Protect: Commercial/ Policy/ Management Community Work Placements Specification and Supporting Information Version v.10 1 Protect: Commercial/ Policy/ Management CONTENTS 1. Overview P3 2. The Service Requirement P7 3. Performance and the Payment Model P 20 4. Additional Information and Delivery Requirements P 23 5. Quality, Evaluation, Account and Performance Management P 26 ANNEXES 1. Contract Packages, Indicative Volumes and Budget P 29 2. High-level process P 32 3. Definitions P 33 4. Service Delivery Standards P 39 5. Additional Information P 42 6. Community Benefit Principles of a Work Placement P 46 7. Labour Market Information Sources P 47 8. Sources of Additional Information P 48 9. European Social Fund P 49 10. Evidence Requirements P 52 11. CWP claimant portfolio and exit feedback P 56 12. Glossary of Terms P 59 13. List of Abbreviations P 61 2 Protect: Commercial/ Policy/ Management 1. OVERVIEW 1.01 This specification sets out the delivery requirements which apply to the Department for Work and Pensions (DWP), Community Work Placements (CWP) scheme. 1.02 CWP aim to equip jobseekers with a valuable period of experience in a work-based environment, enabling them to develop the disciplines and skills associated with sustained employment. It will provide a continuum of support which complements and adds value to the broader programme of DWP welfare reform provision. Introduction 1.03 The Government’s Coalition Agreement set out a commitment to "create a single welfare to work programme to help all unemployed people get back into work". This commitment was met with the introduction of the Work Programme (WP) in June 2011. 1.04 However further help needs to be put in place to support those Jobseeker’s Allowance (JSA) and Universal Credit (UC) - full conditionality, claimants reaching the end of their time on the WP, who remain on benefits and will require additional support. 1.05 To inform the development of the support offered to those claimants, trailblazers were run in four JCP Districts to test and evaluate what support works best to support the very long-term unemployed. 1.06 The high level approach for post Work Programme support will contain two elements of support that were included in the trailblazer design: • Community Work Placements (CWP) – A mandatory scheme delivered by providers where claimants participate in a work placement of community benefit for 30 hours a week, for up to six months, alongside additional provider-led supported jobsearch of between 4 and 10 hours per week; and, • Mandatory Intervention Regime (MIR) – An intensive offer of flexible and personalised adviser based support for up to six months, delivered by JCP through increased adviser interventions. 1.07 In the national delivery of post Work Programme support, JCP advisers will adopt a triage approach, informed by information from a claimants WP exit report, to determine whether claimants should be referred to CWP or remain with JCP. 1.08 If a claimant has never worked, or has very little work history, it can be harder for them to move into employment, especially in a labour market where there are considerable numbers of jobseekers with more experience. 1.09 The target group to be referred to CWP provision will be JSA and UC (full conditionality) claimants, who have completed the WP and whose key barrier preventing them from moving into work, is either insufficient recent work history or a lack of motivation. The decision on referral will be taken by the JCP Adviser as part of the triage assessment. 3 Protect: Commercial/ Policy/ Management 1.10 The target group will be required to undertake a work placement which has to be of benefit to the community with a public sector or community organisation, or a private sector organisation provided DWP is satisfied the criteria set out throughout this specification have been met, alongside provider-led jobsearch. 1.11 This will equip jobseekers with a valuable period of experience in a work-based environment, enabling them to develop the disciplines and skills associated with employment, capitalise on experience gained and maintain an employment focus through additional provider-led jobsearch. 1.12 CWP will be delivered by external partners, contracted by DWP, and will provide work placements in the public, community or private sectors that are of benefit to the community. 1.13 CWP providers will be paid on results with the primary aim of helping claimants move into sustained employment. European Social Fund (ESF) 1.14 CWP will be part-funded by the European Social Fund, under the DWPs ESF CoFinancing agreements, in England only, (i.e. all Contract Package Areas (CPAs) apart from Scotland CPA 8 and Wales CPA 13). For further information regarding the CPAs, please see Annex 1. Funding for ESF in England is distributed and managed by the ESF Managing Authority. The Managing Authority distributes funding to approved ESF Co-Financing Organisations (CFO). The three largest CFOs are DWP, the Skills Funding Agency (SFA) and the National Offender Management Service (NOMS). 1.15 ESF has separate funding priorities for employment and skills. DWP delivers its provision under Priority 1 and Priority 4: ESF Priority 1 – Extending employment opportunities (England). Supports projects to tackle the barriers to work faced by unemployed and disadvantaged people; ESF Priority 4 – Tackling barriers to employment (Convergence area of Cornwall and Isles of Scilly only). 1.16 As a CFO, DWP’s role is to bring together ESF and domestic funding for employment programmes to ensure ESF complements and adds value to domestic employment programmes. DWP contract with Providers to deliver ESF initiatives in line with DWP’s own objectives. 1.17 Providers will be required to meet ESF specific requirements set by the European Commission and failure to comply can result in substantial recovery of funds and financial penalties. The ESF requirements are: Keep evidence at all stages for individuals who have started on ESF provision; Keep supporting evidence of the activity underpinning claims for payment from DWP for the full retention period; Capture, maintain and retain a complete audit trail of key documents and electronic information at all stages throughout the process; Meet European Union (EU) regulations in connection with publicising ESF; 4 Protect: Commercial/ Policy/ Management Meet the requirements relating to sustainable development, equality, diversity and equal opportunities; and Make all required documentation for each individual available until at least 31st December 2023 so that an adequate audit trail exists – this is a key audit requirement. For further information regarding ESF please see Annex 9. For further information regarding evidence requirements please see Annex 10. 1.18 The requirements above apply to the whole supply chain throughout their delivery. It is the responsibility of the Prime Provider to adhere to these requirements and ensure their supply chain does the same. The Prime Provider is ultimately accountable for the ESF compliance of their contract. Failure to comply with any of the ESF requirements can result in the repayment of funds. Provider Guidance provides further information on requirements for ESF, including advice on retention of evidence and documentation: http://dwp.gov.uk/docs/pg-chapter-2.pdf. 1.19 It is an ESF requirement that ESF provision must add value to existing available DWP provision and other provision in the locality and must not duplicate it. Further information on ESF can be found on the ESF website: http://www.dwp.gov.uk/esf/ Legislation 1.20 CWP will be delivered under The Jobseeker’s Allowance (Schemes for Assisting Persons to Obtain Employment) Regulations 2013 and The Universal Credit Regulations 2013. Critical Success Factors 1.21 Below are the Critical Success Factors against which the success of CWP will be judged: The number of claimants who achieve a start (in either a work placement or employment). The achievement of a diverse range of placement roles of community benefit across a range of sectors. The number of claimants who complete CWP. The number of claimants who achieve a job outcome. Commercial Approach 1.22 CWP will commence from 28th April 2014 across Great Britain in the 18 Contract Package Areas (CPA's) outlined in Annex 1 (letting one contract in each CPA). 1.23 It is expected that providers will meet this commencement date in their Implementation Plans to be submitted as part of their tender. However there may be very exceptional circumstances post contract award whereby a provider may not be able to meet the commencement date of 28th April 2014. In which case DWP may negotiate a later commencement date taking into account the relevant circumstances, but this will be no later than 2nd June 2014. 5 Protect: Commercial/ Policy/ Management 1.24 It should be noted that by commencement date it is meant that the provider is immediately ready in all locations across the relevant CPA to receive referrals and offer claimants a suitable quality placement within 20 days of referral. 1.25 Referrals will be made up until 31st March 2016. Providers will then have 30 weeks from the last CWP referral date to carry out their service delivery obligations as outlined in this document with CWP contracts ending on 27th October 2016. 1.26 DWP including JCP will be working during the tender assessment stage to obtain input on local issues. Details of the tender evaluation can be found in the Instructions to Potential Suppliers. 1.27 Please Note: This competition is a call-off from the Department’s Framework for the Provision of Employment Related Support Services (the ERSS Framework). 1.28 Whilst eligible ERSS Framework suppliers may tender for multiple contracts, a maximum of 6 contracts will be awarded to any single successful prime contractor organisation. As such, the Invitation to Tender asks potential suppliers to state their order of preference for the contracts for which they are tendering. Specification 1.29 This document provides information about DWP’s requirements so that providers can develop comprehensive delivery proposals and related pricing schedules. Payment model 1.30 The payment model will comprise four payments: A Start fee; A Short Completion Outcome fee; A Long Completion Outcome fee; and A Job Outcome fee. For further information regarding the payment model please see: Section 3 - Performance and Payment model. Flexibility during the life of the Contracts 1.31 Contracts will be sufficiently flexible to handle the changes that might occur during their lifetime and any variations will be subject to discussion and agreement at the appropriate time. 1.32 Any proposed changes would be subject to agreement via formal change control procedures as detailed in the terms and conditions. 6 Protect: Commercial/ Policy/ Management 2. THE SERVICE REQUIREMENT 2.01 CWP is aimed at those claimants whose primary barrier to work is a lack of work experience or motivation, and who may have spent a great deal of time away from a structured work environment. CWP aims to equip jobseekers with a valuable period of experience in a work-based environment, enabling them to develop the disciplines and skills associated with sustained employment, as well as to move them into employment. 2.02 DWP are looking for suitable work placements that emulate a real working environment, be under supervision which provides clear parameters and feedback on claimant attendance and productivity, and encourage the development of the crucial behaviours and attitudes associated with sustained employment. 2.03 It will provide a continuum of support which complements and adds value to the broader programme of DWP welfare reform provision. Investing in additional support through the introduction of a programme of community based work placement and jobsearch will serve to support this aim, ensuring claimants are engaged in meaningful activity and move closer to the labour market and ultimately sustained employment. 2.04 DWP are looking for a diverse range of placement roles, avoiding as far as possible the dominance of roles in charity shops seen in similar existing provision. Providers will be required to work with a range of organisations to source placements of community benefit across a range of employment sectors. 2.05 Providers will deliver a programme of up to 30 weeks near full-time activity alongside additional provider-led jobsearch support and providers will be expected to ensure claimants are engaged in work placement activity for the majority of this period (up to 4 weeks to engage and start, with the remaining period undertaking placement activity). 2.06 Please Note: What constitutes full-time activity for each claimant will be defined in line with any restrictions that have been previously agreed with JCP on the claimant’s Jobseekers Agreement/ Claimant Commitment for which providers will be notified. 2.07 CWP work placements must deliver a contribution to the local community and must not displace paid economic jobs or impact existing employees within the host organisation. 2.08 Participation will be mandatory and a claimant’s benefits may be stopped if they fail to start or participate in the programme. Claimant Group 2.09 CWP will be aimed at JSA and UC (full conditionality) claimants who have completed the Work Programme and: Are judged by JCP to require post Work Programme support (e.g. by having less than 3 months work history during their time on the Work Programme); and, Through the JCP triage approach have been identified as requiring CWP support due to the key barrier preventing them from moving into work, being either insufficient work history or a lack of motivation. 7 Protect: Commercial/ Policy/ Management CWP Referrals 2.10 For those JSA and UC (full conditionality) claimants returning from the Work Programme, JCP advisers will adopt a triage approach, supplemented by information from a Work Programme exit report, to establish claimant eligibility. 2.11 JCP will refer eligible claimants by contacting the provider and arranging a one-to-one, face-to-face initial engagement meeting. Providers must have a designated point of contact to field and manage phone calls to book these appointments. 2.12 The JCP adviser will make the claimant referral which will create a referral in the Provider Referrals and Payments (PRaP) system. The referral information sent as part of the referral will include: 2.13 Full name (including title) and National Insurance Number; Address and (where available) a contact telephone number; If a claimant has informed JCP that they have a health condition; The claimant’s attendance arrangements; If the claimant has childcare/caring needs, such as lone parents or carers; A claimant’s preferred working pattern and details of any employment restrictions e.g. any restrictions on their availability, which have been agreed by JCP; and, Activities already undertaken and details of qualifications (where available). Please Note: The referral will not be available to the provider in PRaP until the day following JCP referral. It should also be noted that while the vast majority of referrals will be made through PRaP, there maybe a very small number of referrals made clerically, not through PRaP e.g. Special Customer Records (SCR) (further information regarding SCRs is available in Chapter 2 of Generic Provider Guidance). Provider-claimant Initial Engagement Meeting 2.14 Within a claimant’s initial engagement meeting, providers will: 2.15 Undertake a claimant diagnostic including career guidance and establish suitable work placement provision; Undertake any required work placement pre-entry activity; Identify any additional support requirements (such as childcare, travel etc); Agree claimant provider-led jobsearch activity; Communicate the provider feedback and complaints procedure; Notify claimants of mandatory activities in writing and ensure claimants have a clear understanding of their responsibilities whilst participating on the provision and the consequence of any failure to fulfil requirements imposed; and, Start to develop and agree an individually tailored Action Plan. Where a claimant fails to attend their initial engagement meeting providers will be required to make an immediate (within 24 hours of the failure to attend) Decision Making and Appeals (DMA) referral directly to a DWP Decision Maker (It is our current assumption that for the majority of cases this will be via unencrypted email). Providers must also update PRaP (within 2 working days of the failure to attend) detailing the claimant has failed to attend (Further information regarding DMA will be detailed in CWP provider guidance). 