DWP SPECIFIC PROVIDER GUIDANCE

Transcription

1 1 DWP SPECIFIC PROVIDER GUIDANCE Part I WORK CHOICE Contents Section Page Section 1 Work Choice Introduction and Overview 3 Section 2 Referral Sources and Procedures 8 Section 3 The Initial Provider Interview 11 Section 4 Module One Work Entry Support 15 Section 5 Support Module Two Short to Medium Term In Work 19 Section 6 Module Three Longer Term In-Work Support 22 Section 7 Returning to the Programme 24 Section 8 Retention 27 Section 9 Development Planning and Exit Reports 29 Section 10 Distance Travelled 32 Section 11 Financial Incentives 33 Section 12 Self Employment 38 Section 13 Working with Supported Businesses 39 Section 14 Guidance for Supported Businesses 46 Section 15 Performance and Management Information 51 Section 16 Financial Procedures 53 1

2 2 Section 17 Quality, Continuous Improvement, Inspection & Evaluation Section 18 Customer Choice Annexes: Annex 1 Provider Referrals and Payments System (PRaP) 65 Annex 2 Forms and e-forms - pertaining to Work Choice 67 Annex 3 Working with Sub-Contractors 79 Annex 4 Compatibility with Other Provision 80 Annex 5 Permitted Work 81 Annex 6 Access to Work Programme 84 Annex 7 Identifying Statutory Referral Organisations 93 Annex 8 Marketing & Publicity 94 Annex 9 Right to Control 95 Annex 10 Work Choice Contacts 97 2

3 3 Section 1 Work Choice Introduction and Overview Introduction 1.1. This chapter of DWP Provider Guidance supports you, the DWP Prime Provider, in the delivery of the Work Choice Programme on behalf of the Secretary of State for Work and Pensions. It forms part of your contract and provides guidance on processes and requirements, supporting the programme contract details and the legal arrangements for delivery This guidance must be read in conjunction with: Specification to Invitation to Tender; and Work Choice District Information Contract Package; and DWP Generic Guidance - via the hyperlinks which are embedded throughout this Programme Specific Guidance If there is any conflict between the contract and this guidance the contract takes precedence. If there is any conflict between the specification and this guidance in relation to DWP s internal procedures and processes, this guidance takes precedence Providers should note that this part of DWP Programme Specific Provider Guidance applies to the Work Choice programme commencing on 25 th October For guidance on Transition from WORKSTEP, Work Choice s predecessor programme, please see supplementary Transition guidance at Part Ia You must ensure that any organisations with whom you have a subcontractual relationship also have access to, and read, this guidance. Key Principles of the Work Choice Programme 1.6. This new programme takes forward improvements to the suite of specialist disability employment provision by replacing the existing Work Preparation and WORKSTEP programmes and the Job Introduction Scheme. The key principles to be observed for Work Choice are: a greater focus on those who need specialist support; less prescription and greater flexibility; better links between elements of provision; better consistency and quality of provision; provision for all types of disability; 3

4 4 more opportunity for the customer to exercise choice and control; a greater focus on job entries; improved support for people in either employment or self employment; improved progression to unsupported employment; a greater emphasis on achieving potential within longer-term supported employment. The DWP Customer Charter 1.7. DWP is committed to providing high quality and efficient services to our customers. The DWP Customer Charter sets out the standards that customers can expect and what their responsibilities are in return. DWP are dedicated to raising the standards of all our contracted provision and require all providers and sub-contractors to embed the principles of the Customer Charter into the services they deliver on DWP s behalf. The shared promise on customer care developed by the Employment Related Services Association and supported by DWP makes the commitments given in the DWP Customer Charter more specific for welfare to work providers and their customers. While it is not compulsory for providers to sign the Shared Promise, DWP would expect providers to support the commitments contained in it. More information will be found via this link: Summary of the Work Choice Programme 1.8. The Work Choice programme is designed as a four-stage, modular, specialist provision delivered either by yourself as Prime Provider or through your sub-contractors. The four stages are: Referral or Introduction; Module One (Work Entry Support); Module Two (Short to Medium Term In Work Support); and Module Three (Longer Term In-Work Support). The design of the programme is described in detail in the sections which follow this introduction. Types of Customers Supported by Work Choice 1.9. Participation in Work Choice is voluntary. All candidates for Work Choice must be eligible and suitable for the programme. To be eligible they must be of working age and disabled as defined by the Disability Discrimination Act 1995, amended Suitable candidates for Work Choice: experience complex work-related support needs arising primarily from disability; AND 4

