action Plan, which has been agreed and signed by you and the Participant, within 20 working days of receipt of the Participant referral.

8. For WHP Core this is one of your Customer Service Standard (CSS) on which you will be performance managed. Further information can be found in Work and Health Programme Entry Provider Guidance Chapter 16 – Performance Management.

9. The minimum requirements are that all activities in relation to participants must be recorded in your evidence of action planning.

Please note: For WHP Core, now that all COVID-19 restrictions have been lifted and you have moved back to face-to-face delivery all documents which require a Participant’s signature should be signed and dated by the Participant. For Non-ESF participants if the signature box is annotated ‘COVID- 19’ or ‘REMOTE DELIVERY’ you are not required to obtain a signature retrospectively when they are seen in person.

Actions

• Ensure the Participant understands what they are being asked to do, why they are being asked to do it and when it must be completed by. Where you are notified, or identify that a Participant has complex needs and/or additional support requirements, you must carefully consider any impact these may have on the Participant’s ability to understand or comply with the requirements.
• Set activities on Action Plan which are SMART (Specific, Measurable, Achievable, Realistic and Time-bound).

10. Further information on the above bullets can be found in Work and Health Programme Provider Guidance Chapter 6 - Working with Participants with complex needs and/or additional support requirements and Chapter 16 Performance management and compliance monitoring.

11. To help address digital poverty by issuing IT devices to programme participants, in conjunction with the Providers IT Equipment ‘Fair Use Policy’ the Action Plan should contain any discussions with the participant where any IT equipment is to be issued to the participant to support in overcoming barriers to work.

12. If a ‘Fair Use’ form is completed with the participant for any IT equipment issued, this should also be recorded within the Action Plan. Further information on the IT Equipment ‘Fair Use Policy’ can be found in Chapter 1: Introduction and Overview

13. For WHP core make it clear to mandatory long term unemployed claimants where activities are mandatory and issue these to the Participant in writing. Further information can be found in Work and Health Programme Provider Guidance Chapter 5a - Mandation to activity attracting a Low Level sanction and Work and Health Programme Provider Guidance Chapter 5b - Mandation to activity attracting a Higher Level sanction.

14. For WHP Core hold all ‘live’ mandatory requirements in a single (paper or electronic) file document. This should include a clear explanation of what the activity is, when it occurs, when it must be completed by, and what evidence is required to demonstrate completion of the activity.

15. Where you were unable to obtain a Participant signature due to COVID-19 Government Guidelines, and the Action Plan is annotated with “COVID-19”, you should obtain a retrospective signature when they are next seen in person. Email evidence (for audit) should be gathered and retained to demonstrate the individual’s participation on the programme.

Please note: Obtaining retrospective signatures face to face only applies to ESF participants.

16. For WHP core ensure the Action Plan is reviewed, updated and signed by both you and the Participant in line with the customer journey detailed in your tender. Where you are unable to obtain a Participant signature due to remote delivery, annotate the Action Plan with ‘REMOTE DELIVERY’. Email evidence (for audit) should be gathered and retained to demonstrate the individual’s participation on the programme. Make the information contained in the Action Plan available to the Participant at their request (by paper or electronically depending on their preference).

17. For WHP Core, now COVID-19 restrictions have eased 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 ESF Participants on programme.

18. From the 7 of May 2022 it is no longer appropriate when delivering provision remotely to use ‘COVID-19’ in lieu of a signature. The department supports a blended delivery model, but this must be based on customer need. Where remote delivery does take place, you should annotate the action plan and relevant signature boxes with ‘REMOTE DELIVERY’ and retain details of conversations to support this on file for audit.

19. The Department recommends that you follow the relevant country specific Government guidelines in relation to health and safety for all voluntary participants, and only see those who request or agree to face-to-face support.

20. When you are delivering face to face, a signature must be obtained.

21. COVID-19 period easements must no longer be used. For those participants where it applied in the past, evidence should be 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 during that period.

22. You must retain your evidence of action planning securely to support compliance checks by European Social Fund (ESF) compliance monitoring and for ESF audit activity (England only).

23. 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.

24. Further information regarding ESF requirements can be found in the Generic Provider Guidance Chapter 11b – ESF requirements 2014 – 2020 (England Only).

Consequences

• The 20-day completion of the Action Plan for WHP Core, forms part of your Customer Service Standards and will be checked during the DWP Compliance Monitoring process. Failure to meet these standards may result in your failing these checks.

• Failure to adhere to your contractual requirements on action planning will result in not meeting the audit requirements of the European Social Fund and can potentially lead to the recovery of funds and other financial liabilities.

For Participants started on or after 1 November 2022

25. The final Action Plan must be updated and detail all individual activities agreed and completed between you and the Participant during their time on Work and Health Programme.

26. You are not required to issue a copy of the final Action Plan to Jobcentre Plus; however, you must issue the final Action Plan to your Participant and encourage them to share this with Jobcentre Plus during your Work and Health Programme completers discussion.

27. This final Action Plan becomes the Participants Exit document and will be a key tool to determine the most appropriate support required for your Participant when they return to Jobcentre Plus.

28. Further information can be found in Work and Health Programme Provider Guidance Chapter 11 – Programme Completers and Early Exits.

Detailed background and further information WHP Core

Compliance checks WHP Core

29. The compliance checks will review evidence of your action planning at regular intervals against what you agreed to deliver in your contract. Where your Customer Service Standard states that your action planning will include specific criteria, such as agreed actions, target completion dates, frequency of reviews, Participant signatures, the compliance check will check that these steps have been followed to be assured of compliance with your contractual obligations. Further information regarding ESF requirements can be found in Generic Provider Guidance Chapter 11b – ESF requirements 2014 – 2020 (England Only).

Audit activity WHP Core

30. The ESF Audit Authority may undertake annual or ad hoc checks on a sample of provider contracts to inspect that delivery complies with contractual obligations. They will check evidence to verify the eligibility of payments made in respect of a sample of individual Participants. The ESF audit may request the action plan and check the start date recorded against the date put on the ESF14-20 Initial form. Providers will fail the audit where this information doesn’t match.

31. Further information regarding ESF requirements can be found in Generic Provider Guidance Chapter 11b – ESF requirements 2014 to 2020 (England Only).

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