Handling sanction referrals and notifications
Summary
What to do when there is reason to believe a claimant has not met a work
related requirement
Content
When there is reason to believe a claimant has not met a work-related
requirement, an agent should invite the claimant to show good reason.
There are no specified time constraints in law for a claimant to show good
reason for a failure.
Claimants should be given sufficient time to comment and to provide evidence
appropriate to the particular circumstances of the failure. This should be flexible
to reflect an individual's circumstances.
In most cases the benchmark should continue to be 5 days where the
information is to be by post. (Reference to days is working days excluding
Saturdays, Sundays and bank holidays. Allowance must be made for posting
where a notification is made by post.
Depending on the individuals circumstances the agent can set the date for less
than 5 days where:
the agent contacts the claimant by phone or face to face (and the agent
is satisfied that the claimant is clear about what they are being asked to
provide and do not need to collate and provide evidence)
the claimant has agreed the preferred method of contact is by electronic
means such as by text, email or their UC account. (If the claimant agrees
to provide evidence face to face, by telephone or by electronic means the
claimant must be informed of the consequences of not providing good
reason by a certain time). Some of the methods by electronic means will
not be available during Pathfinder, for example, their UC account.
The agent can set the date for longer than 5 days where the claimant, for
example:
needs to seek information or evidence from a third party
has an agent or representative
has complex needs/requirement for additional support – such as a health
condition, life event, personal circumstances that may have prevented
them from replying at this time (e.g. a pre existing health condition that is
relevant or existing caring or parental responsibilities that may be
relevant)
Note: Sanction referrals are not appropriate if a 2nd opinion of the Claimant
Commitment results in changed requirements and the claimant fails to do
something which on review is no longer relevant.
Recording on WSP that a claimant may have failed to meet a work related
requirement
When the agent identifies that the claimant may not have met a requirement
then this is recorded on the claimant's record on Work Services Platform
(WSP). The agent:
1. Selects 'Doubt' from the 'Common' menu in the claimant's record – a
history of previous doubts raised will be displayed.
2. Selects 'Add New Doubt' – this opens at the 'Doubt' screen.
3. Selects a 'Doubt Type' to open a new window.
4. Makes a selection from the 'Name' column (the 'AR code' field will
automatically be populated once a 'Doubt Type' has been selected). A
full list of AR codes and descriptions in WSP can be found in the table
below.
5. Selects 'From date' and enters date of failure.
6. Selects 'To date' if relates to a low or lowest level sanction (for a work
preparation or interview requirement) and claimant has met compliance
condition (date should be the day before the claimant meets the
compliance condition).
7. Records if evidence has been asked for by updating the 'Evidence
Requested' radio button (this defaults to 'No') and sets to 'Yes' if
evidence has been requested. (If this is set to 'Yes', the 'Review Date'
field appears and sets a date 5 working days from today. This can be
changed if appropriate). The agent should leave the radio button as 'No'
if all the evidence has been received at the point of the doubt being
raised on WSP.
8. Selects the 'Source' from the look up e.g. 'Provider'.
The agent identifies the correct good reason data gather notification letter
relevant to the sanction level:
High and Medium (LTR Good reason gather)
Low (LTR Good reason gather low level sanction)
Lowest (LTR Good reason gather lowest level sanction)
The agent copies the exact wording of the failed Work Related Requirement
from the current Claimant Commitment and any compliance conditions stated
including dates and times if appropriate. The agent issues the notification to the
claimant by hand if they are in the office or by post if not, informing them we are
not satisfied they have met one of their Work Related Requirements and to give
them the opportunity to provide any evidence and the date the form must be
returned to the Mail Opening Unit (MOU) by.
If issuing the notification by hand, the agent should encourage claimant to
complete the questions on the good reason data gather notification whilst in the
office and emphasise the importance and relevance of providing reasons. If the
claimant does not need any supporting documentary evidence and completes
the questions whilst in the office, the WSC sends the completed notification to
the MOU for uploading in to the Document Repository Service (DRS).
If the claimant has a potential Low or Lowest sanctionable failure, their UC
could be cut for every day until the claimant complies followed by fixed periods.
This must be explained to the claimant. The agent must ensure the claimant
understands what they need to do to meet the requirement and stop their
potential Low or Lowest sanction period from building. The claimant's work
search activity will be reviewed as part of the process if necessary.
The agent records the following in the 'Notes' section of the 'Doubt' screen:
type of notification issued (see notification list above)
the date of issue and when it has to be returned by
method of notification
for low and lowest level sanctions, include the compliance condition and
the date of compliance if appropriate
details of the failure. For example, claimant failed to attend a Work
Search Interview
any contact with the claimant since the failure
any other relevant information
Reviewing the task where evidence has been requested
When a sanction referral has been raised, WSP automatically sets a task to
review the evidence that has been requested. On receipt of the task the agent:
1. Selects the appropriate task from 'My Activities' and checks for notes
held in the task, claimant record and the 'Doubt' screen for the
information/evidence requested.
2. Checks if the evidence has been received.
3. Checks DRS for related post.
4. Adds a new note in the 'Doubt' screen to record any items of evidence
received.
5. Records 'Mark Complete' to close the task and remove from 'My
activities'.
6. Selects 'Save and Close'.
DRS takes 48hrs to upload information therefore this must be taken into
account when determining whether the claimant has met the date set for the
return of evidence.
Evidence not received and claimant identified as having complex needs
and/or requires additional support
Where a claimant is identified as having complex needs and/or requires
additional support, the agent should consider these and determine whether
additional action is required.
When appropriate the agent calls the claimant to discuss if they are able to
provide evidence and if they require any additional support to do this.
The claimant's contact details can be obtained from the 'Contact Details' section
in their WSP record.
Where the call is successful, the agent asks the standard security questions to
confirm the claimant's identity before continuing with the call.
Where the claimant's identity is confirmed, they explain to the claimant that
there has been a request for evidence relating to a sanctionable failure and this
evidence has not been received.
The agent explains to the claimant the importance of providing evidence as a
decision will be made without their input if they do not provide the evidence.
If the agent is satisfied that the claimant can provide the evidence the agent
asks the questions listed on the original notification held in WSP notes. The
agent records the responses in a new note word for word. If the claimant
intends to provide supporting documentary evidence the agent advises them to
post this with the original notification to MOU.
If the agent decides during the call that the claimant requires further support, a
referral to an intermediary should be considered. If this is the case, the agent
determines a suitable return date based on the claimants circumstances and
explains this to the claimant. The agent then sets a task to review receipt of
evidence.
If the claimant is unable to get support from an intermediary, the agent refers
them to DWP Visiting Service. See 'Considering claimants complex
needs/requirement for additional support before taking sanction action'. The
agent then sets a WSP task to review the outcome of the visit.
Where the call is unsuccessful or the claimant fails the security questions, the
agent sends a further good reason data gather notification and re-sets the WSP
task to review receipt of evidence.
When the task matures, the agent repeats the process (as explained above).
Where the call is unsuccessful for a second time, the agent prepares for referral
to a Decision Maker (DM).
Recording a decision for cases of failure to attend Work Related
Interview/Work Search Review
In cases of failure to attend Work Related Interview/Work Search Review cases
only: if the claimant provides information or evidence that complies with the list
below then there is no need to refer the matter to a Decision Maker (DM).
The factors that count as good reason are:
suffering a temporary period of sickness (for 2 periods of sickness in any
12 months. The 2 periods cannot run consecutively)
a domestic emergency (life event) – including serious illness, death,
funeral or emergency affecting a relative or close friend or death of
someone the claimant is caring for
claimant was detained in police custody for 96 hours or less then
released
claimant was required to attend court or tribunal
claimant has attended a job interview and can provide sufficient
evidence, for example, letter from employer/name of interviewer
adverse weather conditions – consider are the local conditions such that
the claimant could not reasonably be expected to attend
claimant has accessed the domestic violence conditionality easement
within the past 12 months
the claimant was at work or travelling to work
The agent should be satisfied that the reasons given apply to the above list and
can be treated as straight forward without a referral to the DM. However, if the
reasons given meet the criteria above but the agent doubts validity, good
reason cannot be accepted and the case must be referred to the DM.
To record the decision, with the claimant's WSP record open at the 'Doubt'
screen, the agent:
1. Selects the relevant 'Doubt'.
2. Selects 'Close Doubt' icon from the tool bar menu.
3. Selects look up menu under 'Outcome'.
4. Selects 'Good Reason' from the list displayed then 'OK'.
5. Selects 'Date Calendar' from 'Decision Made On' field and selects
relevant date.