5 5 have requirements in work which cannot immediately be overcome through workplace adjustments which are required under the Disability Discrimination Act and/or by Access to Work support; AND need support in work as well as help with finding work, AND cannot be helped through other DWP programmes; AND following Module One, expect to able to work for a minimum of 16 hours per week Target groups for Work Choice are disabled people with complex employment support needs for whom other DWP provision is not suitable and those who are in work but under threat of losing their job as a result of their disability Note: some existing participants whose supported employment began under the Supported Employment Programme (WORKSTEP s predecessor programme) are working fewer than 16 hours. Provided their support needs remain unchanged, they will not be required to increase their hours to 16 or more upon transferring to the Work Choice programme. Referral Overview It must be noted that you will not be able to recruit directly onto your Work Choice programme The customer s first point of contact for Work Choice will be either the Disability Employment Adviser (DEA), who will establish both eligibility and the suitability of Work Choice for the customer s needs, or a Statutory Referral Organisation whose role is described in more detail later. DEAs will also be the contact point for customers who may wish to discuss issues or feed back concerns about the provision or delivery of their service that they have been unable to resolve with their provider. Further information about handling grievances or complaints will be found in DWP Generic Provider Guidance Part 2 at: In addition to Jobcentre Plus DEAs, a limited number of Statutory Organisations (e.g. Local Authority Social Services, Secondary Mental Health Services) will be able to directly refer suitable disabled people to Work Choice. In this guidance we term these Statutory Referral Organisations. This will be particularly helpful for people with learning disabilities and/ or mental health conditions, who might not visit or contact a Jobcentre Plus office and therefore would not normally come into contact with DEA services Processes for identifying Statutory Referral Organisations in your contract package locality are to be found at Annex 7. 5

6 When proposing a customer for your provision, the Statutory Referral Organisation will introduce the customer as a potential Work Choice participant. You are required to determine eligibility and suitability for the programme. You must then notify Jobcentre Plus, who will generate the e-referral via the Provider Referrals and Payments (PRaP) system. See Annex 7. Flexible Design Environment You will deliver Work Choice within a minimally prescriptive service requirement which rewards job outcomes rather than specific services delivered. DWP expects this approach will give its contractors the flexibility to deliver innovative programmes in partnership with a supply chain. However, you are free to deliver directly all or selected aspects of the Work Choice programme yourself. Any prime contractor that delivers an entire programme would effectively operate as a "sole contractor". (See your contract terms and conditions for full information) DWP Performance Management Teams will manage the performance of the contract (using the specification and the guidance). Providers are subject to external inspection by Ofsted in England, HMIE in Scotland and Estyn in Wales. This is to provide assurance to the taxpayer, through the Secretary of State for Work and Pensions, that publicly funded provision is delivering a quality service. External Inspection will be crucial when assuring supplier commitment to the capabilities framework. Transition from WORKSTEP - Overview All former WORKSTEP participants who wish to transfer to the new programme will continue to be supported by Work Choice. This will necessitate a carefully managed transition plan for participants who transfer from existing to new suppliers Former WORKSTEP participants are those participants that were on WORKSTEP immediately prior to the start of Work Choice and were either in employment or the pre-employment stage of WORKSTEP The transitional period is the period from effective date of contract award (August 2010) to contract go-live in October A supplementary chapter of Transition Guidance, with a detailed statement of process, can be found at DWP Programme Specific Provider Guidance Part Ia. 6

7 7 Section 2 Referral - Sources and Procedures 2.1. All candidates for Work Choice must be disabled as defined by the Disability Discrimination Act 1995, amended Suitable candidates for Work Choice: experience complex work-related support needs arising primarily from disability; AND have requirements in work which cannot immediately be overcome through workplace adjustments which are required under the Disability Discrimination Act and/or by Access to Work support; AND need support in work as well as help with finding work, AND cannot be helped through other DWP programmes; AND following Module One, expect to able to work for a minimum of 16 hours per week Target groups for Work Choice are disabled people with complex employment support needs for whom other DWP provision is not suitable and those who are in work but under threat of losing their job as a result of their disability. Note: Module One may be used for capacity building but is not intended as a means of capacity testing. Customers referred to Work Choice are expected to be able to work for a minimum of 16 hours per week following participation in Module One. Referral Sources Jobcentre Plus Disability Employment Adviser 2.3 The customer s first point of contact for Work Choice will be either the Jobcentre Plus Disability Employment Adviser (DEA), who will establish both eligibility and the suitability of Work Choice for the customer s needs, or a Statutory Referral Organisation (see below). It must be noted that you will not be able to recruit directly onto your Work Choice programme. Statutory Referral Organisations 2.4 In addition to Jobcentre Plus DEAs, a limited number of organisations will be authorised to act in partnership with you in order to directly introduce suitable disabled people to Work Choice. These will be organisations who provide a statutory service that helps disabled people with the highest support needs, particularly those with learning disabilities and mental health conditions, consider 7

