Guidance

Chapter 11: Performance management, MI Requirements, compliance and assurance

Updated 25 February 2022

Applies to Scotland

This is Job Entry: Targeted Support (JETS) in Scotland provider guidance.

Performance Management and Intervention Regime (PMIR)

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

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

11.03 There are four levels of this regime:

• Level 1: Standard Action – Performance Manager( PM) Led
• Level 2: Enhanced Action – PM/Senior Performance Manager Led
• Level 3: Informal action – EAD Account Manager led
• Level 4: Formal action – EAD Account Manager led

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

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

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

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

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

Level 1: Standard Action – PM led

11.09 May include actions such as:

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

Level 2: Enhanced Action – PM/SPM led

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

Level 3: Informal Action – EAD Account Manager led

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

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

Level 4: Formal Action – EAD Account Manager led

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

Cohort profiles and Management Information (MI)

11.14 DWP will measure your performance using cohort measures based on the information you provided as part of your tender which has been incorporated in to your Contract.

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

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

11.17 You will be required to provide three performance returns containing key data that drives the performance of the Contract. These returns will be sent to you monthly via JAGGAER.

11.18 The first return is a monthly return where you will record both you and your Supply Chains’ staffing, caseload information and monthly performance data. This return is an excel file and a copy of it can be found in Annex L.

Please note: You must not amend the format of this Schedule including adding additional lines as this impacts the formulae within the spreadsheet. Please consult your Performance Manager if any issues arise with this document.

11.19 A copy of the second return can be found in Annex M is in excel format and records your achievements against the Customer Service Standards (CSSs) 4 and 6-10 (see paragraph 11.27 below) that are not monitored through the PRaP system. The return contains information detailing how each CSS should be measured on a monthly basis.

11.20 A copy of the third return called the Customer Insight Return can be found in Annex N, is in excel format and it records:

• the number of participants contacted
• the number of participants that responded, and
• the number of responses falling into each answer category

11.21 All 3 returns must be returned via JAGGAER by the 15th working day of the month as per Schedule 8.8 – Management Information of the contract.

Contract performance review (CPR)

11.22 The purpose of the Contract Performance Review (CPR) is to formally examine both your performance, and that of your Supply Chain (if applicable), for this contract. All relevant aspects of performance will be assessed against contractual requirements and outcomes.

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

Content of the CPR meeting

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

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

Please note: This list is not exhaustive.

Performance requirements

11.25 The Performance levels you are required to deliver are set out in your contract.

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

11.27 JETS in Scotland does not have separate Customer Groups, therefore there is only one MPL: a 20% conversion rate of starts to achievement of £1,000 earnings. Performance will be measured and monitored on a cohort basis.

Customer Service Standards

11.28 The success of the programme will be measured against a series of Customer Service Standards (CSSs):

1. The Contractor must acknowledge 99.5% of referrals on the Provider Referral and Payment (PRaP) system within 2 (two) working days of receipt of the referral. This will be monitored through the PRaP system.

2. No more than 4% of referrals will be in backlog. Backlog means an accumulation of uncompleted work or matters needing to be dealt with in relation to CSS 1 or 3. This will be monitored through PRaP.

3. No single referral will be in backlog for more than 25 working days of receiving the referral. This will be monitored through PRaP.

4. The Provider will contact a potential participant within 2 (two) Working Days of receiving a Referral, to set up an initial appointment between the Provider and the potential participant.

5. The initial appointment will take place within 15 (fifteen) Working Days of the Provider receiving the Referral. The Provider must also update PRaP with a Start, Did Not Attend or Did Not Start by the 15th (fifteenth) working day for 99% of referrals. This will be monitored through the PRaP system.

6. The Provider will provide the Participant with a copy of the customer service standards within 1 (one) Working Day of becoming a Participant. The customer service standards referred to here are details on the support that the Provider can provide to the Participant.

7. The Provider will work with the Participant to explore the Participant’s ambitions, goals, priorities and personal needs. This will help formulate an Action Plan. This Action Plan must be finalised within 10 (ten) Working Days of the Participant’s start on the programme.

8. The Provider will engage the Participant (by telephone/video conference or any other method permitted by the Contract) every 10 (ten) Working Days as a minimum, to discuss the Participant’s wellbeing, Action Plan and job goals (“Booked Meeting”). The frequency of the Booked Meetings can be amended if the Participant prefers a different arrangement.