6. Selects 'Decision Made By' field and records name of the agent who
made decision and 'OK'.
7. Selects 'Save and Close'.
If the agent is face-to-face with the claimant they inform them that good reason
has been accepted and no further action will be taken. If the agent is not face-
to-face with the claimant, the agent attempts to contact the claimant by
telephone to inform them of the decision.
If the claimant can't be contacted by phone and the agent is not in face-to-face
conversation with the claimant, the agent completes and sends a 'LTR Good
Reason accepted' notification to the claimant. The agent also sends a copy of
the notification to the MOU marked 'No CAMLite Action'.
If the evidence provided by the claimant is not accepted as good reason the
agent refers the case to a DM.
Referring the case to a Decision Maker
When a case needs referring to a DM, the agent sends details of the failure to
the Account Developer (AD) to be forwarded to the National Decision Making
team.
For further information on the details to include in a referral see 'Gathering
evidence for DM referrals'.
To record the referral on WSP, the agent:
1. Selects the 'Refer Doubt' icon on the toolbar. List of AR codes can be
found in the table below.
2. Enters today's date in the 'Referred On' field.
3. Completes the 'Destination' field with 'National Decision Making'.
4. Records if evidence has been received by updating the 'Evidence
Received' radio button, this defaults to 'No' and should be set to 'Yes' if
evidence has been received. The agent updates 'Notes' with:
o
a list of any evidence provided by the claimant including the
evidence held on DRS and the date it was sent to the MOU
o
any relevant contact with the claimant
o
where the claimant has failed to attend a Work Related Interview
any interviews booked or conducted since the failure was
identified
o
any details of compliance. For example, claimant attended with
CV
5. Selects 'Save and Close'.
The agent sets an immediate generic clerical CAMLite task sub type 'Action
Required' to the AD to refer the sanctionable failure for a decision. The task
notes include “refer to DM, data gather letter sent on dd/mm/yy and sanction
referral type”. The AD reassigns the task to their team leader who reassigns the
task to the DM.
Sanction referral from a Work Programme or Mandatory Work Activity
provider
When a sanction referral on either a MWA1(UC) or WP08(UC) form is received
from either the Work Programme (WP) or MWA provider, the Account
Developer (AD) records the sanctionable failure onto the claimant's WSP
record.
The MWA1(UC) or WP08(UC) form will be received by either:
fax
post
e-mail
If the form is received by fax or post, the AD receives a CAMLite task from the
specialist admin team to review the notification in Document Repository System
(DRS).
If the form is received by email, the AD uploads the MWA1(UC) or the
WP08(UC) to DRS.
To record the sanctionable failure on WSP, the AD:
1. Selects 'Doubt' from the 'Common' menu in the claimant's record – a
history of previous doubts raised will be displayed.
2. Selects 'Add New Doubt' – this opens at the 'Doubt' screen.
3. Selects a 'Doubt Type' to open a new window.
4. Makes a selection from the 'Name' column (the 'AR code' field will
automatically be populated once a 'Doubt Type' has been selected). A
full list of AR codes and descriptions in WSP can be found in the table
below.
5. Selects 'From date' and enters date of failure.
6. Selects the 'Source' from the look up e.g. 'Provider'.
7. Selects 'Save' on WSP.
8. Sets a WSP task for the Work Services Coach (WSC) to inform them that
a potential sanctionable failure has been identified by the provider.
9. Sends the sanction referral to the DM. See 'Referring the case to a
Decision Maker' above.
Work Services Platform AR Codes for sanction referrals
When recording a sanction referral on WSP, the agent will choose the relevant
category from the table below.
Work related
Conditionality
requirement type
Code Name Level Group
and example of
failure
Loss of
All work-related
employment
UCH/001
High
requirements
through
group
misconduct
Leaving
All work-related
UCH/002 employment
High
requirements group
voluntarily
Lose pay through
All work-related
UCH/003
High
misconduct
requirements group
Lose pay
All work-related
UCH/004
High
voluntarily
requirements group
Fail to apply for a
All work-related
A work availability
UCH/005
High
job
requirements group requirement
Failing to accept a
All work-related
A work availability
UCH/006
High
job
requirements group requirement
A work preparation
Fail to undertake
requirement, e.g.
All work-related
UCH/007 Mandatory Work
High
provider told claimant
requirements group
Activity
to take work based
placement
A work search
Fail to undertake
requirement, for
All work-related
UCH/008 all reasonable
Medium
example look in
requirements group
work search action
newspapers, UJ
account etc.
A work search
Fail to be available
All work-related
requirement, for
UCH/009
Medium
to take up work
requirements group example on holiday,
caring
A work related
Fail to comply with
interview requirement,
All work-related
UCH/010 an interview
Low
for example work
requirements group
requirement
search review, WSC
interview
Fail to comply with
an interview
All work-related
A work-related
UCH/011
Low
requirement (self
requirements group interview requirement
employed)
A work-preparation
Fail to attend a
All work-related
requirement, for
UCH/012
Low
skills assessment
requirements group example Maths and
English
A work-preparation
Fail to participate
All work-related
requirement, for
UCH/013 in an employment Low
requirements group example work
programme
programme
Fail to undertake
All work-related
A work preparation
UCH/014 work experience or Low
requirements group requirement
work placement
A work preparation
Fail to develop a
All work-related
UCH/015
Low
requirement, Self
business plan
requirements group employed
A work preparation
requirement, for
Fail to
example dress
improvement
All work-related
UCH/016
Low
appropriately for
personal
requirements group interviews, have a
presentation
wash, take studs out
of nose
A work preparation
Fail to participate
All work-related
UCH/017
Low
requirement, for
in training
requirements group example ESOL
Fail to prepare or
All work-related
A work preparation
UCH/018
Low
maintain a CV
requirements group requirement
For example print off
Fail to comply with
of UJ access, as they
requirement to
All work-related
are not compelled to
UCH/019 provide evidence Low
requirements group give us access but
or confirm
have to show they
compliance
have an account
Fail to comply with
For example reduced
requirement to
hours of volunteering
report specified
but didn't inform of
change in
All work-related
UCH/020
Low
greater availability to
circumstances
requirements group job search, caring
relevant to work
responsibilities end
related
but they don't inform
requirements
All Work Related
Fail to undertake
All work-related
Requirements Group,
UCH/021 particular specific Low
requirements group didn't upload CV to UJ
work search action
or set up UJ
Fail to comply with
Work preparation Requirements which
UCH/022 work preparation Low
group, (claimants help keep them
requirement
have LCW but not motivated by
LCWA) All work-
preparing them to
related
return to work as soon
requirements group as they are able to,
taking into account
their capability, for
example attend
computer course
Work-focused
interview group,
Fail to comply with
(e.g. LP's and
Work Services Coach
a work focussed
carers), work
UCH/023
Lowest
Work-focused
interview
preparation group interview only
requirement
(claimants have
LCW but not
LCWA)
Work-focused
interview group,
Fail to comply with
For example - show
(e.g. LP's and
requirement to
they have enquired
carers), work
UCH/024 provide evidence Lowest
about college courses
preparation group
of confirmation
by bringing in
(claimants have
compliance
prospectus
LCW but not
LCWA)
Fail to comply with
Work-focused
requirement to
interview group,
report specified
(e.g. LP's and
change in
carers), work
UCH/025
Lowest
circumstances
preparation group
relevant to work
(claimants have
related
LCW but not
requirements
LCWA)
Overview of work-related requirement sanctions in Universal
Credit
Summary
Information on the various sanction levels and the reasons and durations
applicable to Universal Credit
Content
For Universal Credit we will focus on setting suitable work-related requirements,
tailored to the claimant's circumstances. These requirements are important
because claimants are more likely to enter full-time work if they meet them.
Work Related Requirement Sanctions (sometimes known as conditionality
sanctions for Jobseeker's Allowance) should act as a deterrent for claimants
against failing to meet these important requirements. Therefore we should
ensure that claimants fully understand both the requirement and the sanction
consequences of not meeting it.
Sanctions can only be effective in encouraging claimants to meet work-related
requirements if the possible sanctions they may face are communicated to and
understood by the claimant. Evidence shows that claimants are more likely to
meet a requirement if they understand they will receive a sanction if they fail to
do so.
Ensure sanctions are explained when requirements are set and be clear to
claimants that if they fail to meet a requirement without a good reason they will
receive a sanction. The agent must explain that a sanction means their
Universal Credit payments will be cut. The more times that a claimant fails to
meet requirements, the longer a sanction will be.
A sanction will cut a claimant's Universal Credit payment by a daily amount.