8 Protect: Commercial/ Policy/ Management Action Plans 2.16 Providers must chart and record all the activities agreed with the claimant throughout their time on the provision, including all mandatory activities. The plan must be signed by both parties, regularly reviewed and updated and providers must retain evidence of action planning. Evidence of action planning must comply with providers’ minimum service delivery standards, the content of successful tenders and the CWP contract. 2.17 All mandatory activities for both the work placement and jobsearch elements must be recorded in evidence of action planning. For further information regarding evidence requirements please see Annex 10. CWP Starts 2.18 Both a provider-claimant initial engagement meeting and subsequent start on a work placement (or a start in employment) must take place to meet CWP start requirements. The contractual target for starting claimants is for CWP Starts to be achieved and recorded in PRaP within 20 working days of the CWP Referral. 2.19 Whilst we would expect claimants to start placements as soon as possible, during the first 20 working days it might, in some circumstances, be more appropriate to focus on offering the claimant relevant support in order that they are prepared for their placement and able to make the most of the opportunity. 2.20 Providers may only record a CWP start where a claimant has participated in an initial engagement meeting and subsequently started a work placement (or started employment). The contractual target for starting claimants is for CWP Starts to be achieved and recorded in PRaP within 20 working days of the CWP Referral. 2.21 Where a claimant fails to start their work placement as mandated providers will be required to make an immediate (within 24 hours of the failure to start) DMA referral directly to a DWP Decision Maker (It is our current assumption that for the majority of cases this will be via unencrypted email rather than by post). Providers must also update PRaP (within 2 working days of the failure to start) detailing the claimant has failed to start (Further information regarding DMA referrals will be detailed in CWP provider guidance). 2.22 Each claimant is expected to participate fully in a full-time work placement, which will last for up to 26 weeks (within the allotted time of 30 weeks) alongside provider-led jobsearch. During the claimant’s work placement participation period, on a weekly basis, the claimant must undertake: 2.23 30 hours* on work placement provision; and, A minimum of 4 hours and a maximum of 10 hours of provider-led jobsearch. Please Note: *unless a claimant has participation restrictions which have been agreed with JCP. Providers will be notified of any participation restrictions within the information delivered within the claimant referral and where notified should reduce claimant placement requirements accordingly. 9 Protect: Commercial/ Policy/ Management 2.24 Providers should outline in their tender their proposed claimant interaction and progress review throughout the claimant journey. 2.25 The provider is responsible for funding the claimant’s travel costs, childcare and any additional support which they may require during their time on provision. For further information regarding travel and childcare please see Annex 5. Re-referring claimants who fail to start (New Referrals) 2.26 Where a claimant has failed to attend their initial engagement meeting or failed to start a work placement as mandated, JCP will be notified via the action the provider takes in PRaP (recording the failure to attend or failure to start - which will close the referral). 2.27 JCP will then establish the reasons why claimants may have failed to attend/ start and will establish if CWP support remains appropriate. Where JCP establish that CWP support remains appropriate for a claimant they will make a new referral, following the same process in which the original referral was made (ringing the provider, booking an initial engagement meeting and making a new electronic referral through PRaP). Work Placement 2.28 Providers must work to source 30 hour (per week, before taking into account any restrictions previously agreed with JCP) work placements that will last for up to 26 weeks for each claimant. 2.29 DWP are looking for a diverse range of placement roles, and do not want providers overly relying on retail placements within charity shops as seen in similar existing provision. Therefore DWP require providers to ensure no more than 25% of completed work placement weeks involve claimants undertaking retail duties within charity shops. DWP will measure completed placement weeks to monitor and validate the 25% cap. 2.30 The above cap is in relation to placements which are solely related to performing retail duties (such as but not limited to; advising and taking money from customers in retail charity shops, replenishing stock inside retail charity shops, sorting of donated items within retail charity shops etc). The cap does not apply to non-retail work placements within charity organisations such as warehousing, transport, accounting, clerical duties or retail work outside of charity shops. 2.31 Please Note: Providers must ensure that placement and host data for each claimant and evidence to support weekly placement participation (including weekly attendance records endorsed by claimant and placement provider) is available on request. For further information regarding evidence requirements please see Annex 10. 2.32 Providers will be required to work with a range of organisations including local employers, voluntary and public sectors, to source placements of community benefit across a range of employment sectors. 10 Protect: Commercial/ Policy/ Management 2.33 Each work placement must be of benefit to the community over and above the benefit of providing a placement to the individual. The role can work directly or indirectly towards the community benefit goal of the host organisation and can also include working towards the profit of the host organisation provided the majority of the role is dedicated towards delivery of benefit to the community. 2.34 Providers should look to identify, support and create new projects that will be of benefit to the community. For further information regarding community benefit please see Annex 6. 2.35 Providers should outline in their tender how they intend to create placements and stimulate this emerging market not simply relying on existing work placements, and how they intend to work with the voluntary community sector and local community to do this. 2.36 Placements must be designed to give claimants experience of work, help strengthen their CVs and enable them to compete more effectively in the job market. Providers should manage claimants’ expectations of available opportunities but wherever possible placements should be appropriate to the claimant’s desired employment sector and/or occupation type, and local labour market. 2.37 Provider organisations can offer work placements but must ensure that they meet the criteria set out regarding quality of work placements (over the following pages) when sourcing a placement and places are not offered in connection with the delivery or administration of CWP. 2.38 Each week the claimant will participate in 30 hours (unless a claimant has participation restrictions which have been agreed with JCP) of work placement provision with a public, community or private sector organisation which must be evidenced and recorded. For further information regarding evidence requirements please see Annex 10. 2.39 Providers must ensure that any restrictions on the type of work the claimant is seeking are taken into account when sourcing work placements - for example, if a claimant has a particular religious belief impacting on the type of work they can carry out or, if a claimant is unable to do heavy lifting due to a health condition or disability. 2.40 A work placement may last for up to 26 weeks. We recognise that in some circumstances participation in a single work placement of 26 weeks may not be possible. If necessary, the provision duration can be made up of several shorter work placements. However providers will need to achieve a minimum of 22 weeks; on work placement(s); or, in employment; or, a combination of work placement and employment to achieve 100% completion outcomes. For further information regarding definitions please see Annex 3. 11 Protect: Commercial/ Policy/ Management 2.41 If a gap between work placements is necessary we expect that this would not exceed five working days. 2.42 Once a claimant has started CWP and is between placements (where 26 completed weeks have not been achieved) providers will be expected to deliver provider-led jobsearch and/or other work-related activity, for a minimum of 30 hours per week. 2.43 Please Note: Time spent providing jobsearch support or other work-related activity (in the absence of work placement/ employment) cannot be counted towards completed weeks for a completion fee. 2.44 The days and hours of the work placement are not prescriptive but they must adhere to the EU Working Time Directive (2003/88/EC). In cases where the claimant has a work easement agreed with JCP (e.g. they may only be required to be available for work for 20 hours a week) then the placement should reflect this. Any limitations/ easements will be part of the information that is sent to the provider through PRaP and providers will need to take this into account when setting up the placement. 2.45 Time spent travelling to and from placements must not be included in the hours of attendance. Travel duration and distance must be appropriate and reasonable to the claimant’s circumstances (further information will be detailed in CWP provider guidance). 2.46 If a claimant is already doing voluntary work and the provider can justifiably advise that the work is beneficial to the claimant by helping them to overcome barriers to employment, the provider can count that voluntary work towards the full time work placement hours (as with all placements, in these circumstances providers must engage with the placement host and agree processes to ensure attendance can be evidenced). If the provider does not think the voluntary work is of appropriate benefit to the claimant, the provider can require the claimant to undertake the full-time placement they have sourced for them. 2.47 Providers will need to identify wherever possible if CWP participants are serving community sentences, and ensure that the work placement activities complement the requirements of the Criminal Justice System (for example, individuals may be required to undertake unpaid voluntary work, have restrictions on their movements, or be under curfew at certain times as part of the conditions of their sentence). 2.48 Claimants already undertaking part-time work at the point of referral should continue the part-time work but the provider should top up the part-time work with a work placement to ensure the full-time participation requirement is satisfied. 2.49 Providers must ensure that all claimants are properly supervised in their work placements and should monitor and support claimants’ attendance and ongoing progress accordingly. 2.50 Providers must not give any incentive payments or rewards to the claimant for participation in CWP. 12 Protect: Commercial/ Policy/ Management Quality of Work Placements 2.51 The work placement must be of benefit to the community. Providers must be able to clearly describe to DWP the community benefits that the placement is delivering. 2.52 Each work placement must be of benefit to the community over and above the benefit of providing a placement to the individual. The role can work directly or indirectly towards the community benefit goal of the host organisation and can also include working towards the profit of the host organisation provided the majority of the role is dedicated towards delivery of benefit to the community. 2.53 Work placements must be supervised, with tasks similar to those that a claimant might experience in a normal working environment and should encourage the development of crucial disciplines associated with sustained employment, while at the same time making a contribution to the community. 2.54 When sourcing placements, providers must also ensure that: The placement forms part of a programme of employment support for the claimant and they should receive appropriate help, support and any workplace training essential to allow active participation in the placement from the host organisation; Claimants are engaged in a healthy and safe working environment; and, The host organisation understands what is expected of them; 2.55 Placements must be additional to existing or expected vacancies (i.e. they must not displace what would otherwise be paid economic jobs, or impact existing employees within the host organisation) but must, however, be as close to a real working environment as possible in order that the claimant may draw on experience gained in future job applications and reference placements when producing a CV to support these applications. 2.56 Providers will be responsible for ensuring that host organisations adhere to these principles and obtain confirmation that placements offered by hosts do not displace existing jobs. 2.57 Provider organisations can offer work experience placements but must ensure that they meet the criteria (detailed) when sourcing a placement and places are not offered in connection with the delivery or administration of CWP. 2.58 DWP are looking for a diverse range of placement roles, avoiding as far as possible the dominance of roles in charity shops seen in similar existing provision. Providers will be required to work with a range of organisations including local employers, voluntary and public sectors, to source placements of community benefit across a range of employment sectors. Providers should look to identify, support and create new projects that will be of benefit to the community. 13 Protect: Commercial/ Policy/ Management Provider-led Jobsearch 2.59 CWP providers must also ensure that claimants, on a weekly basis, take part in a minimum of 4 hours (and a maximum of 10 hours) provider-led jobsearch which must be evidenced and recorded. For further information regarding evidence requirements please see Annex 10. 2.60 Provider-led jobsearch will last for the 30 week duration of allotted time and MUST be in addition to participation in work placement provision. Setting this limit will ensure that claimants are engaged in meaningful activity for up to 40 hours a week. 2.61 From the point of referral, and for each week following, until the claimant becomes a CWP completer (unless in employment), the claimant will be required to take part in a minimum of 4 hour’s provider-led jobsearch (regardless of any agreed participation restrictions which have been agreed with JCP). For further information regarding definitions please see Annex 3. 