8 8 and move into employment. These organisations must have a formal contract or agreement with either: Local Authorities (e.g. Social Care Departments), or; Primary Care Trusts, or; Local Education Authorities (e.g. special needs schools). 2.5 This will be particularly helpful for people with learning disabilities and/or mental health conditions, who might not visit or contact a Jobcentre Plus office and therefore would not normally come into contact with DEA services. 2.6 You are required to identify such organisations as you may find in your local Contract Package Area and invite them to become a Statutory Referral Organisation (SRO), following the criteria and guidelines supplied in Annex 7 of this guidance. These organisations may also approach you, requesting consideration for SRO status. Referral / Introductory Procedures Referral from DEA 2.7 Referral from the DEA will be via the Provider Referrals and Payments System (PRaP). There are three types of PRaP referrals: transitional participants (in the initial stages of the programme); standard, new referrals to your programme; and retention cases. Please consult your online PRaP guidance for details. Work Choice specific PRaP guidance is currently in development and will be issued later in 2010, in an update to the PRaP guidance, before go-live. 2.8 Jobcentre Plus IT systems and Data Security constraints limit information transfer, however, if required and with the customer s informed permission, the DEA may be able to provide additional information informally e.g. by phone call, all-party case conference or verbal exchange. Introductions from Statutory Referral Organisation 2.9 When proposing a customer for your provision, the Statutory Referral Organisation should telephone you to introduce the customer as a potential Work Choice participant and arrange an interview During this phone call the Statutory Referral Organisation will agree and confirm the interview date, time and venue with the customer. You should 8

9 9 complete Part 1 (Statutory Referral Organisation details) and Part 2 (the customer s title, surname, forename and national insurance number) of the SRO Referral to Work Choice form WCSRO1. See Appendix 2 for SRO forms You must conduct an initial interview with each customer within ten working days of receiving the introduction. Upon first meeting a potential participant introduced to you by a Statutory Referral Organisation, you must immediately establish their eligibility and suitability for the Work Choice programme by completing the remainder of the WCSRO1 form. (Please note: these customers are viewed as introduced, rather than referred, until their eligibility and suitability is confirmed) If the customer is eligible and suitable and your provision is not full you must accept them onto your programme. You should print off the completed WCSRO1 form and obtain the customer s signature. You should then offer the customer a copy, retain the original and send the electronic version to your local Jobcentre Plus office within three working days Upon receiving the form, Jobcentre Plus will create a customer record and make a referral to you via the PRaP system in the standard way. Note: in this circumstance, PRaP is capable of accepting a retrospective start date If you should find that the customer is not eligible and suitable for Work Choice, you must enter the reason in Part 4 of the WCSRO1 form, explain this to the customer and contact the Statutory Referral Organisation to refer the customer back to them, if the customer wishes. You should retain a copy of the form, including the reason not accepted onto the Work Choice programme, for inspection by your Performance Manager. 9

10 10 Section 3 Stage One - The Initial Provider Interview 3.1. You must read this chapter in conjunction with DWP Generic Provider Guidance, particularly Part 2, Delivering DWP Provision and Part 9, Self Assessment, which contain a comprehensive guide to standards required from a DWP Provider e.g. Induction Standards, Quality, Inspection, Health and Safety, Legal requirements, Safeguarding Vulnerable Groups etc. They are to be found via these links: and There are two kinds of Initial Provider Interview: a DEA generated referral; and the first contact with a customer following introduction from a Statutory Referral Organisation. DEA Generated Referral 3.3. Having established the customer s eligibility and suitability to participate in Work Choice, the DEA will make a referral to you, via PRaP Within ten working days of receiving a referral from the PRaP system you must contact the customer and conduct an initial interview Occasionally, an urgent intervention will be required e.g. if an employed customer is imminently about to lose their job, for reasons of disability, and provider intervention is required immediately. In these circumstances the DEA will indicate that it is a Retention case by submitting the referral via PRaP using a separate Retention opportunity and, if necessary, telephone you to highlight the need for immediate action. Please see Section 8 for full details concerning Retention cases In this initial interview you must, as a minimum: provide the customer with further information on your services, and a discussion of the features and benefits of Work Choice, what support is available and how suitable support can be tailored to meet individual needs; ensure agreement of clear goals and aspirations; conduct an employment assessment, including a discussion of support needs in work and work history; 10