That daily amount, and how long the cut could last for, is recorded on the
Claimant Commitment. Further important information is in the Commitment
Pack. This information should be drawn to the claimant's attention and
explained to them.
Where a claimant is aware that a requirement is mandatory but nevertheless
fails without a good reason to meet a suitable requirement that was clearly
notified to them, then a sanction should be applied.
A trained decision maker determines whether the claimant had good reason
and if a sanction should apply.
Differences and similarities between legacy Jobseekers Allowance (JSA)
and Employment and Support Allowance (ESA) sanctions regimes and the
Universal Credit sanctions regime
For Universal Credit there will be four sanction levels – higher, medium, low and
lowest.
JSA and Universal Credit
The higher level sanction periods are the same for JSA and Universal Credit,
the only difference is that under Universal Credit the sanctions are expressed in
days.
In JSA there is disentitlement for failure to be available for, or seeking work
followed by an intermediate sanction. Under Universal Credit there is no
disentitlement for these failures and a medium level sanction is applied instead
(note also that the work search and availability requirements in Universal Credit
are different to JSA).
In JSA the low level sanctions are for fixed periods. In Universal Credit the low
level sanctions will have two elements – an open-ended period which will run for
a period equal to the number of days from the date of failure until the day before
the claimant meets a compliance condition, followed by a fixed period.
ESA and Universal Credit
The low level sanctions in ESA will work in the same way in Universal Credit,
that is, an open ended period followed by a fixed period. The only difference is
that they will be expressed in days.
In Universal Credit there will also be lowest level sanctions for claimants in the
Work Focused Interview Only Group.
How sanctions will operate for Universal Credit
For higher, medium and low level sanctions, claimants will be sanctioned an
amount broadly equivalent to 100% of their Standard Allowance. For lowest
level sanctions they will be sanctioned an amount equivalent to 40% of their
Standard Allowance.
For Universal Credit sanctions will run consecutively and the claimant's award
amounts will therefore be reduced for the entire duration of all sanctions. So
where a claimant is subject to one sanction and receives another, the period of
the second sanction will be added to their Total Outstanding Reduction Period
(TORP).
This is different to the current position in JSA whereby if a claimant is subject to
one sanction and receives another, the sanctions run concurrently with one
reduction suppressed so that for the period in which the two sanctions overlap
the second sanction has no impact.
Once a DM decides that a sanction should apply, then that sanction period will
be added to the claimant's TORP. The TORP is the total of all sanction days
imposed on a claimant which has not yet resulted in a reduction to the award
and is limited to 1095 days. A new sanction which would take the TORP over
1095 days must be reduced in length accordingly.
Daily sanction amounts
The daily sanction amount for claimants has been determined in accordance
with a formula based on the Standard Allowance for each category of claimant.
For claimants receiving a high, medium or low level sanction the formula will be:
Standard Allowance x 12 divided by 365, rounded down to the nearest 10p.
For lowest level sanctions it will be 40% of the Standard Allowance x 12 divided
by 365, rounded down to the nearest 10p.
In cases where there are joint claimants the formula is based on half of the joint
Standard Allowance paid to the couple.
A claimant's Standard Allowance is based on their age and whether they are
single or part of a joint claim. For a list of daily sanction amounts for each
category of claimant see Advice for Decision Makers (ADM).
Application of a reduction to the claimant's award in Universal Credit
The reduction for a particular assessment period is then calculated (based on
the daily sanction amount on the last working day of that assessment period). In
cases where the TORP is less than the number of days in the given
assessment period, then the reduction will be calculated by multiplying the
number of days in the TORP by the daily sanction amount for the claimant.
In cases where the TORP exceeds the number of days in the given assessment
period, the reduction will be calculated by multiplying the number of days in the
assessment period by the daily reduction amount. Any residual sanction days
are carried forward and applied to future assessment periods.
If the reduction would exceed the Standard Allowance (or half the Standard
Allowance for a joint claimant) the sum is reduced accordingly so it does not
exceed these amounts.
16/17 year olds
16 and 17 year olds will be able to claim Universal Credit in their own right in
some circumstances and could fall into any one of the four conditionality groups
(All Work-Related Requirements, Work Preparation, Work-Focused Interview
Only and No Work-Related Activity Requirements) depending on their capability
and circumstances.
The sanctions regime for 16 and 17 year olds mirrors the adult regime but has
lower sanction amounts and shorter durations. The durations are set out
alongside the over 18 periods below.
16 and 17 year olds will be sanctioned 40% of the Standard Allowance.
Sanction levels
There are four levels of sanction: higher, medium, low and lowest. Sanction
durations range from fixed higher level sanctions of up to three years for
claimants who repeatedly fail to meet their responsibilities to lowest level
sanctions which are open-ended and build up, usually until the claimant meets a
compliance condition.
Where a claimant has good reason for a failure, a sanction will not be applied.
Higher level sanctions
Higher level sanctions will be applied to claimants subject to All Work-Related
Requirements who without good reason:
fail to undertake Mandatory Work Activity
fail to apply for a particular vacancy
fail to take up an offer of paid work
by reason of misconduct or voluntarily and without good reason (i) cease
paid work or (ii) lose pay
For claimants aged 18+ high level sanctions will usually be for a fixed duration
of:
91 days for a first failure
182 days if there has been a 91 day higher level sanction applied for a
failure in the 365 days prior to the current failure date.
1095 days if there has been a 182 or 1095 day higher level sanction
applied for a failure in the 365 days prior to the current failure date.
For claimants aged 16-17 higher level sanctions will usually be for a fixed
duration of:
14 days for a first failure
28 days if there has been a 14 or 28 day higher level sanction applied for
a failure in the 365 days prior to the date of the current failure.
Pre-claim failures –higher level sanctions
Where a claimant:
leaves employment voluntarily
loses pay voluntarily
loses employment or pay because of misconduct&
fails to take up an offer of employment
before applying for Universal Credit the applicable sanction period will be
reduced by the length of time between that failure and the date of the UC claim.
Sanctions for pre-claim failures do not count for the purposes of escalation, so if
a claimant fails to meet a higher level requirement any pre-claim higher level
sanction in the preceding 365 days is ignored for the purposes of escalation.
If the pre-claim failure relates to employment which was expected to last for a
limited period, the applicable sanction period will be the shorter of the standard
duration or the length the employment was expected to last, minus the number
of days between the failure and claim.
Medium level sanctions
Medium level sanctions will be applied to claimants subject to All Work-Related
Requirements who without good reason:
fail to undertake all reasonable work search action
fail to be able and willing to immediately take up work
Medium level sanctions for claimants aged 18+ will be of a fixed duration of:
28 days for a first failure
91 days if there has already been one or more medium level
sanctionable failures in the 365 days before the date of the current
failure.
Medium level sanctions for claimants aged 16-17 will be of a fixed duration of:
7 days for a first failure
14 days if there has been one or more medium level sanction applied for
a failure in the 365 days before the date of the current failure
Low level sanctions
Low level sanctions will be applied to claimants who are subject to All Work-
Related Requirements or are in the Work Preparation Group (i.e. subject to
work-preparation and Work Focused Interview requirements) and who fail
without good reason to meet any work-related requirement (or connected
requirement) that is not sanctionable at the higher or medium level.
There will be two components to a low level sanction for claimants aged 18+.
An open ended component equal to the number of days from the date of failure
until:
the day before the date the claimant meets a compliance condition
the day before the date the claimant moves to the No Work-Related
Requirements Group
the day before the date the claimant is no longer required to undertake a
particular action under the work-preparation requirement
the date the award is terminated (other than by reason of the claimant
ceasing to be or becoming a member of a couple)
plus
a fixed period of 7 days
14 days if there has been a lower level sanction with a fixed period of 7
days applied for a failure in the 365 days prior to the date of the current
failure.
28 days if there has been a lower level sanction with a fixed period of 14
or 28 days applied for a failure in the 365 days prior to the date of the
current failure
For claimants aged 16-17, low level sanctions will be for an open period which
will run for a period equal to the number of days from the date of failure until:
the day before the date the claimant meets a compliance condition
the day before the date the claimant moves to the No Work-Related
Requirements Group
the day before the date the claimant is no longer required to undertake a
particular action under the work-preparation requirement
the date the award is terminated (other than by reason of the claimant
ceasing to be or becoming a member of a couple)
plus
for second and subsequent failures with a previous failure within the 365
days prior to the current failure, a fixed period of 7 days
Lowest level sanctions
Lowest level sanctions will be applied to those claimants subject to Work
Focused Interview Requirements Only who fail to attend or participate in a Work
Focused Interview without good reason.