2.62 Providers may decide to undertake the jobsearch in house, or source the support via a third party. It is the provider’s responsibility to oversee the provider-led jobsearch and to collect and retain any supporting evidence. 2.63 Provider-led jobsearch must be tailored to each individual and should focus on the claimant gaining and enhancing the skills required to sustain employment. It MUST include weekly jobsearch activity including career guidance and the development of a CV (upon completion of the programme the claimant MUST have an up to date CV). Provider-led jobsearch may also include, improving communications, mock interviews, completing application forms, workshops and training (this list is not exhaustive). 2.64 The provider is responsible for ensuring the claimant undertakes provider-led jobsearch as instructed to do so, making clear the consequences of a claimant failing to participate where mandated. Provider-led Jobsearch in the absence of a Work Placement 2.65 Where providers are unable to start compliant claimants on a work placement within the 20 working day target for CWP Starts (e.g. due to insufficient available placements) and 20 working days has elapsed or, where claimants are between placements (where 26 completed weeks have not been achieved), providers will be required to deliver provider-led jobsearch and/or other work-related activity, for a minimum of 30 hours per week. 2.66 Please Note: Time spent providing jobsearch support or other work-related activity (in the absence of work placement/ employment) cannot be counted towards completed weeks for a completion fee. 14 Protect: Commercial/ Policy/ Management Allotted time 2.67 CWP allotted time is 30 weeks. The allotted time period is continuous and starts at the point of CWP referral. From this point providers will have 30 weeks to deliver their service requirements and achieve completion outcome fees. 2.68 Where a claimants benefit claim ceases (having started but not completed CWP) and a subsequent reclaim to JSA or UC (full conditionality) is made, JCP will signpost the claimant back to providers to complete their remaining allotted time. JCP will notify providers of the reclaim and support will continue until the claimant completes CWP. 2.69 Please Note: Where a claimant has started CWP there will not be another electronic referral and providers will not be paid a further start fee for claimants who leave benefit (e.g. for employment) but then return to CWP during the allotted time period. 2.70 Where a claimant completes 26 weeks work placement participation prior to completion of allotted time, providers must continue to deliver provider-led jobsearch support (a minimum of 4 hours) and may also continue to work with claimants to consolidate skills and experience and work towards securing employment (for the remainder of allotted time). For further information regarding definitions please see Annex 3. CWP Tracking Period 2.71 A provider’s delivery requirements and the claimant’s CWP participation requirements cease on completion of allotted time. The CWP tracking period will be a period of 2 weeks following the end of allotted time. During the tracking period providers are not required to work with claimants and can no longer mandate them to undertake activity. 2.72 Employment which commences within the tracking period may contribute to job outcomes. Employment periods counting towards a job outcome can be cumulative within the claimant's allotted time and tracking period (multiple breaks and/or job starts acceptable), but must be continuous once the tracking period has ended (no breaks). JSA and UC Conditionality while participating on CWP 2.73 Whilst on CWP, claimants will remain on JSA or UC and therefore will be required to attend the Jobcentre for jobsearch reviews (generally fortnightly) and confirm they are continuing to meet JSA or UC conditionality (actively seeking and available for work). Wherever possible JCP will arrange a suitable time to ensure that this or any other required attendance does not impact negatively on the claimant’s work placement. 2.74 Where it is not possible to make such an arrangement, and a claimants JCP jobsearch review falls within a proposed period of attendance providers must allow claimants time to attend and ensure reasonable (in the claimant’s circumstances) travel time from the placement to the attendance site and back again is factored into any planning for placement attendance and any mandation to do so. 2.75 In these circumstances providers may count the claimants travel and attendance at JCP jobsearch reviews towards the claimant’s weekly attendance but must ensure they document and evidence. 15 Protect: Commercial/ Policy/ Management Claimant Mandation and Benefit Sanctions 2.76 Participation in CWP is mandatory for all claimants referred to CWP where they are mandated to undertake an activity appropriate to CWP. Providers may use mandation to ensure claimants attend appointments, complete activity (such as provider-led jobsearch), and meet contractual requirements (e.g. starting a work placement within 20 working days of the JCP referral). 2.77 Mandation involves notifying the claimant in writing of the specific action that they are required to undertake and only mandated actions have sanctionable consequences (Further information regarding mandation and the procedural and legal regulations that providers are required to adhere to will be detailed in CWP provider guidance). 2.78 During support and where attendance is mandated, if a claimant is deemed to have acted in a way that could give rise to a benefit sanction, (e.g. failing to comply/ participate/ attend, as mandated) providers are required to immediately (within 24 hours of failure to comply) make Decision Making and Appeals (DMA) referrals, and keep supporting evidence, which includes information regarding: Refusing a place on CWP when notified of the requirement to attend by JCP, demonstrated by a failure to attend an initial engagement meeting; Failure to attend or participate in any meeting or activity without the previous agreement of the provider, having been notified of the requirement to attend by the scheme provider; and Losing a place on a CWP through misconduct. 2.79 Please Note: The sanction regime for CWP is a 4 week sanction for the first offence followed by a further 13 week sanction for a second offence within 12 months. The sanction will remain in place even if the customer re-engages with CWP. 2.80 The initiation of the sanctions process is the responsibility of the provider. A DWP Decision Maker will then have responsibility for making a decision as to whether or not a sanction should be applied to the claimant’s JSA/ UC. 2.81 For the purposes of CWP, providers will make DMA referrals to specific Labour Market Decision Making (LMDM) teams. It is our current assumption that for the majority of cases this will be via unencrypted email rather than by post. 2.82 The unencrypted e-mail process also permits the LMDM teams to send sanction decision notifications back to the providers via unencrypted email. 2.83 The unencrypted e-mail process only allows for one claimant DMA referral to be raised per e-mail, and it must be built into your IT systems and internal processes to allow for the raising of DMA referrals as per DWP security exemption for unencrypted e-mails (Further information regarding DMA referrals will be detailed in CWP provider guidance). 16 Protect: Commercial/ Policy/ Management 2.84 Please Note: While we expect the vast majority of DMA referrals to be made via unencrypted e-mail, there maybe a very small number that you may need to make clerically. Claimant Changes of Circumstance/ Sickness/ Absence 2.85 It is the responsibility of the claimant to notify JCP of any change in their circumstances that occur whilst they are on CWP provision. Where a claimant informs a provider of a Change of Circumstance (CoC), they are to direct claimants to immediately report the change to JCP. 2.86 JCP will then review the CoC and notify providers of the change. Providers must then consider the impact of the CoC on their engagement/ support with the claimant. 2.87 Where the provider is notified that a claimant is absent from provision due to sickness the provider must notify JCP immediately. The provider must also immediately notify JCP where the claimant is absent from provision due to e.g. a domestic emergency, job interview, medical appointment, funeral etc (this list is not exhaustive) JCP will then advise next steps (further information will be detailed in CWP Provider Guidance). Participant changes address 2.88 JCP will notify providers if a claimant changes their address and also if the change affects the claimants’ participation. 2.89 Once the claimant has started CWP, if the change of address means that the claimant continues to attend a JCP office within the providers CPA, their participation on the provision will be unaffected. However, if the change means that the participant will attend at JCP office outside the providers CPA, providers will be expected to consider if continued participation is appropriate. 2.90 If the placement remains in the claimants local travel to work area participation should continue. 2.91 If the claimant moves address to a CPA where commuting to provision is unreasonable a providers delivery requirements will cease. However, where possible and where suitable arrangements can be put in place (e.g. where providers have a delivery presence in the new CPA, or choose to deliver provision through a sub-contracting arrangement) providers should continue to work with claimants and will remain eligible to claim for outcomes provided definitions are met. CWP claimant portfolio 2.92 Providers are required to produce a claimant portfolio specific to each claimant and their work placement(s). 2.93 The claimant portfolio must be of a professional standard which claimants can use to market themselves to perspective employers, showcasing their employability and development of the disciplines and skills associated with sustained employment. 17 Protect: Commercial/ Policy/ Management 2.94 Following liaison with the work placement host, providers must deliver a portfolio that includes: 2.95 The claimant’s updated Curriculum Vitae (CV); A claimant specific provider placement reference detailing positive claimant performance during the placement(s) (Including disciplines demonstrated e.g. timekeeping, attitude, participation etc) and also the work related skills the claimant has developed and how they have done so (wherever possible and appropriate relating this to the claimant’s desired employment sector and/or occupation type, and local labour market); and, Separate placement host/ employer references (where appropriate). The claimant portfolio is to be delivered to the claimant when they complete CWP and providers must retain evidence (endorsed by the claimant) of doing so. The provider must also ensure a copy of the information included in the claimant portfolio is retained with the individual claimant record. For further information regarding the claimant portfolio please see Annex 11. CWP claimant provision exit feedback 2.96 Alongside the information delivered to the claimant in the claimant portfolio the provider must also send claimant information to JCP in the form of exit feedback. 2.97 In addition to the claimant CV, provider performance reference and claimant portfolio information, exit feedback must also include, an overview of the placement including why the placement was chosen for the claimant, details of any issues encountered and how they were overcome (e.g. with starting or sustaining a suitable placement/ employment, timekeeping, attitude, participation etc) and suggested next steps. 2.98 Please Note: The provider must send a copy of the exit feedback, CV and Provider reference to JCP with the original retained with the individual claimant record by the provider. 2.99 The exit feedback must be returned to JCP within 10 working days of the claimant completing CWP and will be used by JCP to take forward and build on any progress made. For further information regarding CWP exit feedback please see Annex 11. 18 Protect: Commercial/ Policy/ Management PRaP Actions 2.100 There are points within the CWP claimant journey where providers must ensure they update CWP referrals on the Provider Referrals and Payments (PRaP) system. The below are the key actions required: Acknowledge each CWP referral. Record a CWP start for each claimant (The contractual target is within 20 working days of the CWP referral). Record where a claimant has failed to attend their initial engagement meeting within 2 working days of the failure to attend (this must also be within the initial 20 day period). Record where a claimant has failed to start their work placement within 2 working days of the failure to start (this must also be within the initial 20 day period). Where making outcome claims, record all details of all employment AND work placement information (including work placement sector e.g. admin/ clerical, charity shop - retail etc) that is in relation to start, job outcome or completion fee claims in the Job Details screen, prior to the claims. Where eligible, record job outcome and/or completion outcome fee claims. Further information regarding PRaP actions will be detailed in CWP provider guidance. 2.101 DWP will use Management Information (MI) presented by PRaP for the ongoing management of the provision and for discussion with individual providers. For further information regarding performance please see Section 5. 19 Protect: Commercial/ Policy/ Management 3. PERFORMANCE AND PAYMENT MODEL Contract Packages, including indicative budgets and volumes 3.01 For information regarding details of the Contract Package Area (CPA), including indicative volumes, budgets and competition parameters for the CPA please see Annex 1. Payment Model 3.02 The payment model will comprise four payments: A Start fee (20% of the total contract value); A Short Completion Outcome fee (20% of the total contract value); A Long Completion Outcome fee (30% of the total contract value); and A Job Outcome fee (30% of the total contract value). Start fee 3.03 20% of the total contract value Completion Outcome fees 50% of the total contract value Job Outcome fee 30% of the total contract value Short Completion Outcome fee 20% of the total contract value Long Completion Outcome fee 30% of the total contract value Contract values are fixed and further information in relation to indicative volumes and budget is provided in Annex 1. Information in relation to the tender evaluation process is outlined in the Instructions to Potential Suppliers. CWP Start Fee: 3.04 Providers will be eligible to claim a Start Fee once the claimant has achieved a CWP Start and has a CWP Start recorded on PRaP. In order to record a CWP Start a provider must ensure a claimant has participated in an initial engagement meeting and subsequently starts a work placement, (or starts employment). Short Completion Outcome Fee: 3.05 Providers will be eligible to claim a Short Completion Outcome Fee once a claimant (within the 30 week allotted time) has; Completed a period of between 12 and 21 weeks work placement attendance (this may be made up of a number of placements); Or, Completed a period of between 12 and 21 weeks employment; Or, Completed a combination of employment and work placement attendance that totals a period of between 12 and 21 weeks. For further information regarding definitions please see Annex 3. 