11 11 agree and assign the customer to the most appropriate module and discuss what this means for the customer. Entry to Work Choice will be via Module One initially; if the customer agrees to participate in Work Choice you may instigate your participant s Development Plan. This must adhere to the principles of SSMART (i.e. that is Specific, Stretching, Measurable, Achievable, Realistic and Time bound) and initiate a Distance Travelled plan; Please note: guidance on how to design and produce an acceptable Development Plan is to be found in Section 9 of this guide and is supplemented by Part 2 of DWP Generic Provider Guidance. explain your complaints process to the participant if they are a JCP customer, remind them that they remain subject to any mandatory requirement or benefit compliance regime. start the customer on Work Choice within ten working days of the initial interview, and sooner if an urgent Retention case. (See Section 8) NB. You must record a formal start on the Work Choice programme at the point when the customer agrees to become a participant in Work Choice. You should be clear that your obligations as your participant s Work Choice Provider begin on the start date you input into PRaP (e.g. provision of minimum levels of support) You may only decline to accept onto Work Choice a customer who has been referred by a DEA if your provision is full. If your programme reaches capacity, and the programme is deemed full, you must notify your Performance Manager who will work with providers and JCP at local level to resolve the issue. Waiting lists must not be kept Should the customer fail to attend, as and when invited, you must make reasonable attempts to contact the customer, by letter and/or telephone, to rearrange the appointment, commensurate with the voluntary nature of the programme. If unsuccessful, you must access PRaP through Government Gateway and input the reason i.e. Did not attend/did not start/no Contact. Please consult your online PRaP guidance for all PRaP processes. Statutory Referral Organisation - Generated Introduction 3.9. If a potential Work Choice participant is introduced to you by a Statutory Referral Organisation you are required to establish the customer s eligibility and 11

12 12 suitability for the programme. See section 2 above (and paras 2.1 and 2.2) for eligibility and suitability criteria. You must also notify your local Jobcentre Plus office as detailed in Section 2 above In this initial interview you must, as a minimum: provide the customer with information on your services, and a discussion of the features and benefits of Work Choice, what support is available and how suitable support can be tailored to meet individual needs; ensure agreement of clear goals and aspirations; conduct an employment assessment, including a discussion of support needs in work and work history; check customer benefit status in order to provide advice and guidance on IB/JSA/ESA benefit regime conditionality procedures whilst on Work Choice. If in doubt you must advise your customer to seek advice via Jobcentre Plus; agree and assign the customer to the most appropriate module and discuss what this means for the customer. Entry to Work Choice will be via Module One initially; if the customer agrees to participate in Work Choice you may instigate your participant s Development Plan, adhering to the principles of SSMART (i.e. that is Specific, Stretching, Measurable, Achievable, Realistic and Time bound) and initiate a Distance Travelled plan; Please note: guidance on how to design and produce an acceptable Development Plan is to be found in Section 9 of this guide and supplemented by Chapter 2 of DWP Generic Provider Guidance. explain your complaints process to the participant if they are a JCP customer, remind them that they remain subject to any mandatory requirement or benefit compliance regime. start the customer on the programme within ten working days of receiving the PRaP referral. PRaP is capable of accepting a retrospective start date. NB. You must record a formal start on the Work Choice programme at the point when the customer agrees to become a participant in Work Choice. You should be clear that your obligations as your participant s Work Choice Provider begin 12

13 13 on the start date you input into PRaP (e.g. provision of minimum levels of support) You may only decline to accept an eligible, suitable customer onto Work Choice if your provision is full. If your programme reaches capacity, and the programme is deemed full, you must notify your Performance Manager who will work with providers and JCP at local level to resolve the issue. Waiting lists must not be kept. 3,12 Should the customer fail to attend, as and when invited, you must make reasonable attempts to contact the customer, by letter and/or telephone, to rearrange the appointment, commensurate with the voluntary nature of the programme. You should also inform the referring SRO. 13

14 14 Section 4 Stage Two - Module One Work Entry Support 4.1. It is essential that you read and note the contents of DWP Generic Provider Guidance including Part 2, Delivering Jobcentre Plus Programme Provision which contains a comprehensive guide to standards required from a DWP Provider e.g. Induction Standards, Quality, Inspection, Health and Safety, Legal requirements, Safeguarding Vulnerable Groups etc Entry to Work Choice is always via Module One. In Module One, Work Entry Support, you must provide a range of support tailored to the needs of the individual participant and, depending upon their circumstances, this will include some, most or all of the following: individually tailored vocational guidance and development planning to help identify and address support needs (both disability related and any social or financial support); a choice of job seeking activities; personal and job-skills support, confidence building, and capacity building to ensure that the goal of a minimum of 16 hours work per week is attainable; jobsearch support advice, job matching of individuals to identified vacancies, active sourcing of suitable jobs, and advising employers on opportunities for job-carving ; job application support including managing disclosure of health/disability information, CV and interview preparation, skills development, advocacy to the employer if needed, e.g. working with the employer to amend recruitment procedures as appropriate for participants with learning disabilities; labour market advice and support including: o providing (or sourcing) Better Off In Work calculations; o promoting in work benefits; o assisting (or sourcing assistance) with tax credit applications; close working with employers to help them see beyond pre-conceptions or perceptions of a person s disability and help them focus on abilities and strengths; brokerage between employers and participants analysing the support needed with the participant prior to the support being put into place including assessing Access to Work needs; an explanation to both the participant and the employer of the appropriate types of adjustment or customisation of the workplace and the wider support available from DWP and beyond; knowledge of support available within the local area that helps the participant manage any personal circumstances relevant to their job aspirations; help for participants wanting to enter self-employment (see Section 12 for further information); 14

