Statutory guidance

Chapter 7: Performance Management, Compliance and Management Information (MI)

Updated 21 November 2024

Introduction

7.01. The Department for Work and Pensions (DWP) operates a robust Performance Management regime to ensure contracts deliver value for money for the taxpayer and to ensure Providers are accountable for delivering what is outlined in their contract.

7.02 DWP Employment Account Division (EAD), which has responsibility for performance management, has developed a Performance Management and Intervention Regime (PMIR) to support the delivery of provision and to underpin your contract.

7.03 You will be responsible for managing your performance, including the performance of your Sub-contractors, and will need to ensure that all systems and processes (including tracking) used for the monitoring and recording of performance are robust, provide a clear audit trail of evidence, and give confidence to DWP that you and your supply chain (if applicable) are delivering the Services.

Performance Management Intervention Regime (PMIR)

7.04 DWP intends to utilise (without being bound by) its PMIR. This will centre on Contract Performance Review (CPR) meetings which will be the key vehicle through which DWP drives delivery of performance and service delivery through the Access to Work Mental Health Support Service (AtW MHSS).

7.05 CPRs will be conducted by DWP with the Provider and will focus on reviewing the Provider’s delivery of services against the contractual performance levels. Your performance will be managed on both quantitative and qualitative aspects of the AtW MHSS Contract, including, but not limited to, an in-month, rolling three-month, rolling 12-month and cumulative basis from the Service Start Date.

7.06 Every month you must submit an Action Plan to DWP. The purpose of the Action Plan is to assure DWP that you have identified the top areas for improvement and recorded/documented specific actions to improve them. The Action Plan will be reviewed at each CPR.

7.07 DWP will use MI from PRaP for the ongoing management of the Programme. DWP will also expect you to capture and use your own MI and retain evidence for contractual and performance purposes.

7.08 DWP’s performance teams may visit your premises or undertake assurance remotely on an ad hoc (announced or unannounced) basis to investigate performance; for example, under-performance or high performance.

7.09 At a national level, DWP will host regular Operations, Partnership and Stakeholder Forums to give a strategic focus to Programme performance and delivery.

7.10 As DWP is committed to transparency on how its programmes are working, you need to be aware that MI may be shared across AtW MHSS Providers and may also be fed into published official DWP statistics. You must treat information you have access to as restricted, and for your use only, ahead of formal publication. Official statistics may also cover DWP’s assessment of your delivery of the Services against the contractual KPIs at AtW MHSS Provider level.

7.11 Where applicable, DWP may exercise its right to move through the four stages of intervention, as deemed appropriate by DWP according to the Provider’s level of performance and responsiveness to meeting requirements. This is in addition to any other rights or remedies available to DWP under the AtW MHSS Contract.

7.12 Checks will be conducted on the service delivery requirements as described in the Customer Journey, the KPIs and the PMIR outlined in your AtW MHSS Contract. These measures, and your ability to meet them, will be regularly assessed by DWP performance managers (PMs) as part of business as usual.

7.13 You must have the necessary remote IT equipment, which must comply with the relevant DWP policies as defined in your AtW MHSS Contract, to enable DWP to carry out centralised checks of your systems including the provision of any necessary electronic evidence that is required to undertake effective checks.

Performance Management and Intervention Regime levels

7.14 The four Levels of the Performance Management and Intervention Regime are:

• Level 1: Standard action – DWP performance manager led. Performance will be managed on both quantitative and qualitative aspects of the contract as detailed above

• Level 2: Enhanced action – DWP performance manager / DWP Senior performance manager led. An Action Plan will be used to capture all agreed actions for performance improvement including incremental performance and pipeline data that may lead to outcomes, review dates and the Management Information to inform the KPIs

• Level 3: Informal action – DWP Provision Lead or above led. Provider will be invited to a meeting to discuss performance and will receive a management letter to request that performance improves. At this stage the Provider will be informed that formal action could be taken in the event that performance does not improve

• Level 4: Formal action – DWP Provision Lead and DWP Commercial Lead led. DWP will take formal default action by issuing a notice to address failure to respond to previous intervention activities undertaken. In the event that performance does not improve to the levels stipulated in the KPIs, DWP may take action to terminate the contract

Key Performance Indicators (KPIs) and Performance Requirements

7.15 Providers are under an obligation to meet or exceed the following performance targets. PMIR escalation process may be followed if you fail to meet any or all the agreed defined target performance levels described below.

7.16 The KPI are detailed below. The KPI Targets are minimum performance levels and DWP expects them to be maintained for the duration of the Programme. Where there is room for improvement, DWP expects performance to improve over the course of the Programme.