20 Protect: Commercial/ Policy/ Management Long Completion Outcome Fee: 3.06 Providers will be eligible to claim a Long Completion Outcome Fee once a claimant (within the 30 week allotted time) has; Completed a period of between 22 and 26 weeks work placement attendance (this may be made up of a number of placements); Or, Completed a period of between 22 and 26 weeks employment; Or, Completed a combination of employment and work placement attendance that totals a period of between 22 and 26 weeks. Job Outcome Fee: 3.07 Providers will be eligible to claim a Job Outcome Fee where a claimant has been in employment for a cumulative period of 26 weeks, where periods of employment begin on or after the Start Date and within the 30 week allotted time (or within the 2 week tracking period). For further information regarding definitions please see Annex 3. Validation 3.08 Providers will be required to hold adequate information to support claims for fees. For further information regarding evidence requirements please see Annex 10. 3.09 DWP will validate payments on a regular basis by conducting a series of pre and post payment checks. 3.10 Providers must ensure that they have the claimant’s written, informed consent allowing DWP to contact both a claimant’s workplace host organisations directly and also any potential employers. For further information please see Annex 5. Performance – Information for Potential Suppliers 3.11 Performance offers will be a key element of tenders and the Department is looking for performance offers on: 3.12 Short completion outcomes; and, Long completions outcomes. We expect providers to set themselves stretching yet achievable targets. Short and Long Completion Outcomes Performance Expectation 3.13 We will pay for both short and long completions based on your performance offer as a percentage of the total contract value. As part of your pricing proposal you will be asked for both your short and long completion performance offers. 3.14 Please Note: There are no pre-determined minimum expectations on these elements. 21 Protect: Commercial/ Policy/ Management Job Outcomes 3.15 We will pay for job outcomes based on 30% of the total contract value. 3.16 The Job Outcome performance is set at 20% of starts achieving a job outcome. This is built into the Pricing Proposal. It should be noted that the 20% does not represent a contractual minimum performance level and should be viewed as describing the maximum number of payable job outcomes. Delivery Standards 3.17 We are keen to ensure that work placements are of benefit to the community and appropriate to the claimants referred. To deliver this, provider performance will be assessed against a series of minimum performance and service levels which are outlined in Annex 4. Payments to Providers 3.18 All payments will be made via PRaP. Please note, that DWP can only make direct payments to United Kingdom and Northern Ireland bank accounts. 22 Protect: Commercial/ Policy/ Management 4. ADDITIONAL INFORMATION AND DELIVERY REQUIREMENTS 4.01 This section provides additional information providers may wish to consider when setting out their tender, and expected delivery standards. Partnership Working Working with Government, DWP and JCP 4.02 During the lifetime of the contracts, there will be regular interactions between providers and JCP staff to ensure the effective delivery of provision and services to claimants. Working with strategic and local partners 4.03 Partnerships are central to the delivery of DWP objectives and statutory duties and DWP believes that effective partnership working will be the key to the delivery of the programme. Working with employers and work placement hosts 4.04 We require providers to work with local organisations and the voluntary sector, to source full time work placements. These must be supervised, with tasks similar to those they might experience in a normal working environment and will encourage the development of crucial disciplines associated with sustained employment, while at the same time making a contribution to their community. Annex 5 provides further information on all these areas. Delivery Requirements Referrals and payment system 4.05 Providers will use the Provider Referrals and Payments (PRaP) system to receive their referrals and to record claimant activity. When a CWP Start date, Short Completion date, Long Completion Date or Job Outcome details are entered into PRaP it will prompt the system to release a payment, subject to validation by DWP (See Annex 5 for further information on making claims for payments). 4.06 Providers will therefore need to have met relevant security requirements when contracts go live. More information on the PRaP system can be found at: http://www.dwp.gov.uk/supplying-dwp/what-we-buy/welfare-to-work-services/prap/ 4.07 It should be noted that while the vast majority of referrals will be made through PRaP, there maybe a very small number of referrals made clerically, not through PRaP. These are cases where JCP has granted the claimant 'Special Customer Record Status' due to certain personal circumstances (further information regarding SCRs is available in Chapter 2 of Generic Provider Guidance). 4.08 Direct access to PRaP will be limited to CWP Prime providers. 23 Protect: Commercial/ Policy/ Management Business Continuity 4.09 As part of the contract start up, providers will be asked to supply details of how business continuity arrangements will be implemented and how these requirements will be covered. We expect providers to: Provide robust Business Continuity Plans and Disaster Recovery Arrangements for all services; Provide DWP with sufficient evidence to demonstrate these are in place; Regularly test all contingency arrangements, providing relevant evidence and outcomes of tests to DWP via Account Managers; and Immediately notify DWP in the event of a business continuity incident or a significant disaster. Claimant feedback and complaints handling 4.10 Providers must have an appropriate complaints process across the whole supply chain to attempt to resolve claimants’ complaints. Where complaints cannot be resolved, a claimant can complain to the Independent Case Examiner (ICE). ICE will mediate between the prime provider and claimant to attempt to broker a resolution. 4.11 If a resolution cannot be agreed between either party, ICE will undertake a full investigation of the complaint. If the complaint is upheld at this stage, in part or in full, then the provider will be charged a fee of £5,000 and will also be liable for any financial redress recommended by ICE. In the event that the complaint against the prime contractor or sub-contractor is dismissed, no fee shall be payable. Any fees in respect of complaints that have been upheld against the prime contractor or the sub-contractor and any financial redress due to the claimant shall be paid within four (4) weeks of the date of the ICE final investigation report. 4.12 Further information regarding complaint resolution can be found in the: DWP providers Complaint resolution core briefing pack. Data Storage and Security 4.13 Providers will be required to comply with overall DWP data storage and data movement requirements. These obligations are included in the standard Terms & Conditions and should be made available to a provider's planning and IT departments. Annex 5 outlines data protections and security requirements. Legal Requirements and Minimum Standards 4.14 Providers must ensure that they remain compliant with current and future changes in the law, supporting the Secretary of State in meeting all obligations under the relevant legislation and principal regulations as set out in the Terms and Conditions, and fraud prevention covered in the contract at Clause A8. 4.15 Additionally, providers will need to have met the minimum standards for equality, diversity and equal opportunities including training and diversity plans throughout the supply chain and also that chosen work placement host organisations also adhere. 24 Protect: Commercial/ Policy/ Management Code of Conduct and Merlin Standard 4.16 Providers must ensure that all sub-contractual relationships adhere to the DWP Code of Conduct and they attain the Merlin Standard. Information on the Code of Conduct and Merlin Standard was included in the Framework specification. Providers will be assessed against the Merlin Standard by a third party organisation within a year of contract go live and every two years thereafter. For further information regarding the Merlin Standard, please see: http://www.merlinstandard.co.uk/downloads/GMN%20%20The%20Merlin%20Standard.pdf and; http://www.merlinstandard.co.uk/downloads/The%20Merlin%20Standard%20%20About%20Assessments.pdf. Supplier Charter 4.17 The Supplier Charter outlines how DWP expects to build strong provider relationships in order to deliver joint objectives, including what providers can expect from DWP and what DWP expects from providers. Please see: http://www.dwp.gov.uk/docs/dwpsupplier-charter.pdf 25 Protect: Commercial/ Policy/ Management 5. QUALITY, EVALUATION, ACCOUNT AND PERFORMANCE MANAGEMENT 5.01 This section provides a summary of the information requirements to meet contractual obligations relating to quality, evaluation, performance and contract management (Further details will be set out in provider guidance). 5.02 DWP is committed to raising the standards of its contracted provision making continuous improvement an integral part of its contracting arrangements. Performance Management and Account Management 5.03 CWP contracts will be managed by Account Managers and Performance Managers. Provider performance is based on an assessment of performance priority which considers a range of factors including contract value, compliance with the contract, performance and security. 5.04 Providers will be responsible for managing the contract, including addressing poor performance, arrangements with the placement organisation and also the performance of their sub-contractors. The provider will need to ensure that all systems and processes used for the monitoring and recording of performance are robust, provide a clear audit trail of evidence, and give confidence to DWP that the provider and its supply chain are delivering the Programme in accordance with the provider’s overall contractual obligations. 5.05 The provider must appoint appropriate named contacts who will work with the DWP Account Manager and Performance Managers to ensure that CWP is delivered as specified in the contract and that required standards and performance levels are met. Performance 5.06 DWP Performance Manager’s will hold regular Contract Performance Review (CPR) meetings with providers which will focus on the achieving contractual performance and service targets (see Annex 4) and improving performance and delivery in line with the Contract. Staff representing JCP districts and Benefit Delivery Centres may also attend these meetings. 5.07 DWP will use MI presented by PRaP for the ongoing management of the provision and for discussion with individual providers. 5.08 As DWP is committed to transparency on how its programmes are working, providers need to be aware that MI may also feed into published Official Statistics on CWP. Consequently providers must treat information they have access to as restricted, and for their use only, ahead of formal publication. Official Statistics may also cover performance expectations at provider level. 26 Protect: Commercial/ Policy/ Management ESF Compliance Monitoring Officers 5.09 In England only (i.e. all CPAs apart from CPA 8 and CPA 13) the Compliance Monitoring Officer’s (CMO) role is to perform regular evidence based checks that all ESF and Match funded Providers are adhering to the delivery models set out in their contracts. CMOs also check that the ESF Regulatory Requirements, in terms of Marketing & Publicity; Sustainable Development; Equality & Diversity; Document Retention and Health (in London only) are being adhered to. 5.10 The CMOs monitoring visits include checking samples of participant records to validate eligibility, activity and payment for these individuals supported by the Prime Provider and their supply chain. 5.11 All issues arising from CMO monitoring visits are reported to the Provider, Performance Management Team, Account Manager and Provider Assurance Team. 5.12 Contract review meetings with DWP Performance Managers will include discussions around compliance issues identified by CMOs. Further information Regarding CMO will be detailed in the CWP Provider Guidance. Contracted Employment Programmes (CEP) Provider Assurance Team 5.13 The primary purpose of the (CEP) Provider Assurance Team is to provide the DWP Contracted Customer Services Director with an assurance that: 5.14 This work is carried out by reviewing providers’ internal control systems to assess their ability to manage risk across four key areas: 5.15 Payments made to DWP Contracted Employment Programme Providers are in accordance with DWP and Treasury requirements; Public funds and DWP data are protected; and, Value for money has been obtained. 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 claimants through provision and generally looks to ensure that DWP is getting the service it is paying for. This section also covers management of sub-contractors; Financial Procedures – looks to ensure that providers have in place effective systems to support their claims for payment, including appropriate segregation of duties; and, Data Security – looks to ensure that providers have in place adequate systems to safeguard DWP data whilst it is being stored and/or transmitted around their organisations. The Provider Assurance Team operate at a national level enabling them to present CEP providers operating across regions with a single view of the effectiveness of their systems – each provider will have a nominated Senior Provider Assurance Manager and therefore a single point of contact within DWP for management of assurance related issues/concerns. 27 Protect: Commercial/ Policy/ Management 5.16 On completion of each review, providers are awarded an assurance rating from the following four categories – weak, limited, reasonable and strong. They are also sent a formal report which details the review findings including key strengths and areas for improvement; where weaknesses have been identified they are asked to complete an action plan setting out appropriate steps for improvement and this is followed up at an agreed point. 5.17 The rating awarded will determine the timescale for subsequent visits and this ranges from within 3 months, where the assurance level is weak up to 12-18 months where the assurance level is strong. 5.18 Findings from each review are routinely reported to the relevant contract manager/account manager and other DWP stakeholders but specific action is also taken in the following circumstances: Where a provider fails to improve on a weak or limited assurance level, the account manager will take remedial action which may lead to breach activities if the provider fails to improve. Where there are suspicions that a provider may be acting inappropriately the team will refer to Internal Investigations as the experts trained in the legalities and techniques required to do formal investigations. Where there are serious concerns around data security these are reported through the respective channels to colleagues in Supply Chain Information Assurance Team. 5.19 The results of any investigations carried out by these teams are subsequently fed back to the Provider Assurance Team and this information is in turn used to inform future reviews and target specific areas for testing. 