15 15 Note: this list is for guidance and is NOT exhaustive In advance of participants entering paid employment you must: o plan to obtain assurance that the individual has settled into their workplace; o ensure that their transport arrangements appear workable; o ensure that the individual is receiving appropriate benefits advice, e.g. signpost the participant to Jobcentre Plus for a job-specific Better Off In Work Calculation; o with the help of the individual and employer, put into place an agreed support plan that indicates how the support they receive will change over time; o help the employer make suitable independent adjustments for the individual and where appropriate, offer advice to the employer and colleagues; o be available to provide advice and support where, for example, an unexpected issue occurs. o where the person is claiming Jobseekers Allowance, Incapacity Benefit, Employment Support Allowance etc. signpost to expert sources of help with any benefit regime requirements. Note: this list is for guidance and is NOT exhaustive Module One normally lasts for a maximum of six months, however, should you believe that the participant would benefit from extra time in Module One, you may allow a further three months i.e. up to a maximum of nine months in total You must record the rationale and evidence justifying your decision to allow an extension in the participant s Development Plan, which must be available for inspection by DWP Performance Managers. You must indicate what additional support you intend to give to the participant and the reason why this would enhance their prospects of obtaining employment. Normally we would expect there to be a clear prospect of a job, if given this extra time and support. Also see Section 7, Returning to the Programme It is expected that some participants will move directly into unsupported employment following completion of Module One. This will vary according to your performance offer. Please see Schedule 2 of your contract Any participant who fails to secure employment following completion of Module One may be referred back to the DEA or Statutory Referral Organisation responsible for the original referral, if the participants wishes. (Also see Section 9, Exit Reports). 15

16 16 Minimum levels of support in Module One 4.8. In Module One you must devote a sufficient level of support and guidance (judged on a case-by-case basis) to enable your participants to engage in at least eight hours preparation for work entry per week. This may include up to eight hours one-to-one guidance, or a more advisory role, depending on your participant s needs, level of independence and abilities Your participant's attendance and/or activity is expected to increase over their period of time in Module One leading up to 16 hours per week, as the participant prepares to move into supported or unsupported work of 16 hours or more This increase is intended to prepare the participant for the real demands of work of 16 hours or more, and the nature of the support you give must reflect this and be documented in the participant's Development Plan The sufficiency of the support you give will be judged by evidence that the participant is demonstrably and productively engaged in the activities agreed in their Development Plan In all modules your participant's support must be delivered by either yourself, as the Prime Provider, or by your sub-contractor(s). Ideally your participant should be allocated one adviser / support worker who should become their regular contact. Where appropriate, alternative approaches may be used, but this is likely to be on an exceptional basis. If some support is provided by a non-contracted third party (i.e. with no formal agreement in place), this will not be viewed as a valid substitution for contracted Work Choice support, however a contracted third tier would be valid Participants day-to-day needs can fluctuate and, where appropriate, Provider intervention should be flexible to reflect this. You must, however, look to ensure that minimum levels of support are maintained on a monthly basis Your participant s goals, the activity undertaken to achieve them, together with a note of the support you provided must be logged on their Development Plan, for inspection by Performance Managers if required. Support will be evidenced over a monthly period. Permitted Work in Module One Permitted Work Rules support the government s commitment to removing barriers to work for people with long term health problems who want to take steps back to work. 16

17 Participants in receipt of certain incapacity benefits may be permitted to undertake some part-time work to help with the transition into long-term work. If, in Module One, you are assisting a participant who is in receipt of a qualifying benefit, you and your participant may wish to consider a period of part time Permitted Work as an interim step to achieving their goal of working 16 hours per week. Please see Annex 5 for further information about Permitted Work. 17

18 18 Section 5 Stage Three - Module Two Short to Medium Term In- Work Support Note: It is essential that you read and note the contents of Generic Provider Guidance including Part 2, Delivering DWP Programme Provision and Part 9, Self Assessment which contain a comprehensive guide to standards required from a DWP Provider e.g. Induction Standards, Quality, Inspection, Health and Safety, Legal requirements, Safeguarding Vulnerable Groups etc. and Once a participant has found paid employment (or self employment), supported by Work Choice, of 16 hours or more (NB this could be more than one job which adds up to 16 hours or more) you will work with the employer and participant to identify the support required for the participant to start work You will need to be fully conversant with the range of complementary support that can be made available, both nationally and locally You, your participant and their employer may decide that other employees need information about working with a disabled colleague. This should be discussed and action agreed Whilst DWP s intention is to adhere to a minimally prescriptive strategy for Work Choice, within Module Two you must provide a range of support tailored to the needs of the individual participant and, depending upon their circumstances, will include some, most, or all of the following: discuss with the participant what their career goals are; discuss with the participant and their employer how these goals can be met; agree a support package that is tailored to the needs of the individual participant which will ensure they are able to stay in employment and develop further; ensure the participant is aware of any changes to their benefit entitlement and ensure that they are receiving all appropriate in-work benefits by signposting them to Jobcentre Plus for expert advice; work with Access to Work Specialist Advisory Team, where appropriate, to provide advice and support about accessibility solutions; (See Appendix 6 for further guidance on Access to Work) agree, with all parties, a development plan that includes how your in-work support will taper off over time; conduct regular reviews with the participants and their employer to ensure: o agreed actions have been fulfilled; o the participant is making progress towards unsupported employment; 18