Key Performance Indicators	Description	Target For Customers Referred between Aug 24 and Aug 26	Target For Customers Referred from Sep 26 onwards
KPI 1: Acknowledging the referral	Referral acknowledged on PRaP by the Provider within one (1) Working Day of receipt from DWP	99%	99%
KPI 2: Arranging the appointment	Initial contact and appointment made by the Provider with the Customer within two (2) Working Days following receipt of the Referral from DWP	96%	96%
KPI 3: Submitting the Support Plan	Support Plan meets the required quality standard and is returned within 31 calendar days starting with the date of Referral by DWP	90%	95%
KPI 4: Submitting the 6 Month Report	6 Month Report meets the required quality standard and is returned to DWP within ten (10) Working Days following the end of the Support Period	90%	95%
KPI 5: Submitting the Exit Report	Exit Report meets the required quality standard and is returned to DWP within ten (10) Working Days following the end of the Sustainment Period	90%	95%
Social Value: Improve Health and Wellbeing (the “Social Value KPI”)	Percentage achievement against the following three Social Value measures: 1 – Percentage of all companies in the supply chain of the Provider under the contract to have implemented measures to improve the physical and mental health and wellbeing of employees. (Note: Treat as ‘achieved’ if 100%) 2 – Percentage of all companies in the supply chain under the contract to have implemented the 6 standards in the Mental Health at Work commitment. (Note: Treat as ‘achieved’ if 100%) 3 – Percentage of all companies in the supply chain under the contract to have implemented the mental health enhanced standards, for companies with more than 500 employees, in Thriving at Work. (Note: Treat as ‘achieved’ if either a) achieved or b) no companies with more than 500 employees) in the Supply Chain	100% ‘achieved’	100% ‘achieved’

Publication of KPIs

7.17 DWP is required to capture the performance of the AtW MHSS Providers by recording their achievements against the top three KPIs, plus any Social Value KPIs, with the performance data being reported to the Cabinet Office quarterly for publication on GOV.UK.

7.18 For AtW MHSS, the top three KPIs are KPIs 3, 4 and 5 and the performance data will be captured on a rolling 12 Month basis and reported quarterly in arrears. The Social Value KPI data shall also be reported quarterly in arrears. Performance levels will be measured as per the Specification.

7.19 The KPIs that will be published, and the associated “Cabinet Office 4 Tier Performance Levels” are as follows:

Cabinet Office Reporting and Publication of KPIs

Key Performance Indicators	Description	Cabinet Office Four Tier Performance Levels (for Customers Referred between Aug 24 and Aug 26)	Cabinet Office Four Tier Performance Levels (for Customers Referred from Sep 26 onwards)
KPI 3: Submitting the Support Plan	Support Plan meets the required quality standard and is returned within 31 calendar days starting with the date of Referral by DWP	4 - Good = 90% and above 3 - Near Target = 87.5% to 89.9% 2 - Needs Improvement = 85% to 87.4% 1 - Inadequate = Less than 85%	4 - Good = 95% and above 3 - Near Target = 92.5% to 94.9% 2 - Needs Improvement = 90% to 92.4% 1 - Inadequate = Less than 90%
KPI 4: Submitting the 6 Month Report	6 Month Report meets the required quality standard and is returned to DWP within ten (10) Working Days following the end of the Support Period	4 - Good = 90% and above 3 - Near Target = 87.5% to 89.9% 2 - Needs Improvement = 85% to 87.4% 1 - Inadequate = Less than 85%	4 - Good = 95% and above 3 - Near Target = 92.5% to 94.9% 2 - Needs Improvement = 90% to 92.4% 1 - Inadequate = Less than 90%
KPI 5: Submitting the Exit Report	Exit Report meets the required quality standard and is returned to DWP within ten (10) Working Days following the end of the Sustainment Period	4 - Good = 90% and above 3 - Near Target = 87.5% to 89.9% 2 - Needs Improvement = 85% to 87.4% 1 - Inadequate = Less than 85%	4 - Good = 95% and above 3 - Near Target = 92.5% to 94.9% 2 - Needs Improvement = 90% to 92.4% 1 - Inadequate = Less than 90%
Social Value: Improve Health and Wellbeing (the “Social Value KPI”)	Percentage achievement against the following three Social Value measures: 1 - Percentage of all companies in the supply chain of the Provider under Agreement to have implemented measures to improve the physical and mental health and wellbeing of employees. (Note: Treat as ‘achieved’ if 100%) 2 - Percentage of all companies in the supply chain under the contract to have implemented the 6 standards in the Mental Health at Work commitment. (Note: Treat as ‘achieved’ if 100%) 3 - Percentage of all companies in the supply chain under the contract to have implemented the mental health enhanced standards, for companies with more than 500 employees, in Thriving at Work. (Note: Treat as ‘achieved’ if either a) achieved or b) no companies with more than 500 employees) in the Supply Chain.The three Social Value measures are measured individually but marked collectively. For example, in order to achieve a score of 3 (Near Target), the AtW: MHSS Bidder must have achieved 2 out of 3 of these measures.	4 - Good = 100% 3 - Near Target = 66.0% to 99.9% 2 - Needs Improvement = 33.0% to 65.9% 1 - Inadequate = Less than 33%	4 - Good = 100% 3 - Near Target = 66.0% to 99.9% 2 - Needs Improvement = 33.0% to 65.9% 1 - Inadequate = Less than 33%