5.20 The Provider Assurance Team will work with successful providers to ensure that they understand what is expected of them and are, therefore, adequately equipped to develop robust systems to support their service delivery model when CWP goes live. Programme Evaluation 5.21 Evaluation is a key aspect of the programme. The evaluation will seek to determine the success of the overall support for the target group and on claimant outcomes. DWP plan to conduct a combination of in-house impact assessments which may be supplemented by some externally commissioned research. 5.22 In England only (i.e. all CPAs apart from CPA 8 and CPA 13) ESF Evaluations, conducted by the England Managing Authority, may also include this provision. For further information regarding ESF please see Annex 9. 5.23 Researchers may wish to visit and interview providers as part of the evaluation. Providers will be contacted in advance of any fieldwork. Providers are required to fully co-operate with programme evaluation activity commissioned by DWP. 28 Protect: Commercial/ Policy/ Management Annex 1 CONTRACT PACKAGES, INDICATIVE VOLUMES AND BUDGET A1.1. We will award 18 contracts for Extended Work Activity. One to each of the Contract Package Areas (CPAs). The Districts/ CPAs aligned with the current Work Programme CPAs are detailed below: Table 1 No. of Providers per CPA CPA JCP Districts CPA 1 East of England Bedfordshire and Hertfordshire; Cambridge and Suffolk; Essex; and Norfolk. Nottinghamshire; Derbyshire; Lincolnshire and Rutland; and Leicestershire and Northamptonshire. Ealing; Hammersmith & Fulham; Brent; Harrow; Hillingdon; Hounslow; Richmond Upon Thames; Kingston Upon Thames; Wandsworth; Enfield; Kensington & Chelsea; Barnet; Camden; Westminster; Islington; and Haringey. Hackney; Newham; Tower Hamlets; Barking & Dagenham; Redbridge; Havering; Waltham Forest; City of London; Croydon; Bexley; Lambeth; Bromley; Greenwich; Lewisham; Southwark; Merton; and Sutton. Northumbria; South Tyne and Wear Valley; and Tees Valley. Cumbria and Lancashire; Merseyside; and Halton. Greater Manchester Central; Greater Manchester East and West; and Cheshire and Warrington. Ayrshire, Dumfries, Galloway and Inverclyde; Edinburgh, Lothian and Borders; Forth Valley, Fife and Tayside; Glasgow; Highlands, Islands, Clyde Coast and Grampian; and Lanarkshire and East Dunbartonshire. Hampshire and Isle of Wight; and Thames Valley (Berkshire, Buckinghamshire, Oxfordshire). CPA 2 East Midlands CPA 3 London CPA 4 London CPA 5 North East CPA 6 North West CPA 7 North West CPA 8 Scotland CPA 9 South East CPA 10 South East Kent; and Surrey and Sussex. 29 1 1 1 1 1 1 1 1 1 1 Protect: Commercial/ Policy/ Management CPA 11 South West CPA 12 South West CPA 13 Wales CPA 14 West Midlands CPA 15 West Midlands CPA 16 Yorkshire and The Humber CPA 17 Yorkshire and The Humber CPA 18 Yorkshire and The Humber Devon and Cornwall; and Dorset and Somerset. Gloucester, Wiltshire, and Swindon; and West of England. North and Mid Wales; South West Wales; South Wales Valleys; and South East Wales. 1 1 1 Birmingham and Solihull; and Black Country. 1 Coventry and Warwickshire; Staffordshire; and The Marches. 1 West Yorkshire. 1 South Yorkshire. 1 North East Yorkshire and The Humber. 1 A1.2. Please Note: In England only (i.e. all CPAs apart from CPA 8 and CPA 13) ESF requirements will apply. For further information regarding ESF please see Annex 9. Indicative Volumes and Budget A1.3. Set out below, is the maximum budget and indicative volumes by CPA. Providers should note that DWP does not guarantee volumes. These are the maximum volumes per CPA. A1.4. Please Note: The below budgets and indicative volumes are based on an April 2014 go-live. Table 2 Contract Package Area CPA 1 East of England. CPA 2 East Midlands. CPA 3 West London. CPA 4 East London. CPA 5 North East. CPA 6 Merseyside, Halton, Cumbria & Lancashire. 30 Indicative starts/ by CPA Maximum Budget (£ Million) 8,800 17.6 8,800 17.6 7,100 14.2 11,400 22.8 8,900 17.8 8,100 16.2 Protect: Commercial/ Policy/ Management CPA 7 North, West and Greater Manchester, Cheshire & Warrington. CPA 8 Scotland. CPA 9 Thames Valley, Hampshire & Isle of Wight. CPA 10 Surrey, Sussex & Kent. CPA 11 Devon, Cornwall, Somerset & Dorset. CPA 12 Gloucestershire, Wiltshire & West of England. CPA 13 Wales. CPA 14 Birmingham, Solihull & Black Country. CPA 15 Coventry, Warwickshire, Staffordshire & The Marches. CPA 16 West Yorkshire. CPA 17 South Yorkshire. CPA 18 North East Yorkshire and the Humber. 31 8,500 17 12,300 24.6 4,700 9.4 5,700 11.4 3,000 6 3,200 6.4 6,600 13.2 10,100 20.2 4,700 9.4 6,500 13 4,300 8.6 4,200 8.4 Protect: Commercial/ Policy/ Management CWP– HIGH-LEVEL PROCESS Annex 2 Within 2 working days of failure Provider initiates immediate DMA referral Claimant fails to attend initial engagement JCP adviser establishes claimant eligibility JCP telephone provider and arrange initial engagement meeting JCP make PRaP referral Provider immediately records 'fail to attend' or 'fail to start' in PRaP Provider claims Short Completion Fee Claimant fails to start work placement as mandated Allotted Time starts JCP action DMA referral Short Completion Fee Claimant achieves 12 -21 weeks in employment/ on placement Claimant attends initial engagement meeting Provider undertakes initial engagement meeting and arranges work placement Provider immediately records 'start' in PRaP Claimant starts work placement/ employment Tracking Period Claimant achieves 26 weeks employment (Job starts within allotted time or tracking period) Job Outcome Fee Start Payment Within 20 Working Days Claimant achieves 22-26 weeks in employment/ on placement 2 weeks Provider claims Long Completion Fee Long Completion Fee Allotted Time 30 week Allotted Time 32 Provider claims Job Outcome Protect: Commercial/ Policy/ Management Annex 3 DEFINITIONS CWP Referral A3.1. The date Jobcentre Plus (JCP): Contacts the provider by telephone and arranges the Initial Engagement Meeting; and, Makes the claimant referral through DWP IT systems. A3.2. Please Note: The referral will not be available to the provider in the Provider Referrals and Payments (PRaP) system until the day following JCP referral. Initial Engagement Meeting A3.3. The initial two-way, face-to-face, one-to-one meeting between the claimant and provider. During Initial Engagement Meeting providers must: Undertake a claimant diagnostic including career guidance and establish suitable work placement provision; Undertake any required work placement pre-entry activity; Identify any additional support requirements (such as childcare, travel etc); Agree claimant provider-led jobsearch activity; Communicate the provider feedback and complaints procedure; Notify claimants of mandatory activities in writing and ensure claimants have a clear understanding of their responsibilities whilst participating on the provision and the consequence of any failure to fulfil requirements imposed; and, Start to develop and agree an individually tailored Action Plan. CWP Start A3.4. A claimant will be deemed to have started on CWP once a provider has: Undertaken the claimant Initial Engagement Meeting; and, Ensured the claimant has started on a work placement, or started Employment. A3.5. Once the claimant has started, providers are required to record the CWP Start date on PRaP. The CWP start date will be the date on which a claimant starts on a work placement, or starts employment (this will trigger the CWP Start Fee). A3.6. The contractual target for starting claimants is for CWP Starts to be achieved and recorded in PRaP within 20 working days of the CWP Referral. A3.7. Please Note: Where claimants fail to attend their initial engagement meeting/ fail to start as required it may not be possible to achieve CWP Starts. Where appropriate providers are required to show that they have taken action and raised timely, appropriate Decision Making and Appeals (DMA) referrals (further information will be available in CWP provider guidance). 33 Protect: Commercial/ Policy/ Management Employment A3.8. To satisfy CWP outcome definitions Employment is defined as: A3.9. For Jobseeker’s Allowance claimants: Employment that takes the claimant offbenefit. For Universal Credit claimants: Employment that takes the claimant off-benefit or above a defined earnings threshold. Please Note: Earning threshold for UC claimant outcomes to be provided. Start Fee A3.10. Providers will be eligible to a Start Fee once the claimant has achieved a CWP Start and has a CWP Start recorded on PRaP. Only one Start Fee will be payable for each claimant per period of Allotted Time. Allotted Time A3.11. The CWP Allotted Time period is 30 weeks. Allotted Time is continuous and starts at the point of the CWP referral. This is the maximum period of time a claimant can spend on provision and is the period in which both Short and Long Completion Outcome definitions must be achieved in. Short Completion Outcome Fee A3.12. Providers will be eligible to claim a Short Completion Outcome Fee once a claimant (within the Allotted Time) has; Completed a period of between 12 and 21 weeks Required Weekly Attendance (this may be made up of a number of placements); Or, Completed a period of between 12 and 21 weeks Employment; Or, Completed a combination of Employment and Required Weekly Attendance that totals a period of between 12 and 21 weeks. A3.13. Only one Short Completion fee can be claimed for each claimant per period of Allotted Time. Please see Completion Outcome Eligibility Examples at the end of this section. Long Completion Outcome Fee A3.14. Providers will be eligible to claim a Long Completion Outcome Fee once a claimant (within Allotted Time) has; Completed a period of between 22 and 26 weeks Required Weekly Attendance (this may be made up of a number of placements); Or, Completed a period of between 22 and 26 weeks Employment; Or, Completed a combination of Employment and Required Weekly Attendance that totals a period of between 22 and 26 weeks. A3.15. Only one Long Completion fee can be claimed for each claimant per period of Allotted Time. Please see Completion Outcome Eligibility Examples at the end of this section. 34 Protect: Commercial/ Policy/ Management Required Weekly Attendance/ Placement Week A3.16. Within each week (a continuous 7 day period) claimed towards Completion Outcome Fees the claimant must undertake (within the Allotted Time): 30 hours* on work placement provision; and, A minimum of 4 hours provider-led jobsearch. A3.17. *unless a claimant has participation restrictions which have been agreed with JCP. Providers will be notified of any participation restrictions within the information delivered within the claimant referral. A3.18. There may be occasions where a claimant cannot meet their attendance requirements due to unavoidable circumstances (e.g. periods of sickness, domestic emergencies, Job Interviews etc) and easements to the required weekly provision attendance may be appropriate (further information will be detailed in CWP provider guidance). CWP Completer A3.19. A claimant will be deemed a CWP Completer where they have completed their Allotted Time or died. Completion Date A3.20. The CWP completion date will be either, the date Allotted Time is completed or, the date the claimant died. A3.21. Please Note: PRaP will auto complete the CWP referral at the point of Allotted Time completion. Tracking Period A3.22. The CWP Tracking Period will be a period of 2 weeks following the end of Allotted Time. Employment which commences within the Tracking Period may contribute to Job Outcome fee eligibility. Job Outcome Fee A3.23. Providers will be eligible to claim a Job Outcome Fee where: The Job Outcome Date is after the Job Start Date; and, The claimant has been in Employment for a cumulative period of 26 weeks, where periods of Employment begin on or after the CWP Start Date and within the Allotted Time (or within the 2 week Tracking Period). A3.24. Please Note: The job outcome period begins to accrue from and including the Job Start Date. Employment periods counting towards a job outcome can be cumulative within the claimant's Allotted Time and Tracking Period (multiple breaks and/or job starts acceptable), but must be continuous once the Tracking Period has ended (no breaks) please see explanation at the end of this section. Only one job outcome fee can be claimed for each claimant per period of Allotted Time. 35 Protect: Commercial/ Policy/ Management Job Outcome Date A3.25. The Job Outcome Fee eligibility date providers record in PRaP. Job Start Date A3.26. The date the claimant starts Employment. A3.27. The job start date must occur on or after the CWP Start Date and within the CWP Allotted Time (or within the 2 week Tracking Period). Timescales in Practice A3.28. Providers must: - Resource a point of contact for JCP to arranging claimant Initial Engagement Meetings. As a minimum providers must have a designated point of contact to field and manage a phone call to book these appointments. - Record in PRaP within 20 working days of each CWP referral, either: - A CWP Start (Undertaking an Initial Engagement Meeting with each claimant and ensuring the claimant either; moves into employment or starts a work placement to do so); or, - A failure to attend/ failure to start (ensuring failures to attend/ failures to start are recorded in PRaP within 2 working days of the failure). - Ensure that appropriate DMA is raised immediately (within 24 hours of failure to comply as mandated). - Ensure that from the point of referral and for the duration of Allotted Time each claimant (unless in Employment) undertakes at a minimum of 4 hours provider-led jobsearch per week until they’re deemed a CWP Completer. - Achieve completion outcomes within the 30 week Allotted Time (which is continuous and commences at point of JCP Referral). - Ensure that on completion of CWP; - Each claimant receives a claimant specific, claimant portfolio; and, - Provision exit feedback is delivered to JCP for each claimant within 10 working days of the claimant completing CWP. - Ensure that Employment that contributes to Job Outcome definitions begins on or after the CWP Start Date and within the Allotted Time (or within the 2 week Tracking Period). 36 Protect: Commercial/ Policy/ Management Completion Outcome Eligibility Examples 37 Protect: Commercial/ Policy/ Management Job Outcome Eligibility Examples 38 Protect: Commercial/ Policy/ Management Annex 4 SERVICE DELIVERY STANDARDS A4.1. The success of CWP will be measured against a series of delivery standards to ensure that the policy intent of the programme is delivered. A4.2. Delivery against respective responsibilities will be monitored through a combination of existing performance management practices, local provider engagement meetings and a range of service delivery standards. Minimum Performance Levels A4.3. Once the contact has gone live, providers will be required to deliver the following targets: 100% of referred claimants achieving either, a CWP Start, or have appropriate DMA activity immediately initiated, with the CWP Start, Fail to Attend or Fail to Start recorded in PRaP within 20 working days of the CWP Referral. Appropriate DMA is immediately raised and evidenced (within 24 hours of failure to comply as mandated). 