19 19 o appropriate adjustments to the support package and the participant s roles and responsibilities can be agreed; o progress is recorded and agreed; NB Normally, reviews will be face-to-face meetings and involve yourself, the participant and their employer. They should be timed to meet the needs of the participant and may be frequent in the early stages of this module, but must take place at least quarterly. work with other appropriate support or advisory organisations who can assist participant to achieve their goal; ensure the participant is aware of their rights as a disabled person (e.g. under the Disability Discrimination Act - DDA). yrights/dg_ Discuss with the employer scope for their provision to provide long term support for the individual. Prepare the employer to take on these responsibilities. 5.5 Note: this list is for guidance and is NOT exhaustive Module Two lasts for a maximum of two years. However, as life circumstances, including impairments, can change over time, some participants may start off receiving support via Module Two because at the time unsupported employment looked an achievable goal but subsequently require the longer-term supported employment of Module Three. A change could occur because it has become clear that the need for support is likely to be ongoing, or because the move to unsupported employment, whilst still achievable, is likely to take longer than two years If this becomes apparent, within, and no later than, two years from the start of Module Two, you must liaise with the participant and their employer to ensure that a move to the long term in-work support of Module Three is suitable and that all is being done to help them move towards the unsupported labour market in the longer term. Minimum levels of support in Module Two 5.8. In Module Two, you must work with the participant, or with others on behalf of the participant (e.g. their employer), to ensure that for at least eight hours per month, your participant is engaged in activity that will further their aim (and that of Module Two) of progression to unsupported employment within two years. This may include up to eight hours one-to-one guidance, or a more advisory role, depending on your participant s needs, level of independence and abilities. This activity might include, for example, addressing a learning or skills 19

20 20 need, becoming familiar with new ways of working, adapting to new work routines etc. The goal of progression must remain to the fore in all planning discussions The sufficiency of the support you give will be judged by evidence that the participant is demonstrably and productively engaged in the activities agreed in their Development Plan In all modules your participant's support must be delivered by either yourself, as the Prime Provider, or by your sub-contractor(s). Ideally your participant should be allocated one adviser / support worker who should become their regular contact. Where appropriate, alternative approaches may be used, but this is likely to be on an exceptional basis. If some support is provided by a non-contracted third party, this will not be viewed as a valid substitution for contracted Work Choice support Participants day-to-day needs can fluctuate and, where appropriate, Provider intervention should be flexible to reflect this. You must, however, look to ensure that minimum levels of support are maintained on a monthly basis Your participant s goals and the activity undertaken to achieve them, together with a note of the support you provided must be logged on their Development Plan, for inspection by Performance Managers if required. Support will be evidenced over a monthly period and you are required to keep a record of support in Development Plans and review documentation 20

21 21 Section 6 Stage Four - Module Three Longer Term In-Work Support 6.1. Module Three focuses on helping to provide a stable working environment and helping the individual develop their career. This module recognises that, for some people, there will always be a need for them to be supported in the workplace. Module Three must have a clear focus on the ongoing development of participants throughout their career Nevertheless there must be a continuing focus on the possibility that each participant has the potential to progress into unsupported work All participants must be encouraged and assisted to consider progressing to unsupported employment, including those whose support started before 2001 (when the Supported Employment Programme was replaced by WORKSTEP). Such work may necessitate the use of Access to Work (see Appendix 6) As part of the longer-term service there must be regular checks to ensure that participants are receiving a quality service, that they are in receipt of all inwork benefits and that the support they are continuing to receive remains appropriate. Regular reviews will normally be face-to-face meetings and involve yourself, the participant and their employer. They should be timed to meet the needs of the participant and must take place at least quarterly. Support Provided within Module Three 6.5 In Module Three, support for each participant must be tailored to their individual needs. This is for you to judge and agree with the participant (and their employer) depending on circumstances. Examples of support could include: taking on a job coach role, for example, to help a person with a learning disability adapt to new work tasks; delivering disability awareness training to an employer and co-workers to help them understand how everyone can contribute to a successful workplace, for example, explaining how to overcome some of the communication and social issues that may arise from working with someone on the autistic spectrum; and helping an individual with an aspect of their home life that is adversely affecting their ability to do their job. Note: this list is for guidance and is NOT exhaustive. Minimum levels of support in Module Three 6.6. In this in-work module, you must work with the participant, or with others on behalf of the participant (e.g. their employer), to ensure that for at least four 21