Lowest level sanctions will be open-ended for a period equal to the number of
days between the date of failure and:
the day before the date the claimant meets a compliance condition
the day before the date the claimant moves to the No Work-Related
Requirements Group
the date the award is terminated (other than by reason of the claimant
ceasing to be or becoming a member of a couple)
Compliance condition
A compliance condition is the action a claimant must take to stop the open-
ended element of the sanction building. It can be the original requirement
imposed on the claimant or a new requirement where the original is no longer
appropriate, for example if the original requirement is time-limited, such as a
training course on a specific day.
Escalation of sanctions
Sanctions will only escalate when there is a previous sanction at the same level
(higher, medium or low). Only previous sanctions with a date of failure in the
365 days prior to the current failure date are counted.
The date of failure is used to determine progression up the sanctions ladder.
A previous higher level sanctionable failure with a failure date prior to the date
of UC claim (a pre-claim failure) is disregarded for escalation purposes.
A previous sanctionable failure at the same level is disregarded for the
purposes of escalation if it occurred in the 14 days immediately preceding the
current failure.
Escalation of sanctions does not apply to lowest level sanctions.
Sanctions in place until exhausted
Where a claimant's award is terminated and they subsequently reclaim and
receive a new award of Universal Credit, any unexpired TORP will apply to the
new award.
The reduction remains in place until exhausted. Therefore, the TORP is
reduced by one day for each day a sanctioned individual does not have a
Universal Credit award.
Termination of sanctions
Sanctions will remain in place until exhausted subject to three exceptions:
1. All unexpired sanctions will be terminated (i.e. the TORP is reduced to
zero) if the claimant can prove they have been in employment earning at
or above their earnings threshold for at least 26 weeks since their last
sanctionable failure. The period in employment above the threshold need
not be continuous.
2. The sanctionable amount will be reduced to zero whilst a claimant has
been assessed as or treated as having both a Limited Capability for
Work (LCW) and a Limited Capability for Work Related Activity
(LCWRA). Sanctions will remain in place whilst claimants await the Work
Capability Assessment (WCA) determination
3. The TORP will be reduced to zero where a claimant with a sanction dies.
Change to sanction amount when claimant moves conditionality group
For claimants who move into the No Work-Related Requirements group on the
grounds of childcare responsibilities, the sanction amount will change to 40% of
the Standard Allowance. This includes:
a responsible carer for a child under 1
a claimant who is pregnant and it is 11 weeks or less before her
expected week of confinement
claimants who adopt a child and it is 52 weeks or less since the date the
child was placed with the claimant
claimants who adopt a child and have elected that the 52 weeks should
run from a date within 14 days before the child was expected to be
placed, that date
General principle of sanctions
The daily reduction amount used to calculate the reduction for an assessment
period should reflect the claimant's conditionality and circumstances on the last
day of the assessment period for which the award is being reduced. This
approach is intended to avoid the situation whereby different daily reduction
amounts apply in the same assessment period because claimants move
between conditionality groups.
Failure to report change of circumstances
Claimants are required to report the loss of a job within 5 working days unless
they fall into the No Work-Related Requirements Group for a reason other than
earnings above the conditionality earnings threshold. However, in practice
initially, a sanction will only be imposed if as a result of the loss of a job their
pay has reduced so that they/their household are below the lower conditionality
threshold (subject to full work search requirements).
The sanction starts from the 5th day after losing the job and stops building when
the claimant notifies Universal Credit.
Similarly, loss of pay/paid work sanctions will also only apply if as a result of the
loss their pay has reduced so that they/their household are below the lower
conditionality threshold (subject to full worksearch requirements).
Fraud penalties
Work-related sanctions will be suspended when a fraud penalty is in effect. The
work-related requirement sanction will resume once fraud penalty has expired.
This approach will ensure that claimants will serve the full duration of both
sanctions without both amounts being deducted at the same time.
A previous fraud/loss of Benefit penalty will not count towards escalation of
conditionality sanctions.
The 1095 day cap on the TORP will only apply to work-related requirement
sanctions. Fraud penalties may be over and above this.
Potential failure to meet work related requirements
Summary
Action to take where a claimant fails to meet work related requirements
Content
Agents may become aware of scenarios where possible sanctions apply
through their normal contact with the claimant. Where an agent is not satisfied
that a claimant has met all their work related requirements, a Decision Maker
(DM) referral is required.
An agent may also receive feedback from a provider that the claimant is failing
to meet their requirements whilst undertaking provision, or they have failed to
attend a pre arranged interview or appointment. Again if identified a referral to
the DM will be required.
High level sanctions
Losing pay or paid work voluntarily or through misconduct
Any questions arising around a claimant losing pay or paid work will usually be
identified from the Initial Work Search Interview for new claimants or Real Time
Information (RTI) feed/self reported earnings for existing claimants.
Where it has been identified that the claimant has lost paid work or lost pay,
either voluntarily or through misconduct a form is issued to the claimant for
them to give their reasons for leaving, reason for dismissal or loss of pay.
The two forms are:
FM Loss of Paid Work
FM Loss of Pay
The form is issued to the claimant either by post or face to face but it must be
returned fully completed within 7 calendar days. The agent records in WSP that
evidence has been requested. WSP sets a review date for 7 calendar days (
See Handling Sanction Referrals and Notifications for when this can be
changed)
The form will be issued by a UC agent, with the correspondence address so it
can be returned to the correct office.
Failure to participate in Mandatory Work Activity
Referrals to Decision Making and Appeals Teams are usually made directly by
the Mandatory Work Activity (MWA) provider. An agent may be required to take
action where it is identified that a claimant behaves in such a way that they lose
the chance of a place on the MWA programme. Examples of such conduct are
where the claimant:
arrives late or does not turn up for an interview
arrives at the wrong place through their own negligence
If it appears that a claimant may be deliberately avoiding the chance of a place,
submit the case to the Decision Maker on failure to participate.
Failure to apply for a particular vacancy & failure to take up the offer of
paid work
A claimant can receive a sanction where they, without good reason, fail to apply
for a particular vacancy for paid work.
It should be made clear to the claimant, at the time they are informed about a
suitable vacancy, that refusal or failure to apply for the position, or subsequent
non-acceptance of the job when offered without good reason, will result in a
reduction of Universal Credit. This ensures that the claimant can make their
decision in the full knowledge of the possible consequences.
Claimant’s behaviour
Claimants may behave in such a way that they lose the chance of employment,
for example they may arrive late for an interview or go to the wrong place
through their own negligence. In these cases a DM referral is required.
Exempt Vacancies
There are some occasions when a vacancy has been notified to a claimant by
an agent, where refusal and failure to apply for or accept employment, further
action is not appropriate. These include:
a job is vacant because of a Trade Dispute
the job notified is self-employed work
This list is not exhaustive
Medium level sanctions
Failing to comply with a Work Search Requirement
The work search requirement is a requirement that a claimant take
all reasonable action and
any particular action that has been specified by the Secretary of State to
get paid work, more paid work or better paid work.
When deciding if the work search “all reasonable action” requirement has been
met, agents should have regard to the
time spent by the claimant looking for work and
quality of the claimant’s work search including the range of actions that
they have taken (for example, contacting employers, registering with
employment agencies, investigating self-employment opportunities etc).
For full details see ‘Work Search Review’
Failing to comply with a Work Availability requirement
To be available for work, a claimant must be able and willing immediately to
take up paid work, more paid work or better-paid work.
To be available for work, claimants must be available in an active, positive
sense and draw attention to their availability. Claimants will not be available for
paid work if they are passive and merely wait for someone to find and offer
them work.
In order to demonstrate that they are willing and able immediately to take up
paid work, claimants should:
be physically able to take up work within the appropriate timescale
be contactable (through mail, e-mail or phone) for interviews or work0
be willing and able to give up any commitments which may interfere with
their ability to start work (subject to agreed restrictions)
attend all job interviews that have been arranged for them
consider their appearance and behaviour to ensure this does not reduce
their prospects of finding paid work
For full details see ‘Work Search Review’
Low level sanctions
The agent must refer a case to the DM for consideration, where the claimant
fails without good reason to comply with:
a work focussed interview requirement
a work preparation requirement
a work search requirement – but only in relation to a requirement to take
particular action specified by the Secretary of State
Or a requirement to:
take part in an interview about the imposition of or compliance with a
work–related requirement
provide information or evidence of compliance with a work–related
requirement
report loss of employment within 5 working days
Employment Programmes
A claimant is deemed to have failed to comply with a requirement if they fail to
take part in any activity which is specified by the Secretary of State in relation
to;
the specific placement with a provider
any requirements imposed by the provider that is considered reasonable
and acceptable.