15% of CWP Starts being converted into Job Outcomes. The performance offer for Short and Long Completion Outcomes being met. No more than 25% of completed work placement weeks involve claimants undertaking retail duties within charity shops. (Please Note: DWP will not be taking action if providers exceed the 25% cap in the first two quarters of the contract). Minimum Service Levels A4.4. Providers are expected to actively manage provision to ensure appropriate action takes place. A4.5. The measures to identify that timely access to provision, appropriate communication channels and robust processes are in place will include: Providers ensuring that a claimant attends an initial engagement meeting within 20 working days of referral, or appropriate DMA is immediately raised and evidenced (within 24 hours of failure to comply). Providers ensuring that the claimant starts a work placement or moves into employment (the contractual target is that this takes place within 20 working days of referral), or appropriate DMA is immediately raised and evidenced (within 24 hours of failure to comply). Providers recording a start (or a Fail to Attend/ Start) in PRaP within 20 working days of the CWP referral. Providers ensuring that Provider-led jobsearch and/or other work-related activity is delivered for a minimum of 30 hours per week for compliant claimants who, do not start CWP (e.g. due to insufficient available placements), or are between placements. 39 Protect: Commercial/ Policy/ Management Providers immediately (within 24 hours of failure to comply) raising appropriate DMA, where a claimant ‘Fails To Attend’ their Initial Engagement Meeting or ‘Fails To Start’ their work placement as mandated. Providers recording in PRaP, where a claimant ‘Fails To Attend’ their Initial Engagement Meeting or ‘Fails To Start’ their work placement as mandated, within two working days of the failure. Providers ensuring that a contact telephone number is supplied for the claimant to use to contact the provider while they are on provision. Providers ensuring claimants participate in 30 hours work placement provision per week (unless participation restrictions apply). Providers ensuring claimants receive a minimum of 4 hours provider-led jobsearch per week. Providers ensuring that where a claimant has started CWP and subsequently fails to comply as mandated, appropriate DMA is immediately (within 24 hours of failure to comply) raised and evidenced (no PRaP action required). Providers ensuring the development and delivery (to the claimant) of a completed, claimant specific, claimant portfolio. Providers ensuring the completion and secure delivery to JCP of claimant feedback within 10 working days of request from JCP. Providers ensuring they meet the requirement to keep documentation to support the work placement(s) start date and future attendance - DWP and/ or auditors, including National Audit Office (NAO) and (in England) ESF auditors can request this documentation at any time. Providers ensuring that the provision environment is conducive with achieving the desired outcomes for the claimant and providers must ensure minimum Health & Safety standards, as laid down in legislation, are met at all times. Providers ensuring that work placements are, of benefit to the community, additional to existing or expected vacancies and that all principles detailed regarding quality of work placements are met. Providers ensuring they undertake required PRaP actions within required timescales. In England only (i.e. all CPAs apart from CPA 8 and CPA 13) it is the provider’s responsibility to adhere to all ESF requirements, including the retention of relevant evidence documentation until at least the end of 2023, and to ensure their supply chain does the same. Providers are ultimately accountable for the ESF compliance of their contract. Further details can be found at Annex 9 - ESF and in the ESF Guidance. A4.6. These targets and standards will be managed by the DWP Performance Managers supported by DWP Account Management. 40 Protect: Commercial/ Policy/ Management Assurance Processes A4.7. It is essential that we can provide assurance to the taxpayer that publicly funded provision is delivering a quality service and value for money has been obtained. This will be measured using the following methods (this list is not exhaustive): Provider representation at local performance meetings as agreed with DWP at posttender negotiations; Provider procedures to handle claimant complaints, which must be available to DWP and ICE upon request; Providers’ annual self-assessment report (further information regarding selfassessment is available in Chapter 7 of Generic Provider Guidance); Performance management process as outlined in section 5 of this document; Payment Validation; Audit by DWP, NAO or (in England) ESF auditors. A4.8. Please Note: The methods detailed above are in addition to the activities carried out by the Provider Assurance Team, detailed in Section 5. 41 Protect: Commercial/ Policy/ Management Annex 5 ADDITIONAL INFORMATION A5.1. Claimants must not be worse off by virtue of attending the CWP. Providers are responsible for travel and additional support costs while the claimant is on provision. The following paragraphs provide the guidelines used by JCP when determining financial support in these areas. Travel expenses A5.2. The provider is responsible for funding the claimant’s travel costs during their time on provision including attendance at their initial engagement meeting, placement interviews, the placement itself and attendance at provider-led jobsearch. The claimant is responsible for meeting travel costs for attending their Jobsearch Reviews with JCP. A5.3. The provider will be required to keep auditable records of travel expenses paid to claimants to provide evidence of payments made. Childcare A5.4. Childcare for attendance should only be funded for time on the placement and attendance at any Engagement Activity if deemed appropriate. Child care must be provided by: Carers registered with Ofsted (Office for Standards in Education), the Scottish Commission for the Regulation of Care or Welsh equivalent; A carer accredited under the Childcare Approval Scheme, run on school premises out of school hours or as an out of hours club by a local authority; or Schools or establishments exempted from registration under the Children’s Act 1989 or operated on Crown property. A5.5. The parent can make alternative arrangements. However, payment cannot be authorised unless the arrangements are in one of the above categories. A5.6. The child/children must satisfy the age requirement (in paragraph A5.7) and be a dependant of and residing with the claimant. A5.7. DWP currently sets its costs for childcare up to the Tax Credit limits. Providers should consider the following limits when developing and pricing their proposals: Help with childcare costs can be paid up to, but not including, the first Tuesday in the September following the child’s 15th birthday; Parents requiring childcare for five days a week can claim up to a maximum of £175 per week for one child and £300 per week for two or more children; and, If the claimant is attending an approved activity of less than five days a week, they can claim up to the maximum daily rates of £35 per day for one child and £60 per day for two or more children. A5.8. Please Note: Providers must not recommend particular childcare facilities to claimants. This is to ensure that DWP and/ or the provider do not take on the liability for the safety 42 Protect: Commercial/ Policy/ Management of children. It is the parents’ responsibility to decide with whom they entrust the care of their children. A5.9. Providers may choose to arrange for a crèche facility to be on their premises. However, they must ensure it is the parents’ choice whether their child uses the facility. Providers must also ensure that any crèche facilities adhere to current legislation. Criminal Records Bureau (CRB) Checks A5.10. Should a work placement require a CRB check providers are responsible for the associated costs. A5.11. Please Note: Where a CRB check is necessary providers remain required to ensure claimants start and participate in work placements (e.g. in the period while awaiting a CRB check, providers should ensure that claimants start and participate in work placements that do not require CRB checks). Additional Support A5.12. Additional support is defined as any support that allows a claimant who needs extra help to attend and participate fully in provision (e.g. clothing and specialist equipment). Providers must, as part of their obligations under the duties in the Equality Act 2010 take the necessary steps to obtain and provide special aids or services that might be needed for participation. Providers must include these costs within the financial part of their proposal. Partnerships A5.13. Providers are encouraged to work with Local Authorities (LA) and local partners to ensure that their proposals reflect the specific needs of claimants in each CPA and take into account local strategies and services. Providers should aim to improve performance and claimant service across the piece, reduce duplication wherever possible and improving the holistic use of public funds in a locality/area. A5.14. Local partners may include, but are not limited to: DWP/ JCP; Regional ESF partners; Employers; Local health services; Voluntary and community sector and specialist organisations; Statutory partners named in the Child Poverty Act; and Sub-Regional Partnerships, including Multi Area Agreement, City Strategy, City Region and emerging Local Enterprise Partnerships. Data Protection A5.15. In order to protect Departmental information appropriately, our providers must put into effect and maintain the security measures and safeguards appropriate to the nature and use of the information throughout their supply chain. All providers of services to DWP must comply, and be able to demonstrate compliance, with the Department’s relevant policies and standards including the DWP Information Systems 43 Protect: Commercial/ Policy/ Management Security Standards. The Standards are based on and follow the same format as International Standard 27001, but with specific reference to the Department’s use. Departmental information must not be processed outside the United Kingdom without the express written permission of DWP in line with the DWP Security Policy For Contractors and DWP Terms & Conditions. A5.16. Security assurance for providers and their supply chain is through completing a draft security plan. Providers will be expected to submit their draft security plans as part of their response to this competition and are expected to maintain this. This will set out the security measures to be implemented and maintained by the prime provider throughout the entire supply chain in relation to all aspects of the service, including processes associated with delivery. Providers must send their draft security plan as part of their tender for the CWP by completing and returning the template. Further information is available in the Instructions to Potential Suppliers. A5.17. Data security is one of the areas risk assessed by the (CEP) Provider Assurance Team. In addition data security will remain subject to spot checks by the Supply Chain Information Assurance Team (SCIAT). Furthermore, the Head of Compliance will continue to regularly report the number and outcomes of data security checks carried out during the previous quarter to the DWP Permanent Secretary. A5.18. In the event of any breach of information security which may or may not result in an investigation by the Information Commissioner’s Office (ICO), DWP will consider whether a major breach of contract has occurred within the T&Cs. Providers will be responsible for paying any fine levied on DWP following an investigation by the ICO. Legislation and Principal Regulations A5.19. Providers must ensure that they remain compliant with current and future changes in the law and DWP Policy. For example: Ensuring the CWP supports the DWP’s Public Sector Equality Duty as outlined in the Equality Act 2010, Providing appropriate services to ensure compatibility with the Equalities Act for example, to enable communication with claimants who do not speak English as a first language or who are deaf, hearing impaired or have a speech impediment; Where the provider is operating in an area with a high minority ethnic population, materials in the appropriate ethnic minority language must be made available on request. Making claims for payment A5.20. Before submitting any claim, providers will need to assure themselves that they only submit claims for payment to which they are entitled. Providers will be expected to make a declaration to this effect. A5.21. To do this, providers will be expected to maintain a robust system of internal control which must include appropriate checks, monitoring arrangements and adequate records to demonstrate that they are entitled to make the claim. 44 Protect: Commercial/ Policy/ Management A5.22. The records maintained need to be sufficient not only to support any claims but also to allow internal management checks and independent validation, for example by DWP and other external bodies. The records maintained should document how and when the employment information was obtained and be made available to test by DWP and other external bodies. A5.23. In England only (i.e. all CPAs apart from CPA 8 and CPA 13) it is the provider’s responsibility to adhere to all ESF requirements and to ensure their supply chain does the same. Providers are ultimately accountable for the ESF compliance of their contract. Further details can be found at Annex 9 - ESF and in the ESF Guidance. Completion fees A5.24. DWP will independently validate completion fees on a regular basis by conducting prepayment checks. These checks will involve DWP contacting the workplace host organisation to validate the information supplied to DWP. Therefore providers will need to ensure that they have the claimant’s written, informed consent allowing DWP to contact workplace host organisations directly. A5.25. It is the provider’s responsibility to obtain this consent and to determine when it is obtained. Failure to obtain this consent may result in DWP not being able to validate providers’ claims. Information, including the legal wording which must be used, will be available in CWP provider guidance. Job outcome fee A5.26. DWP will validate job outcome payments on a regular basis by conducting a series of post payment checks. These checks will be performed at the optimum time to allow DWP systems to be updated. Further details will be provided in CWP provider guidance. A5.27. To enable DWP to validate job outcome payments, providers will need to ensure that they have the claimant’s written, informed consent allowing DWP to contact employers directly. It is the provider’s responsibility to obtain this consent and to determine when it is obtained. Failure to obtain this consent may result in DWP not being able to validate providers’ claims. Information, including the legal wording which must be used, will be available in CWP provider guidance. A5.28. As part of the post-payment validation process, where DWP identifies erroneous job outcomes, not only will these be recovered, but also the error rate will inform extrapolation calculation across the total population of paid claims for the sample period concerned. In order to perform this adjustment a statistically valid sample will be used that is representative across the total paid claim population. 