22 22 hours per month, your participant is engaged in activity aimed at developing their full potential at work. This may include up to four hours one-to-one guidance, or a more advisory role, depending on your participant s needs, level of independence and abilities. As in Module Two, this might include, for example, learning new skills, broadening their role or responsibilities, learning new ways of working, etc. The opportunities for working towards progression must remain to the fore in all planning discussions The sufficiency of the support you give will be judged by evidence that the participant is demonstrably and productively engaged in the activities agreed in their Development Plan In all modules your participant's support must be delivered by either yourself, as the Prime Provider, or by your sub-contractor(s). Ideally your participant should be allocated one adviser / support worker who should become their regular contact. Where appropriate, alternative approaches may be used, but this is likely to be on an exceptional basis. If some support is provided by a non-contracted third party, this will not be viewed as a valid substitution for contracted Work Choice support Participants day-to-day needs can fluctuate and, where appropriate, Provider intervention should be flexible to reflect this. You must, however, look to ensure that minimum levels of support are maintained on a monthly basis Your participant s goals and the activity undertaken to achieve them, together with a note of the support you provided must be logged on their Development Plan, for inspection by Performance Managers if required. Support will be evidenced over a monthly period and you are required to keep a record of support in Development Plans and review documentation 22

23 23 Section 7 Returning to the Programme 7.1. It is recognised that a significant obstacle to people progressing from supported to unsupported employment is the perception that once they have left the provision they could find it difficult to return to it, should they need to. We would want to give people the confidence to fulfill their potential by ensuring they are aware they can return to Work Choice for support if the need arises. NB This also applies to former WORKSTEP participants, and those who may have originally been participants in the Supported Employment programme, working fewer than 16 hours. Module One 7.2. A participant who leaves Module One, before completing the whole of the module may be re-admitted to the programme within six months of day of last attendance, for the remainder of the module time Any lost ground due to ill health will be considered as reasonable grounds for a request for an extension to the normal six month period in Module One. See para 4.4 for more information on extensions This concession is to avoid disadvantaging participants with fluctuating health conditions or other extenuating circumstances Absenteeism should be dealt with at your discretion. You must bear in mind the voluntary nature of the Work Choice Programme and the need to focus provision on those who need it the most, but as health conditions can fluctuate, Module One places should remain open for up to a maximum of eight calendar weeks from date of last attendance. Module Two or Three - Supported Employees 7.6. If a supported employee leaves Module Two or Three on progression into sustained unsupported employment, they can return to the Work Choice programme within two years of the date of progression without the need to reassess their eligibility / suitability If a supported employee leaves Module Two or Three for any reason other than progression, they can return within one year without eligibility / suitability being re-assessed. 23

24 A returning, former supported, employee may rejoin any module, according to circumstances If you succeed in negotiating a return to supported work with an existing employer within 6 calendar weeks of progression from Work Choice this will be treated as a Retention and you will wish to note the guidance in Sections 8 (Retention) and 16 (Claiming payment for Retentions). Exit Plan When a participant leaves Work Choice you must explain their returning rights i.e. how to regain access to the Work Choice programme in their particular circumstances. This must be recorded on their Exit Plan. See Section 9 for further information on Development Planning and Exit planning. Recording Returners If you are approached by any former participant, who has formally left the Work Choice (or WORKSTEP) programme, you must direct them to re-apply via their DEA or Statutory Referral Organisation, as before, in order to generate the referral to Work Choice via the PRaP system This is because those former participants who are eligible to return within the set periods as detailed above will not be subject to an eligibility / suitability check, but their return must be recorded as a referral / start in the usual way. Former WORKSTEP Participants Returning Within Six Weeks of Go-live 7.13 Former WORKSTEP participants who were in the Pre-employment stage of WORKSTEP and declined to transfer to Work Choice Module One at Work Choice go-live on 25 th October 2010, but reconsider and apply to return to the programme within six weeks of go-live will be referred to you, via the PRaP system, as a new start. They will join Module One and will attract a short job outcome payment, as defined at upon achieving a supported or unsupported job Former WORKSTEP participants who were in supported employment and declined to transfer to Work Choice at Work Choice go-live on 25 th October 2010, but reconsider and apply to return to the programme within six weeks of go-live may also join Module One, if a return to their former employer cannot be negotiated If, however, you negotiate a return to their former supported job within six weeks of go-live they will join Module Two or Three. In this case they will be recorded via the PRaP system as a Transitional participant for outcome purposes 24