9. If the Participant misses a Booked Meeting and the Provider is not contacted by the Participant with an explanation as to why, the Provider will attempt to contact the Participant within 2 (two) Working Days with a view to resolving any issues.

10. If the Participant is not in employment or self-employment at the point they cease to be a Participant, the Provider will produce an Exit Report (JETS.S-ER). This will include a summary of the Participant’s time on JETS in Scotland, along with details of additional support that can be accessed to support them going forward. The JETS in Scotland Exit Report (JETS.S-ER) will be provided to Participants within the last 10 (ten) Working Days of the Participant being a Participant. The Provider will also maintain a copy of the JETS in Scotland Exit Report (JETS.S-ER) securely, which must be sent to the Contracting Body upon request from the Contracting Body. The JETS in Scotland Exit Report (JETS.S-ER) form can be found on Annex G on Jaggaer.

11. Every month, the provider will be required to obtain information from the Participants on the usefulness of the Programme. This will be done by the provider 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.

Question: “Thinking about your overall experience of the services provided, how satisfied are you with the JETS in Scotland Programme?

Very satisfied;
Fairly satisfied;
Fairly dissatisfied;
Very dissatisfied.

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

11.29 Participants will be required to record their response to the question(s). Where Participants provide responses by telephone, the provider will create and maintain a detailed written record of the response. Providers are required to collate the Participant responses in the template to be provided by the DWP.

11.30 The Provider will send the completed template to DWP by the 15th day of the following calendar month. If the 15th day happens to be a non-Working Day, then the deadline shall move to the next Working Day. The Provider will maintain each Participant response, which DWP may request to review in the future.

11.31 DWP reserves the right to publish Participant responses or a summary of Participant responses (either in the form provided, or in any other form it sees fit). DWP also reserves the right to amend the specific questions or add additional questions that providers ask Participants on a monthly basis.

11.32 Additionally, DWP reserves the right to require providers to ask the Participants the question(s) on a more/less regular basis. The frequency of collating Participant responses and the deadline for providing DWP with the completed template can also be varied by DWP. DWP also reserves the right to amend the template.

Providing Good News Stories/Case Studies

11.33 DWP/Jobcentre Plus regularly requires information on participants whose individual stories can be celebrated. This information will be used in marketing and publicity products which help celebrate and raise awareness of your provision and DWP/Jobcentre Plus.

11.34 Consent must be obtained from each individual who agrees to their details being shared before any story can be published. This can be found on Annex R on Jaggaer.

11.35 Once completed, a copy of the consent form and good news story template available on Annex S on Jaggaer should be sent to your Performance Manager. This should be sent via unencrypted email; each email must only contain one template with the corresponding consent form. Your Performance Manager will ensure you have obtained all the appropriate information required and that the information is forwarded to DWPs national team.

11.36 The National Marketing and Publicity Manager may use your good news/case study in such things as ministerial speeches, newsletters, magazines, newspapers or television etc. The relevance of the story will be checked with you prior to publishing.

11.37 DWP does not stipulate how many good news stories you are required to produce, as a guide, you should aim to provide at least one each month which you can discuss with your Performance Manager at each Contract Performance review.

Compliance monitoring

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

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

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

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

Evaluation and reporting

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

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

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

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

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

Provider Assurance Team

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

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

11.49 This work is carried out by PAT by reviewing your internal control systems to assess your ability to manage risk across three key areas:

• Governance Arrangements – covering the Provider’s governance arrangements, systems for tracking and reporting performance and their anti-fraud measures
• Service Delivery – includes the Provider’s systems for starting, ending and moving Participants through F2F Provision and generally looks to ensure that DWP is getting the service it is paying for. This section also covers management of the supply chain
• Claim Procedures and Payments – looks to ensure that Prime Providers have in place effective systems to support their claims for payment, including appropriate segregation of duties

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

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

Findings from each Provider Review

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

• if, following a Weak or Limited Assurance level from the Provider Assurance Team, the Prime Provider’s subsequent assurance level is the same or worse for the same reasons, or the Prime Provider is awarded a consecutive third weak or limited assurance, regardless of the reasons
• following a review, if you fail to submit and/or implement the action plan within the agreed timescale; or
• where there are suspicions that you may be acting inappropriately, the team will refer to Counter Fraud and Investigations as the experts trained in the legalities and techniques required to carry out formal investigations

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

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

11.55 Should you require a copy of any of the forms mentioned in this chapter, please email: [email protected].