Chapter 10: Change of circumstances and notifications

Question 1

ESF Requirement Changes

Accepted Answer

1. When referring to ESF Requirements within this chapter please note the following changes to ESF Requirements effective from 24 July 2023 (England).

providers no longer need to submit or process ESF 14-20 Initial or ESF 14-20 End forms for Participants
products can be updated to remove ESF logos. Changes to existing products and any new marketing and publicity materials should be sent to WHP.ENQUIRIES@DWP.GOV.UK for approval.
providers should continue to use the current template for Good News Stories, until notified of amendment.
participants you have already submitted ESF 14-20 Initial and ESF 14-20 End forms for over the lifetime of your WHP contract continue to be subject to ESF obligations. This includes Audit requirements and the ESF Document Retention Policy which at present is expected to be 2034.

In addition to the above, ESF requirements do not apply to participants started on or after 1 November 2022’ Please Note: You are expected to continue to complete and to share Good News Stories with your Performance Manager as part of your contract with DWP.

Question 2

Provider notifies DWP of Change of Circumstances (Disengagement/Re-engagement)

Accepted Answer

2. There are two occasions where you must notify DWP of a change of circumstances whilst on the Work and Health Programme (WHP). These are when a voluntary Participant in receipt of benefit has disengaged with you or when a Participant has re-engaged with you following a period of disengagement. This only applies to voluntary Participants in receipt of benefit - and there is no requirement to notify DWP of disengagement/re-engagement for a mandatory Participant or a voluntary Participant who is not in receipt of benefit.

Actions

Notify Jobcentre Plus when the Participant disengages with you, as per the criteria stated in your tender using the change of circumstances notification form (WHP07) sent via unencrypted email.
Where a change in Participant circumstances has resulted in disengagement it is important that you identify any complex needs and/or additional support that they may require before undertaking re-engagement activity.
Continue to attempt to make contact and re-engage with the Participant pending the return of the CEPD1/UC78e from Jobcentre Plus as agreed in your tender for the duration of the programme (this could be up to 456 calendar days WHP) unless you have been informed that a voluntary Participant does not want any further contact.
Notify Jobcentre Plus when the Participant re-engages on the WHP07 notification form sent by unencrypted email.

Please note: Further detail is provided on unencrypted email process in the detailed background and further information section.

Question 3

Participant has a change in circumstances that affects their engagement on WHP

Accepted Answer

3. Where a change in a Participant circumstance has resulted in disengagement it is important that you identify any complex needs and/or additional support that they may require. You should take any appropriate steps/action to support and encourage the Participants re engagement to enable them to continue their time on provision.

4. Further information regarding complex needs can be found in Work and Health Programme including WHP Pioneer Provider Guidance Chapter 6 Working with Participants with complex needs and/or additional support requirements.

Please note: All notifications for Special Customer Record (SCR) and Multi-Agency Public Protection Arrangements (MAPPA) Participants will remain clerical notifications.

Background

5. Further detail is provided in the Detailed background and further information section.

Question 4

Jobcentre Plus contact following Participant disengagement

Accepted Answer

6. Jobcentre Plus will contact the Participant after receiving the WHP07 notifying them of a voluntary Participant disengagement from the programme. They will try to find out why the Participant has disengaged and encourage them to re-engage.

7. Prior to the interview, Jobcentre Plus will identify if the voluntary Participant has been unemployed for 24 months, and if they meet the criteria for participation on Work and Health Programme as a Long Term Unemployed (LTU) Participant. If they do, their participation on Work and Health Programme will become mandatory for their remaining balance of time on the programme. Please refer to paragraph 24 below for further information.

8. Where a Participant has been contacted and wishes to re-engage, Jobcentre Plus will notify you of the outcome on a CEPD1/UC78e change of circumstances form and signpost the Participant back to you

9. If Jobcentre Plus was unable to contact the Participant, they will notify you of the outcome on a CEPD1/UC78e form.

Actions

On receipt of CEPD1/UC78e form update the Participants record with the outcome as notified to you. Where you have been notified that a Participant will be re-engaging with you arrange to contact them and continue to support them for the remainder of their time on the Programme.
Notify Jobcentre Plus when the Participant re-engages using the change of circumstances notification form (WHP07) sent via unencrypted email.
Where you have been notified that a Participant will not be re-engaging with you update your records with the reason for disengagement as notified to you.
Where Jobcentre Plus are unable to confirm the Participants status you will receive a notification on a CEPD1 or UC78e. You should attempt to make contact and re-engage with the Participant as agreed in your tender for the duration of the programme unless you have been informed that a voluntary Participant does not want any further contact.

10. Further detail is provided on unencrypted email process in the detailed background and further information section.

Please note: The Participant may re-engage with you at any point and continue on the programme for the remainder of their allotted time (this could be up to 456 calendar days.