Individual programmes are not defined in UC legislation, but relevant
employment programmes include:
Day One Support for Young People
The Derbyshire Mandatory Youth Activity Programme
Full–time training or education in England and Scotland
Part-time training or education in England and Scotland
Part-time or full-time training in Wales funded by DWP
An in depth skills assessment delivered by the National Careers Service
or by a training provider in England and by Skills Development Scotland
or a training provider in Scotland
Careers Advice in England
New Enterprise Allowance
A sector-based work academy
Prince’s Trust programmes
Traineeships (currently being developed)
A skills programme
The Work Programme
All these employment programmes aim to support UC claimants towards or into
paid work, more paid work or better paid work, and address various issues such
as a lack of experience of work and the associated skills needed within the work
place which can have a significant effect on the chances of unemployed people.
Work experience placements in Work Programme or sector-based work
academies
Participation in a work experience opportunity is voluntary, and claimants who
leave or lose a place on such a placement are treated as having good reason
for the failure to comply, unless they lose the place through gross misconduct.
Gross misconduct is not defined in legislation but suggests misconduct that is
1. 'blatantly wrong' or
2. 'unacceptable'.
It is conduct that is so serious that only one instance of such behaviour will
warrant the employer’s immediate termination of the work experience
opportunity.
Lowest Level Sanctions
When does a lowest–level sanction apply
A lowest–level sanction is a reduction of UC for a sanctionable failure by a
claimant who:
falls within the work–focused interview (WFI) requirement only group and
fails without good reason to take part in a WFI
Failure to comply with this requirement will be identified when the claimant fails
to take part in a work focused interview.
Notifying the claimant that a Work Related Requirement may not have
been met
The agent notifies the claimant by letter. The letter explains that we are not
satisfied they have met a work related requirement and that they will have the
opportunity to provide further evidence. To ensure consistency, the letter is
populated by copying and pasting the relevant Claimant Commitment
requirement(s) from Work Services Platform.
If it’s a low or lowest level sanction the letter must remind the claimant of their
compliance condition.
Setting work related requirements
Summary
How to set work related requirements for a claimant during interview
Content
During every work search interview, the Work Services Coach (WSC) identifies
the things that affect the type of work a claimant is expected to look for and
accept if offered. The WSC establishes the type, location, hours and pattern of
work a claimant is expected to look for and be available for. Claimants are
normally expected to look for any work that they are capable of doing that pays
the national minimum wage(or above) and that is within 90 minutes travelling
distance from their home. Claimants are normally expected to look for full time
work.
Claimants in the all work related requirements group must normally be available
to attend an interview and take up a job immediately.
Claimant's particular personal circumstances will determine the actual
requirements set.
A full diagnosis of the claimant's circumstances and capacity for work helps
determine:
realistic job requirements
required hours of availability
availability for interview / to start work
travel to work time
work search requirements
work preparation requirements
any other work related activities
These should be reviewed and updated throughout the claim.
Claimants must understand:
their goal will be to get paid work, more work or better paid work as
quickly as possible
they will be expected to take up a full time job. We will not require any
claimant to take employment which requires them to work for more hours
than the European Working Time Directive which is up to 48 hours per
week
they should undertake work search and work preparation activity for up
to a maximum of 35 hours a week or the same number of hours they
would normally be available for work.
the work search and work preparation activities must give them the best
prospects of finding work quickly
if without good reason they have not carried out their work related
requirements, their UC payments will be cut. These cuts are known as
sanctions. The information about sanctions in the Claimant Commitment
and the Commitment Pack should be shown to the claimant and
explained to them
Job requirements
Where the claimant does not have a permitted period they are required to look
for and take any job that they are capable of doing that pays the National
Minimum Wage or above. However it can be helpful to focus effective work
search for the claimant to identify a job or jobs that they are most suited to or
most capable of doing.
Looking for any job and accepting the first job offered, will help the claimant
back into work as quickly as possible. Once the claimant is in paid work they
can continue to look for their preferred job.
All elements of the claimant's job requirement must be realistic and achievable
for each type of work the following should be explored:
Capability for work. Does the claimant have the relevant qualifications,
experience, skills, etc
Capacity for work. For example are there any health or social issues or
caring responsibilities that might make it difficult to find, obtain and retain
the job in question
Wage expectations. For example, does the job requirement pay the
wages that the claimant is looking for and does the claimant understand
how much the National Minimum Wage is
The local labour market. Consideration must be given to what jobs are
available within that area. If the work the claimant is looking for is not
available within the claimant's travel to work area, the job requirement is
not realistic
Recording job requirement
The claimant's agreed job requirement(s) are recorded on the 'Job Goals'
section of the claimant's record.
To input job goals for the claimant, the 'Active Job Goals' box is selected on the
footer bar, then 'Add New Job Goal' is selected from the toolbar menu this
opens the 'Job Goal' screen. The following fields are selected and completed:
Job Title or Type (mandatory free text box)
Claimant (already populated with claimant's name)
Rate of Pay
Payment Frequency
Minimum Hours Per Week
Applies to Claimant Commitment during Permitted Period
The entry is saved by selecting 'Save & Close' from the toolbar menu. The job
goal(s) will then show in the 'Active Job Goals' box.
Permitted period
Where a claimant has a strong work history the WSC can allow a claimant to
limit their work related requirements to look for work relating to a particular type
of job and salary that they have recent experience of. This limitation can apply
for any period up to a maximum of 3 months from the date they claimed
Universal Credit or 3 months from the date they ceased work which paid above
the conditionality earnings threshold, whichever is the later. This is known as a
'permitted period'. The WSC must be satisfied that the claimant has reasonable
prospects of getting a job that fits this limitation before agreeing it. After this
period, they will be required to look for full time work at the national minimum
wage.
Recording a Permitted Period
To record a Permitted Period:
Select Job Goals
Select 'Yes' for Permitted Period
Input the Job Title or Type
Select the Job Title or Type to get the pay rate
Availability
After gathering all the relevant information regarding the claimant's
circumstances, the number of hours the claimant is required to be available for
work is determined.
Consideration must be given to the claimant's circumstances, to identify
whether any limitations on their hours or pattern of availability should be
applied.
A limitation on hours or pattern of availability may apply where a claimant:
has a health condition(see Diagnosing Claimant Capability and
Circumstances)
has caring responsibilities (see Diagnosing Claimant Capability and
Circumstances)
is engaging in treatment for drug and/or alcohol dependency
has sincerely held religious beliefs
is participating in agreed work preparation activities
provided that the claimant is available for paid work for as many hours as the
limitation allows.
The claimant's hours of availability are set by the WSC, taking into account their
circumstances. The claimant must usually have reasonable prospects of finding
paid work, more work or better paid work.
Recording availability
The claimant's availability for work and any agreed restrictions are recorded on
the 'Availability' section of the claimant's record.
When recording the claimant's availability the following fields will be presented:
Available For Work
Work Search Hours Per Week
Currently Undertaking Part Time Work
If the claimant is available for work 'Yes' is selected from the 'Available For
Work' drop-down menu.
The 'Active Availability For Work' box on the footer bar is selected, and then the
'Add New Availability For Work' is selected from the toolbar menu. This opens
the 'Availability For Work' screen. The following fields are selected and
completed:
Day (Monday to Sunday)
Start Time (30 minute time slots from 00:00 to 23:30)
End Time (30 minute time slots from 00:00 to 23:30)
The entry is saved by selecting 'Save & Close' from the toolbar menu.
The 'Total available Hours Per Week' field must be completed showing the
claimant's hours of availability.
The 'Restrict Claimant's Availability' field is completed to show if the claimant is
restricting their availability.
If the claimant is restricting their availability the reason(s) are recorded in the
'Notes On Availability For Work' field.
Availability to start work and attend a job interview
Claimants in the All Work-related Requirement Conditionality Group must be
willing and able to start work and attend a job interview immediately unless one
of the following circumstances apply.
For claimants where the WSC is satisfied that they need a longer period
because they:
Are undertaking voluntary work
Where the WSC is satisfied that the claimant needs a longer period because
they are undertaking voluntary work, WSCs can agree that the claimant is able
to take up employment on being given up to one week's notice and / or attend a
job interview with up to 48 hours notice.
Have caring responsibilities
Where the WSC is satisfied that the claimant needs a longer period because
they are a nominated responsible carer or relevant carer for a child or disabled
person, WSCs can agree that the claimant is able to take up employment on
being given up to one month's notice and / or attend a job interview with 48
hours notice.