25 25 (see financial procedures para for further information). In all other aspects you will treat them as a new start and you will not be required to carry out any transitional activities A former WORKSTEP participant who returns to their former supported job within six weeks of go-live will be classed as a Retention and, as such, will not attract a short job outcome payment. However a sustained job outcome would be payable, as normal, should you enable them to progress to unsupported sustained employment The continued availability of protected Financial Incentive monies will depend on the timing of the participant s decision not to transfer to the new programme. Before Work Choice go-live you completed the Financial Incentive Summary Form (see para 52 and 53 of Work Choice Transition Guidance). You will therefore have received an allocation of funding for this purpose. Any participant who was recorded on that form as having a protected financial incentive should have that financial incentive reinstated if they re-consider their decision and return to their former supported job within 6 weeks of go-live. Please also see Transitional Guidance and Section 11 of this guidance for more information. 25

26 26 Section 8 - Retention 8.1. Supported jobs are intended for unemployed disabled people with complex work-related support needs which prevent them from being able to work in an unsupported environment Employees who become disabled (or whose existing disability worsens), whilst working in an unsupported job can often retain their job - with support from their employer Under the Disability Discrimination Act 1995 (and amended 2005) employers have a duty " to take such steps as it is reasonable to accommodate disabled employees. These adjustments may include adaptations to equipment or premises, or alterations to their employee s duties or conditions of service. For adjustments that are not seen as reasonable for an employer to make, AtW may be able to provide support, should the employee be eligible. Please see Appendix 6 for further information about Access to Work and follow this link for the DDA 1995: However, if an employee (or a self employed person) becomes newly disabled, or their existing disability changes in a way that puts their prospects of continued employment at serious risk, (and Access to Work cannot provide an immediate solution), then support from Work Choice may be required to ensure the employee retains their job. This intervention is termed a Retention Where a customer requires Retention support from the Work Choice programme, the DEA s referral will indicate it is a Retention case. If urgent, the DEA will advise you of the customer s situation by phone and you must arrange an initial referral interview as soon as the situation requires (as advised by the DEA), subject to a place being available in your provision at that time Intervention in a Retention case can be a matter of urgency, you must ensure you give priority to these cases and DWP Performance Managers (in consultation with the Commercial Specialist Team) will take a balanced view of the need to meet other contractual commitments in this eventuality. In Retention cases the referral interview can be held at the customer s place of work, should it be appropriate As the potential participant is already in employment, an initial interview in which the customer agrees to participate in Work Choice will be viewed as admittance to Module One. If the customer agrees to participate in Work Choice you must instigate your participant s Development Plan. Once you, your participant and (where appropriate) their employer agree a course of action, and sign a Development Plan, you must promptly transfer them to Module Two or Three as a supported participant. 26

27 How you resolve the case will determine the payment outcome. Please refer to Section 16 for how, and under what circumstances, a Retention is paid. 8.9 Should an employer (or a self employed person) approach you direct with a Retention case, you must signpost them to the DEA in the first instance. The DEA will ensure that the employee is eligible and that no other course of action or programme is more suitable than Work Choice. 27

28 28 Section 9 Development Planning and Exit Reports Development Plans 9.1. A key element of Work Choice is the Development Plan, which must reflect the participants abilities, aspirations and job goals and include all support mechanisms agreed All participants in Work Choice must have an agreed Development Plan that is regularly reviewed, and revised if required (to reflect the needs of the individual participant). Development Plans should be reviewed as and when necessary but as a minimum on a quarterly basis. You must monitor progress against that which is agreed in the Development Plan and to be able to demonstrate Distance Travelled. (See Section 10 of this guidance) The Development Plan must be completed and agreed with the participant and, if applicable, their employer. It must be signed and dated by all parties, and you must ensure that all participants in your programme have a copy of their current Development Plan, produced in a format which they can understand A Development Plan should be used as a living document and participants must be regularly and actively involved in discussing their circumstances and the steps needed to assist their development while on the Work Choice programme, including how they may progress to working without support, where it is appropriate. All significant activity must be recorded here, e.g. requests for extension of time in Module One, details of any Access to Work support, purposeful activity agreed and accomplished by either party, milestones agreed and passed, use of distance travelled tool etc Progression to unsupported work should be openly and appropriately discussed with participants in a positive way i.e. as a short-term or long-term goal. You must ensure participants understand what is meant by progression and what steps you and your participant could take towards progressing to unsupported work. You must stress the advantages whilst ensuring participants understand the rules for returning to the programme if needed You may also need to consult and work with the participant's support network, which could include family, carers, social workers etc, provided the participant agrees with such consultation. This must also be recorded within the Development Plan. 9.7 The Development Plan original must be retained by yourselves for Provider Assurance Team checks and retained for six years from the end of the contract. (NB: if the contract is used as European Social Fund (ESF) Match, you should refer to Generic Provider Guidance Part 12, Annexe 9). 28