Contract Performance Review (CPR)

7.20 Providers will have regular discussions with your PM and the AtW Service Delivery team to review performance and trend performance achieved against contractual requirements.

7.21 You will update your PM and commercial contact immediately on any changes to the way you deliver the services or any issues that may affect delivery of the services, including (but not limited to) any changes in information, data, progress, processes or procedures.

7.22 Action Plans will be used to monitor and support continuous improvement and agreed performance improvement actions.

Monthly Management Information Return (MMIR)

7.23 The DWP will use MI presented by PRaP for the on-going management of the Programme and for discussion with Providers. To further support active performance management of your AtW MHSS Contract, you will also be required to submit a MMIR return to DWP (Annex G).

7.24 You should submit your monthly MI by the Reporting Date to your PM, also copying the AtW Service Delivery team [email protected]

7.25 The MMIR should include as a minimum, but shall not be limited to, the following information:

• Number of Referrals received in month and year to date;
• Number of Support Plans approved by DWP in Month and year to date;
• Number of 6 Month Reports approved by DWP in Month and year to date;
• Number of Exit Reports approved by DWP in Month and year to date;
• Number of Reworks in Month and year to date;
• Specific details of the reasons for each Rework required, in Month and year to date
• Specific details of Reworks returned outside one (1) Working Day and the reasons for the delay;
• Specific details of Support Plans (as set out in Annex C) returned outside one (1) calendar month and the reasons for the delay;
• Specific details of 6 Month Reports (Annex D) returned outside ten (10) Working Days and the reasons for the delay;
• Specific Details of Exit Reports (Annex E) returned outside ten (10) Working Days and the reasons for the delay;

• Specific details of withdrawals made by Customers (including reasons for withdrawal) in Month and year to date prior to:

  • Completion of the Support Plan;
  • Completion of the 6 Month Report;
  • Completion of the Exit Report
• A breakdown of Referrals, in Month and Programme to date, detailing the referral route (e.g. Authority Candidate or Supplier Generated Candidate). For all Referrals, data should be provided on how each Customer heard about MHSS (e.g. Supplier marketing event, via their General Practitioner, via Occupational Health, via their employer etc.)
• The number of Customers who have required the Sustainment Period;
• Specific details of complaints handled by the Provider and time taken to resolve to the Customer’s satisfaction (in Working Days);
• An anonymised list of all Staff engaged with Customers on the Programme, detailing their skills, experience and clearances;
• An anonymised list of all Supplier Personnel engaged with Customers under the Agreement detailing their skills, experience and clearances.
• Number of cases within, and outside KPIs, and reasons, for KPI1 to KPI5

Yearly MI

7.26 Providers should submit yearly MI within seven (7) calendar days following the end of each Contract Year to DWP Commercials via Jaggaer, the AtW Service Delivery team via email: [email protected] and your PM.

7.27 Yearly MI must comprise:

• A full list of all primary mental health conditions that affect Customers (excluding all Customers’ Personal Data);
• Customer demographics (including age, and geographical location);

• A report (using data from the AtW MHSS Reports) covering Customers’ evaluations of their mental health and journey using the Services. Alongside this, the raw data must be submitted in an anonymised format for the Support Plan, 6 Month Report and Exit Report. This should include:

  • All questions from the second table (completed by the Customer) of the Support Plan, 6 Month Report and Exit Report;
  • Mental health disclosure rates from the Support Plan, 6 Month Report and Exit Report;
  • Customers’ Employer (or where relevant that they are self-employed), segregated by size and sector;
  • Any other support that Customers have accessed during, or immediately prior to accessing the Services, such as any employee wellbeing courses provided by their employer;
  • Reasons why Customers (where applicable) required the Sustainment Period;
  • Any other information that the Authority deems reasonable to request from the Supplier.
• A summary report for all delivery Staff detailing all CPD activities undertaken in the last twelve months and a forward look plan for the next twelve Months. This should include how and why the activities were selected and the benefits of these activities to the delivery of the Programme.