Are employed under a contract of service
Claimants who are required to give notice must be willing and able to take up
employment immediately following the statutory or contracted period of notice
they are required to give their employer to end the contract of employment and
attend a job interview with 48 hours notice.
Recording Availability to start work and attend a job interview
The claimant's availability to start work and attend a job interview is recorded on
the 'Availability' section of the claimant's record.
The claimant's availability to attend an interview is recorded by selecting the
drop-down menu in the 'Availability For Interview' field and selecting either:
Immediately
Within 48 hours
The claimant's availability to start work is recorded by selecting the drop-down
menu in the 'Available To Start Work' and selecting either:
Immediately
Within 7 days
Within one month
From
If 'From' is selected, the 'Available To Start Work Date' field will appear. The
earliest possible date by which the claimant can start work is recorded from
information provided by the claimant. This option is used when the claimant is
not available to start work within one month.& For example, if the claimant has
broken a limb and the cast is to be removed on a specific date. Where 'From' is
used a specific task should be set to review this or a Work Search Interview
booked to discuss further and consider the effect in the Claimant Commitment.
Travel to work time
Claimants must be willing to travel 90 minutes each way to work, by a route and
means of transport appropriate to their circumstances (for example, car for
some, public transport for others, walking etc). Limitations can be agreed due to
health conditions or caring responsibilities where it means that a shorter
distance is necessary.
The claimant's travel to work time is recorded on the 'Availability' section of the
claimant's record.
The claimant's travel to work time is recorded by selecting the drop-down menu
in the 'Travel Time In Minutes' field and selecting the appropriate time. This will
default to 90 minutes but can be changed if limitations have been agreed.
Setting work preparation and work search requirements to give claimants
the best prospects of finding work
In setting requirements, the WSC will set out a detailed plan of action,
articulating the steps a claimant must take to give themselves the best
prospects of getting paid work quickly.
It is important the claimant understands that if they fail without good reason
complete a work preparation, work search or interview requirement then their
Universal Credit payments will be cut. These cuts are known as sanctions. The
WSC should ask the claimant to read the sanctions information in their claimant
commitment and commitment pack and explain it to them. The WSC should
explain the length and amount of the sanction that may apply in relation to each
requirement and that sanctions may be longer for each successive failure.
A claimant will be expected to undertake the same number of hours of work
search and work preparation activity as they are available for work up to a
maximum of 35 hours a week).
A WSC will mandate any work preparation activity that the WSC thinks will
make it more likely that the claimant will obtain paid work (or more paid work or
better-paid work.
Claimants must take all reasonable actions to get paid work. They must usually
engage in work search and work preparation activity for the same number of
hours as they are available for work up to a maximum of 35 hours a week. For
example, if they are expected to be available to work for 30 hours per week,
they must spend at least 30 hours each week on their work search and work
preparation requirements.
WSCs must set work search and work preparation requirements that meet this
expectation, taking into account the claimant's personal circumstances. These
should be the most effective activities which, when undertaken, give the
claimant the best possible chance of getting paid work quickly.
Looking for work often and in the right way is critical in terms of securing
employment quickly. Claimants who undertake work search actively, effectively
and persistently usually get work more quickly than would otherwise be the
case. It is important when setting work search and work preparation
requirements, to consider the following 10 factors:
Self Perception – the claimant believes that they can work, find specific
jobs, has the capability to do those jobs, and is confident of being able to
gain and keep employment
Specific Job Requirement – the claimant knows their job requirements
Local Labour Market – that specific work is available in the local market
Knowledge Skills and Experience – the claimant has the knowledge,
skills and experience that match their job requirements
Commitment to undertake Work Search – the claimant is committed to
carry out effective and sustained work search
Resources for Work Search – the claimant knows how to access the
resources required to undertake sustained work search
Demonstrating Capability for a Specific Job – the claimant is able to
demonstrate their capability effectively to employers
Presenting themselves to an Employer – the claimant is able to
present themselves effectively to potential employers
Managing Personal Circumstances – the claimant is able to
successfully manage, anything that makes it harder to get and keep paid
work
Keeping a job – the claimant could keep a job offered by an employer
And ensure that steps are taken to address anything that makes it harder for the
claimant to get and keep paid work.
The claimant's work search requirements and work preparation requirements
must be
SMART. That is:
Specific – it must state the claimant's precise job requirements and the
specific activity they will take to give them the best chance of finding and
securing a job. For example, generic job descriptions such as 'Driver'
should be avoided and more specific terms such as 'bus driver', 'HGV
driver' or 'van driver' used
Measurable – for work search activities to be undertaken regularly, how
many and how often must be specified
Achievable – any activities set must be achievable. Activities that are
clearly beyond the claimant's capabilities or that are simply unreasonable
should not be included
Realistic – job requirements and work related requirements must be
realistic, taking into account the claimant's skills, experience, capabilities,
etc. and the local labour market
Time bound – activities should be time bound and will be reviewed at
appropriate points. Activities may be regular (weekly) and reviewed
within Work Search Reviews, or be one-off, time bound and reviewed
within Work Search Interviews or Work Search Reviews
Work preparation requirements
Work preparation requirements are those specific activities that a claimant must
take for the purpose of making it more likely in the opinion of the WSC that the
claimant will obtain paid work (or more paid work or better-paid work).
These may include, for example:
attending a skills assessment
improving personal presentation
taking part in training
taking part in programmes or provision
undertaking work experience or a work placement
developing a business plan
This is not an exhaustive list. These requirements must be SMART.
Although the requirement to register and use Universal Jobmatch is entered in
the Work Preparation Requirements, it is a work search requirement.
If a claimant fails to comply with a Work Preparation activity this attracts a low
level sanction. A low level sanction has two elements :
an open-ended period equal to the number of days from the date of
failure until the day before the requirement or alternative requirement is
met or lifted, followed by
a fixed period of between 7 and 28 days (dependent on whether there
are any previous failures in the 365 days before the current failure)
When setting a work preparation requirement the WSC must explain that if the
claimant fails to do that activity Universal Credit will be cut for a period equal to
the number of days between the date of failure until they do so or until they
undertake an alternative activity decided by the WSC. Their payments will then
be cut for a further fixed period of up to 28 days (depending on how many
requirements they failed to meet and when).
When setting the Work Preparation requirement the WSC must tell the claimant
and record what the claimant must do if they fail to meet the requirement on
time. Where the requirement is an on-going task for example, create a CV by a
set date and if the claimant does not do this, their UC payments may be cut for
the number of days from the failure date until they meet the requirement (ie they
create a CV).
Where the requirement set is time-limited e.g. attend a forklift truck driving
course on 8th March, once 8th March has passed the claimant cannot meet the
requirement.
When setting a requirement the WSC must consider and tell the claimant what
they must do if they fail to undertake the original requirement. This (alternative
requirement) must also be recorded on the claimant record so that it is noted on
the Claimant Commitment.
Work preparation requirements (and specific work search requirements) should
be recorded on the claimant commitment as follows:
Section 2: Specific actions I will take
By
Review
Fully take part in a forklift truck training course
15th June
If without good reason I don't do this, my Universal Credit
As soon
17th
payments will be cut by (amount) for each day until (I call
as
June
my WSC to arrange a new course) My payments will then
possible
be cut by (amount) a day for a further period of up to 28
after 15th
days.
June
15th June
I will create a profile and public CV within Universal
Jobmatch by the 15th June.
As soon
as
17th
If without good reason I don't do this, my Universal Credit
possible
June
payments will be cut by (amount) for each day until I have
after
done so. My payments will then be cut by (amount) a day
15thth
for a further period of up to 28 days.
June
Bring my CV to my appointment on 17th June
17th June 17th
June
If without good reason I don't do this, my Universal Credit
As soon
payments will be cut by (amount) for each day until I bring
as
my CV to this office. My payments will then be cut by
possible
(amount) a day for a further period of up to 28 days.
after 17th
June
In some circumstances the WSC may also agree that the claimant should
undertake a voluntary Work Preparation activity. There is no sanction if the
claimant does not do this activity. However, if a claimant fails to do the voluntary
activity they must make up the extra time in their work search. For example, if
the claimant agrees to do 5 hours of voluntary work preparation activity (such as
attending their local Work Club for 5 hours a week), this may be deducted from
the amount of time they are expected to undertake Work Search (see Setting
Work Search Activities below).If the claimant does not do their voluntary activity
in a particular week they need to make up their Expected Hours of work search.
The WSC must explain this to the claimant.
Recording Work Preparation Activities
The claimant's Work Preparation requirements are recorded on the 'Work
Preparation Activities' section of the claimant's record.