45 Protect: Commercial/ Policy/ Management Annex 6 COMMUNITY BENEFIT PRINCIPLES OF A WORK PLACEMENT A6.1. A work placement must be of benefit to the community over and above the benefit of providing a placement to the individual. This means the role can include: Working directly towards the community benefit goal of the host organisation. In this case the duties of the claimant would contribute directly towards the benefit to the community. An example of this would be the employee working with the public on a community project; Working indirectly towards the community benefit goal of the host organisation. In this case the duties of the claimant would contribute indirectly towards the benefit to the community, as the duties of the claimant would be contributing towards the work of the organisation which delivers community benefit. An example of this could be the employee working ‘behind the scenes’ on the organisation of a community project’; and Working towards the profit of the host organisation, providing that the majority of the role is dedicated towards delivery of benefit to the community. A6.2. Additionally, the provider should consider whether there is an economic profit to the placement organisation and their objectives to deliver community benefit or whether their profit be used for community benefit. A6.3. Placements must be additional to existing or expected vacancies. This is to ensure that employers do not take advantage of CWP as a source of labour at the expense of employing workers in the open labour market. A6.4. Examples of organisation types that come under this definition include; Local authorities and councils; Government Departments and Agencies; Charities and third sector organisations; Social Enterprises; Environmental Agencies; and, Private or Provider organisations (provided DWP is satisfied that the criteria set out throughout this specification have been are met). A6.5. Please Note: this list is not exhaustive. A6.6. Providers should be able to clearly describe to DWP the community benefits the placement is delivering. 46 Protect: Commercial/ Policy/ Management Annex 7 LABOUR MARKET INFORMATION SOURCES A7.1. Providers will be expected to conduct research on the labour market and demographics of the claimant base in the CWP they are tendering in. A7.2. On 17 November 2010, DWP published Analysis of the DWP Working Age Customer Base: http://statistics.dwp.gov.uk/asd/asd1/wacb/wacb_nov2010.pdf A7.3. This analysis supports the commitment by DWP to understand its claimants better by creating a consolidated view of DWP working age claimants from the wealth of information held in Departmental systems. The analysis draws upon well established principles to create ten segments based on shared characteristics, such as length of time on benefits, demographics and situation, mainly drawn from DWP administrative data and supplemented by external socio-demographic profiling information. Providers may find this information useful when considering their service delivery model. A7.4. Detailed analysis, down to CPA and JCP district can be found by accessing the above link. A7.5. Local partners may have a range of data about localities which may help but some other sources of further information on proportions of key claimant groups are: Census Output Area Data on Workless Benefit Customers: http://campaigns.dwp.gov.uk/asd/asd1/tabtools/census_output_area_data/index.ph p?page=census_output_area_data NOMIS Official Labour Market Statistics: https://www.nomisweb.co.uk/Default.asp NOMIS provides a history of information on benefit counts and flows. It is possible to breakdown by geographical areas, certain characteristics, claim durations, occupation sought and recorded destination on leaving benefit. The Office for National Statistics: www.ons.gov.uk produces independent information to improve our understanding of the UK's economy and society. 47 Protect: Commercial/ Policy/ Management Annex 8 SOURCES OF ADDITIONAL INFORMATION A8.1. Further background information can be found in the following: Census Output Area Data on Workless Benefit Customers: http://campaigns.dwp.gov.uk/asd/asd1/tabtools/census_output_area_data/index.ph p?page=census_output_area_data Data Protection Act 1998, Chapter 29: http://www.opsi.gov.uk/acts/acts1998/ukpga_19980029_en_1 Development of a Claimant Experience Metric for Contracted Employment Provision: http://research.dwp.gov.uk/asd/asd5/rports2009-2010/rrep655.pdf) DWP Information Directorate Statistical Tab Tool: http://research.dwp.gov.uk/asd/index.php?page=tabtool DWP Provider Guidance: http://www.dwp.gov.uk/supplying-dwp/what-webuy/welfare-to-work-services/provider-guidance/ Employer Helpdesk: 01256 846414 and email: employerhelpdesk@cabinetoffice.x.gsi.gov.uk Independent Safeguarding Authority: http://isa.homeoffice.gov.uk/ JSA – Help while you look for work: http://www.direct.gov.uk/prod_consum_dg/groups/dg_digitalassets/@dg/@en/@be nefits/documents/digitalasset/dg_199994.pdf NOMIS Official Labour Market Statistics: https://www.nomisweb.co.uk/Default.asp Office of public sector information - UK legislation: http://www.opsi.gov.uk/legislation/uk.htm Office for National Statistics at www.statistics.gov.uk or www.ons.gov.uk The Law Relating to Social Security: http://www.dwp.gov.uk/publications/specialistguides/law-volumes/the-law-relating-to-social-security/ The Scottish Parliament: http://www.scotland.gov.uk/ Welsh Assembly Government : http://new.wales.gov.uk/;jsessionid=V8tgMTPQ4dYTv1ST4m2PypxVDYzqPMyjm70LG1 cByqwrn9GGV6pQ!-1351106478?lang=en Welsh Language Act 1993: http://www.opsi.gov.uk/acts/acts1993/Ukpga_19930038_en_1.htm 48 Protect: Commercial/ Policy/ Management Annex 9 EUROPEAN SOCIAL FUND A9.1. Please Note: This section only applies to Contract Package Areas (CPAs) in England only (i.e. all CPAs apart from CPA 8 and CPA 13). A9.2. It is the provider’s responsibility to adhere to all ESF requirements and to ensure their supply chain does the same. Providers are ultimately accountable for the ESF compliance of their contract. In addition to this annex further details and requirements can be found in the ESF Guidance. ESF requirements for Marketing and Publicity A9.3. The Providers are responsible for complying with contractual requirements for publicity and information-related measures to support ESF, including complying with the publicity requirements of the European Commission. A9.4. Providers must include the costs of producing publicity material in their tenders. A9.5. DWP will work with Providers on the information that their material needs to cover to ensure the relevant DWP and ESF standards are met. DWP must approve all publicity material before publication or use. Further information will be in the Provider Guidance. A9.6. Providers and their supply chain must: Display an ESF 2007-2013 plaque (or equivalent specified by DWP) in their main delivery locations in a prominent place, where it is clearly visible to staff, individuals and wherever possible, others using the building; Use the ESF logo on, all documents providers use to support the delivery of the programme, provider websites and leaflets, forms and letters. Further details can be found in the ESF Guidance; If you or your supply chain are delivering provision in London, you must also use the Mayor of London logo. Providers will also be asked to enter and maintain details of the provision on the forthcoming directory of ESF Skills and Employment Services for London; Remind participants in England of the ESF financial support throughout their activity; Provide Provider and provision details for inclusion in the ESF public databases; Provide DWP with ‘Good News’ stories, including collecting the relevant information and obtaining individuals permissions for use by DWP in publicising on the ESF website; and Issue individuals when they start ESF activity with an ESF leaflet DWPF06 - which explains ESF funding. A9.7. The ESF Managing Authority will maintain a database of contracts on the national ESF website. This will include the names of projects, project Providers and the amount of funding allocated to the project. This will be generated from information supplied by the DWP CFO to the Managing Authority. It may also be used on the European 49 Protect: Commercial/ Policy/ Management Commission’s website. The ESF Managing Authority also publish a communications plan which includes information about the role of Providers in helping to raise awareness of ESF support for employment provision among both ESF individuals and the wider general public. Cross Cutting Themes for ESF Provision A9.8. Providers and their supply chain are required to take action to support ESF cross cutting themes of Gender Equality and Equal Opportunities and Sustainable Development. A9.9. Providers must fully understand the requirements and the following are some key activities that Providers are required to do: Maintain an equality policy, training plans and supplier diversity plan; Ensure that a discrimination complaints procedure is in place. Grievance Policy guidance can be found in Chapter 2, of the Provider Guidance – http://dwp.gov.uk/docs/pg-chapter-2.pdf; Ensure an equal opportunities policy is in place for participants and staff including any key workers; Ensure buildings including outreach centres etc comply with the Equality Act 2010; Support and be involved in equality impact assessments undertaken by the Department; and Ensure a sustainable development policy and implementation plan is in place which must be submitted to the ESF Performance Manager within 6 months of the contract starting and annually thereafter. Guidance on the requirements for sustainable development can be found in Provider Guidance. Additional Cross Cutting Theme for Health A9.10. In addition to the above cross cutting themes the London region identifies Health as an additional cross cutting theme for the ESF programme and the London CPAs are required to support the Health theme. A9.11. Within the London CPAs, the prime Provider will need to have a plan in place within six months of the contract start, in line with the vision for a 'Sustainable London' whose aim is to seek to improve the well-being of all Londoners. http://www.london.gov.uk/esf/cross-cutting-themes/health ESF Documentation Retention Requirements A9.12. Providers in CPAs must keep key documentation in support of the delivery of and payments for ESF provision. It is the Prime Provider’s responsibility to ensure that documents and data can be relied on for ESF audit purposes. The Provider must have robust systems in place to ensure that documentation (paper or electronic) is securely held and is easily retrievable and accessible throughout the retention period. 50 Protect: Commercial/ Policy/ Management A9.13. Providers will be required to retain all relevant documentation until at least 31 December 2023. This must cover: A complete audit trail of all relevant documents at all stages of the process (e.g. participant and claim-related documentation); Documentation down to individual level against a specific contract number to provide evidence of payments claimed from DWP – a key EU audit requirement; and Evidence to show compliance with ESF publicity requirements, sustainable development, equality, diversity and equal opportunities. A9.14. Documentation must be: Properly organised (it is recommended that all the required information for an individual participant is held on a personal file linked to a contract number, which is cross-referenced to a main file to aid retrieval of specific documents to support audit activity); Maintained in good condition to protect the integrity of the information; and be, Secure, controlled and easy to access if and when required for audit purposes throughout the retention period. A9.15. A document retention policy must be in place and submitted to DWP within four weeks of the contract start. This must include details on how the policy will be implemented, maintained and monitored by the Prime Provider. A9.16. The Prime Provider (including their supply chain) can be audited by DWP Internal Auditors, ESF Audit Authority, the European Court of Auditors or the European Commission and the DWP ESF Managing Authority. A9.17. Further details on ESF documentation requirements including electronic document retention are included in the Provider Guidance. Evaluation and Reporting A9.18. Independent evaluation will be an important element of the ESF provision and Providers will be asked to cooperate in a range of evaluations, commissioned by the DWP ESF Managing Authority and the DWP CFO. A9.19. As part of this evaluation work researchers may wish to visit and interview Providers and their supply chain, participants and employers involved in the provision. Providers may be asked to provide the relevant contact details and in order to facilitate this process Providers should seek advance agreement from participants to take part in evaluations. A9.20. Advance notice will be given to Providers where their cooperation is required. A9.21. An end of project evaluation report will also be required highlighting innovative delivery practices and achievements against the cross cutting themes. 51 Protect: Commercial/ Policy/ Management Annex 10 EVIDENCE REQUIREMENTS A10.1. Evidence that can support delivery of the provision as specified within this document must be kept by the provider. A10.2. Providers in CPAs must keep key documentation about the delivery of provision. It is the Prime Provider’s responsibility to ensure that documents and data can be relied on. The Provider must have robust systems in place to ensure that documentation (paper or electronic) is securely held and are easily accessible. A10.3. Please Note: DWP and The National Archives recommend that electronically held data is migrated onto new formats every 5 years to ensure the data remains readable and usable. A10.4. Table 1 (over the next pages) lists the documentation that must be retained as a minimum. A10.5. Please Note: In England only, to meet audit requirements for ESF this evidence must be retained until at least 31 December 2023. 