Customer Insight

7.28 Every month, Providers will be required to obtain information from Customers on the usefulness of the Programme. This will be done by asking the specific question(s) and follow up (by email, link to a Provider portal, website or on-line survey and where no other option available, by telephone) detailed below.

7.29 Question 1: “Thinking about your overall experience of the services provided, how satisfied are you with the AtW Mental Health Support Service?”

• Very satisfied;
• Fairly satisfied;
• Fairly dissatisfied; and
• Very dissatisfied

7.30 Question 2: “Please can you tell us more about why you chose your response? Please be as detailed and specific as possible.”

7.31 Customers will be required to record their response to the questions. Where Customers provide responses by telephone, you will create and maintain a detailed written record of the response. You are required to collate and anonymise the Customer responses.

7.32 You will send the completed document to DWP by 5pm on the 15th day of the following month. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day. You must retain all Customer responses for the duration of your AtW MHSS Contract, and for a period of seven years following the expiry or termination of your AtW MHSS Contract, which DWP may request to review following the expiry or termination of your contract.

7.33 DWP reserves the right to publish Customer responses (anonymised) or a summary of Customer responses. DWP also reserves the right to add to or amend the specific questions that you ask Customers each month.

7.34 Additionally, DWP reserves the right to require you to ask the Customer the questions on a more or less regular basis. The frequency in which you are required to collate Customer responses and the deadline for providing DWP with the completed document itself can also be varied or amended by DWP at its sole discretion.

Ad hoc MI requests

7.35 Occasionally Providers may be asked to provide other statistical data that is relative to the services you deliver. In these circumstances you should make available for inspection all such records and work counts as requested within the timescale requested by DWP.

7.36 You shall allow DWP access to all MI throughout the life of your AtW MHSS Contract and maintain all data as specified in your AtW MHSS Contract.

7.37 As and when directed by DWP, you shall collect statistical data relevant to the Services being provided. You shall make available for inspection all such records upon the request of DWP within ten (10) Working Days.

Compliance Monitoring and Additional Checks

Performance Compliance Officers (PCO) Checks 

7.38 DWP staff, including PCOs, perform regular evidence-based Compliance Checks to identify if Providers are adhering to the delivery models set out in their contracts.

7.39 This includes checking samples of Customer records held by you for all related activity.

7.40 You must create a system record for each Referral and ensure it includes details of all interventions and copies of all documentation.

7.41 DWP will specify the location where the Compliance Checks will take place and expects them to be centralised in DWP locations or undertaken digitally and remotely by sharing of screens through Microsoft Teams. However, DWP retains the option for PCOs to carry out the Compliance Checks on Provider’s premises where DWP decides this is appropriate. All records must be available on the Provider’s system for inspection.

7.42 The sample of Customers to be checked will be sent to you twelve days prior to the PCO checks being carried out. You shall undertake your own compliance checks on the sample and return their completed checks to the PCO before the agreed compliance meeting date. This is to ensure you can have fully informed discussions regarding the sample when the Compliance Checks are carried out.

7.43 You must have the necessary remote IT equipment (which must comply with the relevant DWP policies as defined in the appropriate section of your AtW MHSS Contract) which you can bring to the location to enable DWP to carry out centralised checks of your systems; this includes the provision of any necessary electronic evidence that is required by the PCO to undertake the Compliance Checks effectively.

7.44 The sample of records to be checked will be selected randomly using a method chosen by DWP. The frequency, periodicity and size of the samples may vary throughout the life of the AtW MHSS Contract.

7.45 All issues arising from PCO checks are reported to you and relevant DWP stakeholders. CPR meetings with DWP and PMs will include discussions around compliance issues identified by PCOs. Actions to address areas of concern with regard to compliance should be included in your PMIR Action Plan.

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

Performance Manager Checks

7.47 DWP staff, including PMs, may undertake checks to complement those already undertaken by the PCOs by looking at individual cases in more depth.

7.48 The checks may also include a ‘go-look-see’ approach where the PM will observe a range of activities you deliver in line with your AtW MHSS Contract. These will not only be with you, but also end-to-end delivery partners and Sub-contractors (if appropriate). PMs may also undertake ‘deep dives’ into specific areas to understand where there are specific areas of weakness.

7.49 The findings from the checks will feed into a Provider’s CPR meeting.

Provider Assurance Team (PAT)

7.50 Information regarding PAT can be found on the DWP Generic Provider Guidance Chapter 6 Provider Assurance.