To input a new Work Preparation Action, the 'Add New Work Preparation
Action' is selected from the toolbar.
The WSC completes the 'Specific Action' field and selects 'Yes' or 'No' for
'Mandatory Work Activity'. This field by default is set to 'No' and must only be
used when referring to the provision called 'Mandatory Work Activity', this is
provider led with its own sanctions. It must not be checked when specifying any
other Work Preparation Activity. Failure to comply will result in the Claimant
Commitment incorrect in law and linking of incorrect sanctions.
The WSC inputs the dates the activity is to be completed and reviewed by.
If there are more work preparation activities to be considered, the WSC selects
'Save & New' and adds a new activity.
If the Work Preparation Activity is to be completed before the next Work Search
Review, set a task to follow up the agreed action. See 'Setting a task on the
Work Services Platform'.
The details of the Work Preparation Action are recorded and the entry is saved
by selecting 'Save & Close' from the toolbar menu. The Work Preparation
Action will then show in the 'Work Preparation Actions' box.
Voluntary Work Preparation activities are recorded on the 'Other Work Related
Activities' section of the claimant's record.
Requiring a claimant to apply for a specific vacancy
A WSC can require a claimant to apply for a specific vacancy that they are
capable of doing by recording this as Work Preparation activity. The WSC will
need to include all of the information that the claimant will require to identify the
vacancy. Although this is recorded in the Work Preparation Activities section of
the claimant record it attracts a high level sanction.
If a WSC requires the claimant to apply for a specific vacancy on Universal
Jobmatch, the following wording must be included in the Claimant Commitment:
I will apply for any jobs that my adviser tells me to apply for, including any saved
by my adviser in the 'Saved Jobs' section of my Universal Jobmatch account.
Setting regular Work Search Activities
Work Search Activities are those that the claimant is expected to undertake
regularly. The claimant must take all reasonable action for the purpose of
obtaining paid work. The WSC will set work search activities such that the
claimant will conduct work search for their Expected Hours. This is the number
of hours that the claimant is available for work or 35 hours whichever is the
lower figure less the total amount of time spent undertaking agreed Work
Preparation activities, Voluntary Work and Paid Work.
Any paid work, including part time or casual self-employment the claimant
undertakes can be considered by the WSC to reduce the usual requirement for
looking and preparing for work. This is at the discretion of the WSC and should
be recorded on the Claimant Commitment.
The claimant must be prepared to give up the paid work, including part
time/casual self-employment to take up employment to move them over their
individual threshold. This could also include combining their part time/casual
self-employment with another job or increasing the hours of their part
time/casual self-employment to move them over their individual threshold.
Accounting for self-employment
A reduction to the claimant's expected work search hours is most likely to be
identified at a WSI following a Gateway Interview
When considering the appropriate number of hours to apply as a relevant
deduction in the case of self-employment, the WSC must take account of the
following:
the self employed activity has not been deemed gainful self-employment
during the gateway interview and therefore should not be regarded as
such
the relevant deduction must be appropriate for the work undertaken and
the payment received
The WSC checks Work Services Platform (WSP) notes and looks at the reason
for the decision that the claimant is not gainfully self-employed. This may help to
decide how the self-employed activity should be treated at the WSI.
When deciding how much time to deduct, the WSC considers, the amount the
claimant earns from self-employment divided by the National Minimum Wage
(NMW) for the claimant's age group. This gives an approximate number of
hours to use as a guide for making a relevant deduction from the claimant's
expected hours of work.
For example, a small amount of self-employed work is considered useful to
keep a claimant's skills current by the WSC. This could provide a return to work
route if they have a long period of absence. The WSC may also consider
whether earnings from self-employment were lower than usual in a month
because of normal business patterns rather than because the claimant was
spending less time on it, and whether earnings are likely to increase in the near
future. In these cases the WSC considers allowing a greater hours deduction
than suggested to reflect the self-employed activity by dividing the claimant's
self-employed earnings by NMW.
The WSC may consider that a reduction in hours is not appropriate as the self-
employment is not significant enough to change the claimant commitment.
If the reason for the original 'not gainfully self-employed' decision no longer
applies and the WSC considers that a new gateway interview will lead to a
different result, the WSC considers booking another gateway interview. For
example, if the claimant was deemed 'not gainfully self-employed' because they
were unable to provide significant development plans for their business but
have since produced a credible business plan and carried out significant
marketing activity, a repeat gateway interview would be appropriate.
If the WSC considers that further support will develop the claimant's self-
employment further giving a better chance of being deemed gainfully self
employed in the future the WSC considers referring or signposting the claimant
to the appropriate support.
When considering Voluntary Work, the WSC will deduct the hours the claimant
spends undertaking agreed Voluntary Work, up to a maximum of 50% of the
Claimant's Expected Hours:
For example, Mary's Claimant Commitment requires her to be available for work
for 28 hours per week. These are her Expected Hours. She does voluntary work
for a local charity for 18 hours per week. Mary's WSC can deduct 14 hours
(being 50% of the 28 hours that she is available for work) from the hours that
she is available for work when determining the amount of time she must spend
on Work Search activities. Mary can still do more hours at the charity but these
will not count as work search or preparation activities.
The work search activities set should be the most effective activities which,
when undertaken, give the claimant the best possible chance of getting paid
work quickly.
How long any particular activity will take will vary from claimant to claimant and
the WSC must judge this in line with the claimant's circumstances and abilities.
Work Search activities will differ for each claimant based on their job
requirement(s) and circumstances and may include for example:
using Universal Jobmatch
registering with and using other job search websites
carrying out other activities to look for work
making applications
registering with an employment agency
seeking references
This list is not exhaustive. All Work Search Activities must be SMART.
Having set all the reasonable and effective actions that the claimant could do,
the claimant will have met their work search requirement if they undertake all
these actions.
If the claimant does not undertake these actions the WSC will consider whether
they have done all that can be reasonably expected of them. (See Work Search
Reviews).
Recording Work Search Activities
The claimant's Work Search Activities are recorded on the 'Work Search
Activities' section of the claimant's record.
To input a new Work Search Activity, the 'Add New Work Search Activity' is
selected from the toolbar. The details of the Work Search Activity are recorded
and the entry is saved by selecting 'Save & Close' from the toolbar menu. The
Work Search Activity will then show in the 'Work Search Activities' box.
Temporarily switching off requirements
There will be some circumstances, where WSCs will identify claimant
circumstances that mean work search and availability requirements will be
temporarily switched off.
Regulations give a list of the particular circumstances where this is appropriate.
This applies to claimants:
with a self certificate/medical evidence of illness of up to 14 days
receiving medical treatment outside of Great Britain (for up to 6 months)
on jury service or attending court or a tribunal as a witness
whose partner, child or qualifying young person has died (for up to 6
months from the date of death)
participating in structured recovery orientated course of alcohol or drugs
dependency treatment (for up to 6 months
who are prisoners (detained in custody pending trial or sentence or on
temporary release.)
who have arrangements made by a protection provider for up to 3
months. (This can be extended in exceptional circumstances)
engaged in a public duty– e.g. volunteer Fire-fighter, Lifeboat crew
member
WSCs can, at their discretion also temporarily switch off work search and work
availability requirements where it would be unreasonable to require the claimant
to comply with a work search or work availability requirement:
if the claimant is carrying out work preparation or voluntary work
preparation
if the claimant has a fit note beyond the first 14 days of sickness.
Nevertheless, the WSC may decide that the claimant should be subject
to other work related requirements, such as work preparation and/or
work focused interview requirements
Where a claimant has a temporary emergency or temporary responsibilities
such as:
temporary child care responsibilities(for example, where there is no
appropriate childcare available during the school holidays and no other
arrangements can be made or where the child is temporarily excluded
from school)
they are dealing with a domestic emergency
they are having to make funeral arrangements
other temporary circumstances
Where requirements have been temporarily switched off, WSCs should ensure
that appropriate dates are set to review these arrangements.
Victims of Domestic violence
If a claimant notifies us that they have been a victim of domestic violence in the
past six months, they are not living at the same address as the perpetrator, and
they have not had access to this easement in the last 12 months, they must
have an exemption from all work-related requirements for one month. During
this time the claimant has the opportunity to provide relevant evidence from a
person acting in an official capacity and, if they do so, will have this exemption
extended to 13 weeks in total.
If claimants feel, before this 1 month or 13 week easement is over, that they
wish to reconnect with their work search or preparation activities, they should be
able to do so on a voluntary basis until the end of the easement period at which
point the claimant's appropriate work-related requirements will be re-applied. If
a claimant does wish to begin to carry out work-related activities before their
exemption period is over, it should be explained to the claimant that they will not
be able to 'bank' this time and access it later on after the easement period has
ended.
