Notice to Providers
Changes To Evidence Requirements For Paying Job Outcomes In Contracted Employment Programme Provision
Issue:
The purpose of this note is to inform you of the changes to the existing evidence requirements to support job outcome claims.
Background:
We have become increasingly aware of Financial Assurance and Monitoring (FAM) Teams and latterly Payment Teams being approached by providers to seek advice as to whether alternative types of evidence are acceptable. This is in the main due to providers experiencing difficulties with obtaining the evidence requirements prescribed in various provider guides and due to inconsistencies across various employment programmes in respect of evidence requirements.
A workshop was held to establish and understand the problems currently experienced by providers, what leads them to request alternative evidence to be considered and to identify improvements to evidence requirements that would benefit both providers and the Department. The workshop was attended by representatives across the provider base and key stakeholders within the Department.
One of the key aims of the workshop was to strike the appropriate balance between reducing the burden on providers to gather evidence which they are finding increasingly difficult to obtain and the need to protect public funds by ensuring a robust control framework remains in place. Another being to bring about much needed consistency across FAM teams, providers and across all Contracted Employment Programme Provision.
Some providers proposed that rather than having a prescribed list of evidence requirements it would be more beneficial to accept many different forms of evidence to support the employer verification template as long as the employer name and address was included. Their rationale was that it would never be possible to have an exhaustive list as new suggestions would always be presented.
Whilst we accept the rationale that there will never be an exhaustive list we did not accept this proposal as (a) it would not remove the inconsistencies amongst FAM Teams and providers across regions and programmes and (b) it would lessen control to an unacceptable level which would therefore leave us vulnerable to criticism from RAD and NAO.
In the main providers considered that these relatively minor changes to the existing requirements would be sufficient for them to obtain evidence more easily, particularly in respect of small employers. The revised evidence requirements are set out at Annex 1.
Action and Timing:
Providers are required to note the changes outlined below to existing evidence requirements. These changes can be implemented with immediate effect.
We do however recognise that a transitional period may be required where the Department would accept evidence which is in existing guidance for a three month period from the date of this note.
After this time we would expect providers to be complying with the evidence requirements outlined in Appendix 1 and this will replace all previous evidence requirements relating to job outcomes in existing guides. We will arrange for these guides to be updated as part of the normal course of business.
Providers should note however that previous exceptions to existing guidance which have been approved on a case by case basis by FAM teams and contract managers will no longer be accepted from the date of this note.
If you have any queries on this note please speak to your contract manager.
Summary of Main Changes:
Business Cards:
Business Cards will now be accepted along with compliment slips and letterheads in support of the signed statement from the employer. These items must be signed by the same person signing the employer declaration, ideally containing company address and signatory's name.
Participant Declaration:
A signed statement from a participant can now be used as a source of primary evidence providing it is supported by either a contract of employment or wage slips which clearly demonstrates that the job fulfils the requirements of the job outcome definition. For example a contract would need to be of a permanent nature. This now removes the need to maintain an audit trail as to why this evidence has been obtained.
Self Employment:
Self Employment job outcomes will now need to be supported by a letter from a recognised business start up organisation which must include a business plan or evidence of trading that is clearly linked to the company and be proportionate to the business.
Faxed Evidence:
Providers will now be able to submit employer verification templates which have been faxed from employers to providers as long as the following conditions are met:
- Information is clearly legible;
- Includes employer details;
- Correct paper is used to ensure the print remains legible to meet the document retention times as per contractual requirements;
- Faxed to a named contact in provider organisation and removed from fax immediately after transmission to ensure participants personal details are safe guarded.
We would not expect providers or employers to fax templates direct to Payment Teams. We still require Providers to post an original claim form to Payment Teams along with all supporting evidence if required, depending on the nature of the provision delivered.
Providers should note however that if in time the use of faxed templates significantly increase the risk of fraud then DWP reserve the right to review their position.
Photocopied documents:
Photocopies of participant owned documents will now be accepted providing they are clearly legible and there is no reason to suspect that the photocopy has been altered in anyway. These typically include payslips, bank statements etc. Where the provider obtains evidence to support their verification template directly from the participant, they should take a photocopy, ask the participant to sign it as a true copy of the original and return the original document immediately to the participant.
Providers should again note that if in time the use of photocopied documents significantly increase the risk of fraud then DWP reserve the right to review their position.