52 Protect: Commercial/ Policy/ Management Table 1 - Evidence Requirements Timing Process Evidence Description Responsibility Referral in JCP systems (LMS, WSP, PRaP, clerical) – key date from which claim periods are counted from. Ref These are: Day 1 Adviser Referral Initial Engagement Meeting and Action Planning Contractual Target Within 20 Working Days Start fee o Allotted Time: 30 Week period in which Start fee and Completion fee definitions must be met. o Tracking Period: 2 Week period that follows the allotted time in which time (30 week allotted time + 2 week tracking period) all Job Starts which contribute to towards Job Outcome definitions must occur. DWP 2.10 Provider 2.14 2.16 A3.3 Provider 2.18 A3.4 Information from JSAg/ Claimant Commitment delivered within referral information supports evidence of any restrictions to participation that may apply. Start of Action Planning activities. Provider must chart all the activities agreed and signed by the participant throughout their time on the provision. Start of placement: Confirmation of placement, organisation address and contact details. Details of agreed placement hours to be undertaken. If reduced hours agreed, evidence of any existing restrictions provided in referral information, or change of circumstance notified by JCP. Providers may wish to record this on the Action Plan. OR Start of employment: Confirmation of employment, organisation address and contact details. Providers may wish to record this on the Action Plan. 53 Protect: Commercial/ Policy/ Management Timing After 20 Working Days Prior to Work Placement Process Jobsearch activity of 30 hours per week in absence of Work Placement Placement Evidence Description Evidence will be required for DWP Performance Management rather than audit purposes. Action plan should show agreed activity requirement. Weekly (a continuous 7 day period) evidence should include hour’s undertaken records (30 hours unless restricted availability) endorsed by participant and deliverer of activity. Providers must be able to provide evidence that work placements are of benefit to the community over and above the benefit of providing a placement to the individual. This means providing evidence and assurance how the work placement is: o Working directly towards the community benefit goal of the host organisation. In this case the duties of the claimant would contribute directly towards the benefit to the community. An example of this would be the employee working with the public on a community project; o Working indirectly towards the community benefit goal of the host organisation. In this case the duties of the claimant would contribute indirectly towards the benefit to the community, as the duties of the claimant would be contributing towards the work of the organisation which delivers community benefit. An example of this could be the employee working ‘behind the scenes’ on the organisation of a community project’; and, o Working towards the profit of the host organisation, providing that the majority of the role is dedicated towards delivery of benefit to the community. Providers must also be able to assure and evidence: o A diverse range of placements; o Placements are additional to existing or expected vacancies; and, o All principles detailed regarding quality of work placements are met. Providers will be responsible for ensuring that host organisations adhere to these principles and obtain confirmation that placements offered by hosts do not displace existing jobs. 54 Responsibility Ref Provider 2.65 Provider 2.51 A6 Protect: Commercial/ Policy/ Management Timing Process Evidence Description Evidence that within the 30 weeks allotted time there is either 12 weeks (for short completion fee) or, 22 weeks (for long completion fee) evidence of: Responsibility Ref o Employment: including organisation address and contact details and evidence supporting employment periods; OR, Within 30 Week Allotted Time Throughout 30 Week Allotted Time At 30 Weeks Completion fees Provider-led Jobsearch Claimant Portfolio Provision Exit Feedback After 26 Weeks Employment Job Outcome fee o 30 hours per week placement participation plus a minimum of 4 hours job search activity: - Evidence to support placement participation must include placement sector, weekly attendance and hours undertaken records endorsed by claimant and placement provider. - Evidence to support weekly provider-led jobsearch must include hour’s undertaken records endorsed by claimant and deliverer of provider-led jobsearch. - Action plan must show agreed activity requirement; OR, o A combination of both. Weekly evidence of provider-led jobsearch must include hour’s undertaken records endorsed by claimant and deliverer of providerled jobsearch. Action plan must show agreed activity requirement. Evidence (endorsed by the claimant) to support that the claimant received a claimant portfolio with a copy of the information included in the portfolio retained. On completion of provision original provider exit feedback is retained with a copy being sent to Jobcentre Plus for information on request. Evidence to show: o Claimant has been in employment for a cumulative period of 26 weeks where job starts begin on or after the CWP start date and within the allotted time and tracking period. o Once the tracking period has ended, employment has been continuous. o JO definition is met and employment has taken the claimant off JSA or above Universal Credit threshold. 55 Provider 2.59 A3.12 A3.14 Provider 2.59 Provider 2.92 A11 Provider 2.96 A11 Provider and DWP A3.8 A3.23 Protect: Commercial/ Policy/ Management Annex 11 CWP CLAIMANT PORTFOLIO AND EXIT FEEDBACK Claimant Portfolio A11.1. The below details the information we would expect to see included within a claimant portfolio. Claimant portfolios should be of a professional standard in line with a provider’s delivery proposal (e.g. we would not expect a portfolio to simply be a piece of paper in a plastic wallet). A11.2. Providers should devise their own professional format for the delivery of claimant portfolios but must ensure as a minimum the, claimant CV, provider placement reference and any placement host/ employer references (where received) are supplied. A11.3. Providers should include any additional information/ products/ certificates they feel may help the claimant market themselves to prospective employers. The curriculum vitae (CV) A11.4. Providers must ensure that the claimant CV is: Typed; Short and succinct, 2 sides of a sheet of A4 paper is normally enough; and, Current, relevant and positive, emphasising the claimant’s achievements, strengths, and successes. A11.5. There is no set format. We are not prescriptive regarding the format of the claimant CV. However, providers must ensure they include at least the following information: Claimant contact details: name, address, phone number, e-mail address; A personal profile: A short succinct statement or bullet points at the beginning of the CV to sell the claimant, their skills, experience and personal qualities; The claimant’s career history: Including dates (including work placement(s), with the most recent detailed first); Qualifications, training and skills: Including any qualifications and training from previous jobs (or the work placement, where appropriate) with the most recent first and include any qualifications from school/ college/ university, certifications, licenses, etc; and, References: Two or more, with at least one related to employment or placement. We expect that either the provider or work placement host should be one of the referees with the other being the claimant’s most recent employer or someone who has known the claimant for a long time. Referees must agree to this beforehand. A11.6. Optional but may be of benefit: Achievements: Information regarding claimant’s past successes, including in past jobs (and work placement), which could be relevant to the type of work the claimant is applying for or demonstrate desirable characteristics (e.g. ambition, dedication). Interests: Hobbies and leisure activities that highlight responsibilities, skills and behaviours that may be relevant and attractive to prospective employers. 56 Protect: Commercial/ Policy/ Management A11.7. Please Note: The claimant portfolio is to be delivered to the claimant when they complete CWP and providers must retain evidence (endorsed by the claimant) of doing so. The provider must also ensure a copy of the information included in the claimant portfolio is retained with the individual claimant record. Provider placement reference A11.8. To be prepared by the provider after liaison with the work placement host, the provider placement reference should be a formal document, typed, written in a business-like style and presented professionally, in a separate document to the claimant CV. A11.9. The provider reference must be an overview of the positive aspects of the claimants attendance and performance related to the work placement and also detail the workrelated skills the claimant has demonstrated and/ or developed and how they have done so (wherever possible and appropriate relating this to the claimant’s desired employment sector and/ or occupation type, and local labour market). A11.10. We are not prescriptive regarding the format of the claimant placement reference, however in addition to the above requirements, providers should consider: Using a business letter format e.g. address the reference “To whom it may concern”. Starting with a brief introduction e.g. a brief sentence or two explaining the provider’s position. Detailing facts regarding the placement e.g. the claimant’s job title, and their role, and the dates they were undertaking their work placement. Provide judgement upon the claimant’s skills and qualities and any stand-out qualities that the claimant has demonstrated e.g. their enthusiasm, attention to detail, or customer service skills. Close the reference on a positive note, and if you are willing to receive further correspondence about prospective job applications, make this clear. (Including contact details where appropriate). Ending “Yours faithfully”. A11.11. Within the reference providers must avoid: Mentioning any weaknesses the candidate has (this where appropriate can be covered in the exit feedback) Saying anything that could be construed as libel. Writing in an informal manner. Including personal information not relevant to the application. Spelling mistakes, sloppy writing or typos: this reference is hugely important to the claimant, and providers should take care to make it look professional. Placement host/ Employer references A11.12. References from placement hosts and/ or employers should be sought, and where received should be included in the claimant portfolio. 57 Protect: Commercial/ Policy/ Management Exit Feedback Template A11.13. Providers must ensure the below information is included as a minimum: - Claimant Curriculum Vitae attached: - Provider placement reference attached: - Placement host and/ or Employer reference(s) attached: Yes / No Yes / No Yes / No - Placement(s) overview: This should be an overview of the placement(s) attended by the claimant, specifying the duration and role/ occupation type/ employment sector of each placement and also detail any issues encountered in securing or sustaining placements for the claimant, and how they were overcome. - Placement identification and suitability: This section should cover the reasons as to why the placement(s) was/ were chosen for the claimant. - Claimant Performance and Skills Development: This should be similar to the information detailed in the provider placement reference regarding placement performance and the skills the claimant has developed expanding where appropriate. - Further feedback and suggested next steps: Additional to the claimant portfolio information, and should include any further information relevant to the claimant and placement, including any other issues and/ or poor performance encountered, how it was addressed, and suggested next steps for the claimant, including e.g. suggested further interventions required and sector/ occupation best suited for. A11.14. Please Note: The provider must send a copy of the exit feedback, CV and Provider reference to JCP with the original retained with the individual claimant record by the provider. A11.15. The exit feedback must be returned to JCP within 10 working days of the claimant completing CWP and will be used by JCP to take forward and build on any progress made. (Further information regarding Exit Feedback will be detailed in CWP provider guidance). 58 Protect: Commercial/ Policy/ Management Annex 12 GLOSSARY OF TERMS Action Plan Claimant Commitment Contract Package Area (CPA) Critical Success Factors Claimant Jobsearch Review Employment Related Support Services (ERSS) Framework Invitation to Tender (ItT) Jobcentre Plus JCP District Jobseeker’s Allowance (JSA) Jobseekers Agreement (JSAg) Prime Provider A document that specifies each element of mandatory activity. An agreement between the JCP adviser and the claimant outlining the steps the claimant will take to look for employment. Successful providers will be offered contracts to deliver in specific areas. Contract Package Area is the term used to describe the geographic area of the contract. The factors (i.e. the positive outcomes or benefits) against which the success of a programme will be judged in order to justify the investment. An individual of working age who uses JCP services for the purposes of preparing for work, returning to work or claiming benefits. These supplement more in depth advisory interviews. Job search is discussed, claimants sign to declare they remain entitled to benefit and they are matched and submitted to jobs. The intervention is also used to input evidence to ensure benefit is paid accurately and on time. Framework for the Supply of Employment Related Services. The framework is an umbrella agreement setting out the terms and conditions for subsequent call-offs, but which places no obligations, in itself, on the contracting authority to purchase any services. A call off is a contract draw from the Framework to deliver a specific purchase or contract service. Due to the nature of the Framework, this will be through a mini-competition between Framework providers. A package of documentation issued to providers as part of a procurement exercise. Part of DWP, JCP provides an integrated service to people of working age. It offers help to people looking to move into work and support for people who cannot. JCP also provides services to employers wishing to fill vacancies. A specified area of England, Scotland or Wales within which to deliver services to JCP claimants. JSA – An allowance payable to claimants who are out of work, or work less than 16 hours a week on average, are below pension age and are available, activly seeking and capable of work. JSAg – An agreement between the JCP adviser and the claimant outlining the steps the claimant will take to look for employment. An organisation that delivers a service directly and/or via a network of sub-contractors or a combination of both. 59 Protect: Commercial/ Policy/ Management Procurement Provider(s) Provider Guidance Provider Referrals and Payments System (PRaP) Provision Sanction Universal Credit (UC) The process of purchasing goods and/or service: identification to payment. The generic term used to describe providers of employment support. This includes all subcontractors involved in service delivery under the prime contractor procurement model. Detailed guidance and information (including processes) which is provided by DWP to the successful providers to use when delivering the contracted service. The DWP prescribed IT system which will be used to refer claimants and pay providers. Note, where PRaP is not available a clerical system will be adopted. A term used to describe the services offered to a claimant when they are participating in a government programme. These can be services provided in-house, for example, by DWP, or by organisations from the private and voluntary sector. A ‘sanction’ reduces or extinguishes benefit even when there in underlying entitlement. Sanctions are imposed by a DWP decision maker for a fixed period because of, for example, failure to participate in a mandatory activity. UC – Universal Credit is a new single payment for people who are looking for work or on a low income. Universal Credit will help claimants and their families to become more independent and will simplify the benefits system by bringing together a range of working-age benefits into a single streamlined payment. 60 Protect: Commercial/ Policy/ Management Annex 13 LIST OF ABBREVIATIONS CEP CFO CMO CoC CPA CPR CRB CV CWP DMA DWP ERSS ESF EU FtA FtS ICE ICO IT ItT JCP JSA JSAg LA LMDM LMS MI MIR NAO NOMS Ofsted PAT PEM PRaP SCIAT SCR SFA T&Cs UC UK WSP WP Contracted Employment Programmes Co-Financing Organisations Contract Monitoring Officer Change of Circumstances Contract Package Area Contract Performance Review Criminal Records Bureau Curriculum Vitae Community Work Placements Decision Making and Appeals Department for Work and Pensions Employment Related Support Services European Social Fund European Union Fail to Attend Fail to Start Independent Case Examiner Information Commissioner’s Office Information Technology Invitation to Tender Jobcentre Plus Jobseeker's Allowance Jobseekers Agreement Local Authorities Labour Market Decision Maker Labour Market System Management Information Mandatory Intervention Regime National Audit Office National Offender Management Service Office for Standards in Education Provider Assurance Team Provider Engagement Meetings Provider Referrals and Payments system Supply Chain Information Assurance Team Special Customer Records Skills Funding Agency Terms & Conditions Universal Credit United Kingdom Work Services Platform Work Programme 61