However, claimants who have been a victim of domestic violence but are
outside of this specific easement period may need to access a temporary lifting
of work search and availability requirements as a result of temporary
circumstances which are directly or indirectly related to their experience of
domestic violence. For example if a claimant was obliged to move
accommodation in order to ensure their safety or the safety of their children,
work search and availability requirements can be temporary lifted to
accommodate this if necessary.
If the claimant is not available for work or work search activity
If the claimant is not available for work, 'No' is selected from the 'Available For
Work' drop-down menu and the reason(s) recorded in the 'Reason For
Unavailability' field. This is used in cases such as a condition that affects the
claimant meaning they are temporarily not available for any work, work
preparation or work search activities. For example, a claimant participating in a
recognised drugs rehabilitation treatment programme, or incapable of work due
to a mental or physical condition.
If the claimant is available for work from a specific date, the date is recorded in
the 'Available From Date' field. The date that this will be reviewed is recorded in
the 'Review Date' field.
The claimant's required weekly work search hours are recorded In the 'Work
Search Hours Per Week' field. This defaults to 35 but can be changed if
required.
Work Search Reviews
Summary
Preparing for and conducting Work Search Reviews
Content
Universal Credit aims for claimant's to get as much work as they reasonably can
do as quickly as possible. Advisers will take account of individual circumstances
and set requirements that, if complied with, give the claimant the best possible
prospects of finding paid work quickly. All such requirements will be recorded on
the Claimant Commitment.
Compliance with the work related requirements set out in the Claimant
Commitment, actively searching work and engagement with advisers, increases
the chances that claimants find work more quickly than would otherwise be the
case.
The claimant must take all reasonable action for the purpose of obtaining paid
work and will be expected to devote the same number of hours to work search
and work preparation activity each week as the number of hours they are
available for work (up to a maximum of 35 hours a week).
This means that the claimant must conduct work search for their Expected
Hours (This is the number of hours that the claimant is available for work or 35
hours, whichever is the lower figure) less the total amount of time they spend
undertaking agreed Work Preparation activities, Voluntary Work and Paid Work.
Work Search activities and the time it takes to undertake these will differ for
each claimant, based on their job requirement(s) and individual circumstances.
Where a claimant has done all that could reasonably be expected of them – for
example they have applied for all suitable jobs and undertaken all the activities
set out in their Claimant Commitment - this will be considered sufficient even if
the time taken was less than their expected hours.
Work Search Reviews are a key component of the Universal Credit
conditionality approach. Evidence shows that regular face-to-face reviews can
help people move into work more quickly than would otherwise be the case.
The primary purpose of Work Search Reviews is to check that the claimant has
complied with their work-related requirements. They also provide an
opportunity to identify anything that makes it harder for the claimant to get paid
work and determine appropriate support.
It is very important that advisers and agents work closely together to deliver a
consistent approach. This means understanding what has been agreed
previously and making sure each Work Search Review adds value, building
upon previous contacts.
Timing of Work Search Reviews
Unless the claimant is not required to attend, or has been granted Postal
Status, Work Search Reviews must be conducted face to face and carried out
at least fortnightly.
Previewing Work Search Reviews
The agent should confirm if the claimant has any special arrangements, see
'Special arrangements for claimant attendance'.
The claimant record notes should also be checked to see if anything was
agreed previously which needs to be discussed or followed up.
Conducting the Work Search Review
An in-depth, probing discussion with the claimant must take place to find out
what they have done to look for paid work since their last Work Search Review.
The core elements of the Work Search Review are:
explanation of the purpose of the Work Search Review
check outstanding actions from the Claimant Record
review of Work Search activity and Work Preparation actions set out on
the Claimant Commitment
review of the claimant's Universal Jobmatch Activity
consideration of other Work Search and Work Preparation evidence
presented by the claimant
determination of whether the claimant has done all that can be
reasonably expected of them to find paid work
explanation of the sanction consequences of failing to attend their Work
Search Reviews and failing to comply with the actions detailed on their
Claimant Commitment
where a claimant has not complied with a work-related requirement,
consideration of whether there should be a referral to a decision maker
for a sanction decision
confirming the claimant's next intervention date and time with them
The Work Search Review should start with introductions, confirmation of identity
and explaining the purpose of the Work Search Review. If the claimant reports
that they have a change of circumstances the agent advises them to report this
by telephone.
Review of Work Preparation activity
Work Preparation activities should be reviewed by viewing the Claimant
Commitment. If any are at / past their review date, check if the claimant has
completed them. If they have, update the claimant record.
If they have not (once the claimant has been given the opportunity to provide
evidence of good reason and the importance of providing good reason has
been explained to them), agents with correct permissions should refer to a
Decision Maker for consideration of whether a sanction should be applied.
Where appropriate, the claimant should be reminded that Universal Credit may
be cut for every day until they undertake the required action or until they
undertake an alternative activity they have been notified of by their adviser. See
'Handling sanction referrals and notifications'.
If any new Work Preparation activities have been identified, agents with correct
permissions should update the claimant record
Other Work Related Activities should be reviewed. If any are past their review
date, check if the claimant has completed them. If they have completed them,
update the claimant record. If they have not completed them, see if there are
any 'Other Work Related Activities' to add, delete or edit, agents with correct
permissions can update the claimant record. If there are any 'Other Work
Related Activities' to add, delete or edit, agents with correct permissions can
update the claimant record.
Review of Work Search activities
Both Universal Jobmatch Work Search and Work Preparation activities and
non- Universal Jobmatch Work Search and Work Preparation activities should
be reviewed. See 'Universal Jobmatch and WSP'.
All available Work Search evidence should be considered, including the
claimant's Universal Jobmatch account, any Claimant Commitment Pack or
diary / record the claimant has kept of their activities, print outs of jobs they
have applied for, letters from employers and copies of updated CVs.
If the claimant has completed all activities set out in their Claimant Commitment,
they have met their requirements and their claimant record should be updated.
Consideration should be given as to whether their work preparation and work
search activity fell below the claimant's required Expected Hours for Work
Search. If it did, agents with correct permissions should be asked to review
these requirements and consider whether the Claimant Commitment should be
reviewed.
If claimant has not completed all work search activities, consider whether the
claimant has nonetheless done all that they reasonably could to find paid work
in that week (taking into account time spent undertaking work preparation or
other agreed activities). If they have, then the claimant has met their work
search requirements.
Consideration should also be given as to whether an agent with correct
permissions should be asked to review whether the requirements set out on the
Claimant Commitment should be reviewed in light of experience.
If the claimant has not done all that they reasonably could to search for work in
that week a referral should be made to a Decision Maker for consideration of
whether a sanction should be applied. Referrals should not be made where a
claimant does not undertake an individual work search activity (such as a
claimant not checking Universal Jobmatch the required number of times),
instead referrals should be made where a claimant has failed overall to do their
required hours of work search activity and has not taken all reasonable action to
find work in that week.
If there are any work search activities to add, delete or edit, agents with correct
permissions can update the claimant record.
The agent must follow up any outstanding actions recorded on the claimant
record notes, and identify any additional support that the claimant needs.
There may be circumstances where the agent needs to refer the claimant to a
suitably authorised agent. For example where:
any additional work search support is needed (CV writing, Interview
Techniques, Work Club)
the Claimant Commitment needs amending, for example where the
claimant can no longer carry out a work related requirement
the Intervention Regime needs changing
the claimant has questions that cannot be responded to within the
confines of the Work Search Review
referrals to provision need to be made
in-work financial advice given – general information may be provided
during the Work Search Review but only an Adviser should provide more
in-depth advice
Review of Intervention Regime
The claimant's Intervention Regime should be reviewed. The current Claimant
Commitment will hold the claimant's Intervention Regime that was previously
agreed. The agent will also be able to view future interventions on WSP by
selecting 'View Interventions' within the 'General' menu on the 'Claimant' home
screen. If the agent identifies that the intervention regime needs changing, an
ongoing Work Search Interview will need to be booked. See 'Booking
Appointments'.
Referrals to a Decision Maker
Where an agent is not satisfied that the claimant has carried out the required
work search or work preparation activities, a referral should be made to a
decision maker. See 'Handling sanction referrals and notifications'.
If doubt is raised due to non attendance, see 'Handling sanction referrals and
notifications'.
Updating Work Services Platform
The outcome of the intervention is recorded on WSP; see the 'Work Search
Review action on WSP' guidance.