Background

11. Further detail is provided in the Detailed background and further information section.

Question 5

Voluntary Participant reaches 24 month Unemployment and meets Long Term Unemployed (LTU) eligibility

Accepted Answer

12. When a voluntary Participant in receipt of benefit reaches the 24-month unemployed stage their participation on the WHP will remain voluntary unless they disengage from the programme.

13. If the Participant has disengaged, the Work Coach will explain to them that they are now required to participate on WHP for their remaining balance of time issue a revised mandatory referral letter to them and signpost them back to you. You will be notified of this change on a CEPD1 or UC78e change of circumstances form. The Work Coach will annotate their records and encourage the Participant to re-engage.

Actions

Update the Participants record to show that they have reached their 24 months unemployed period.
Contact the Participant and continue to support them for the remainder of their allotted time on the programme.

Consequence: Failure to update your records with a change notified to you may result in you providing inappropriate support for your Participants.

Please note: This only applies to Participants on Jobseekers Allowance (JSA) when they meet the LTU eligibility criteria and Universal Credit (UC) Participants who start in the Intensive Work Search Regime (IWSR) and are in the IWSR when they reach 24 months.

Background

14. Further detail is provided in the Detailed background and further information section.

Question 6

Participant notifies provider of change of circumstances

Accepted Answer

64. Where a Participant informs you of a change of circumstances you should direct the Participant to report the change to Jobcentre Plus and update your records accordingly.

65. It is the Participants responsibility to notify Jobcentre Plus of any change in their circumstances that occur whilst attending.

Please note: Some Participants in receipt of UC have a journal, in these cases ask them to update their journal to report the change in circumstances rather than direct them to Jobcentre Plus.

Question 7

Labour Market Decision Maker (LMDM)/ Universal Credit Decision Maker (UCDM) notifies provider of a change of circumstances

Accepted Answer

22. Where you make a compliance doubt referral for a mandatory Participant LMDMs and UCDMs may notify you of specific change of circumstances via unencrypted email on the sanction decision notifications that they send you.

23. They will notify you of a Participant’s complex needs and/or additional support requirements if during decision making they have established these.

Action

Review the notification and update your systems accordingly.
Assess whether any complex needs and/or additional support is required.
Consider the impact of your engagement and support with the Participant.

24. Further information regarding complex needs and additional support can be found in Work and Health Programme Provider Guidance Chapter 6 - Working with Participants with complex needs and/or additional support requirements.

Consequence: Failure to review and action a change may result in you providing inappropriate support for your Participants. You may also cause extra work for you and LMDMs/UCDMs as your sanction referrals may be cancelled.

Question 8

Easement for Victims of Domestic Violence

Accepted Answer

25. Where a Participant notifies Jobcentre Plus that they have been a victim of actual or threatened domestic violence, the Jobcentre will send you a UC78e for UC Participants or a CEPD1 for Participants claiming JSA, IS and ESA via unencrypted email with the start date of the easement. When the easement ends, the Jobcentre will send you another confirming the end date so that you can resume engagement with the Participant.

Actions

On receipt of notification that an easement applies, suspend your engagement with the Participant, unless otherwise stated by Jobcentre Plus.
For mandatory Participants a compliance doubt should not be raised if they fail to undertake a mandated activity unless completion was expected before the easement was awarded
On receipt of notification that the easement period has ended, resume your engagement with the Participant, unless otherwise stated by Jobcentre Plus.

Consequence: Failure to review and action a change may result in you providing inappropriate support for your Participants. You may also cause extra work for you and LMDMs/UCDMs as your sanction referrals may be cancelled.

Background

26. Further detail is provided in the Detailed background and further information section.

Question 9

Easement for Homeless Persons

Accepted Answer

145. An easement has been introduced to help support homeless persons in finding sustainable living accommodation which will help to remove a barrier into employment.

146. The Regulations allow Jobcentre Plus to treat certain homeless Participants as meeting the Jobseeker conditions for periods of time with no limit on the number of occasions on which it can be applied.

147. This will mean that for the period of the easement the Participant will not be required to participate in WHP.

148. This is conditionality easement is dependent upon the Participant taking reasonable action to find living accommodation.

149. Participants who are suffering a domestic emergency as a result of recently becoming homeless can benefit from the easement. It is likely to be most suitable for the specific groups of homeless individuals mentioned below:

rough sleepers
those staying in direct hostels (that is, hostels designed to include short-stay residency options specifically for the homeless).

150. If an easement is applied, Jobcentre Plus will advise you of this by issuing you with a change of circumstances form.

151. The change of circumstances form will explain:

that the Participant is currently unable to attend/take part in the provision
the reason
date of commencement of the easement
that you will be notified when the circumstances change.

Duration and Frequency of the Easement

152. Regulations do not specify a duration for which an easement can be applied for a homeless Participant, nor set a limit on the number of occasions on which it can be applied.

153. It will be for Jobcentre Plus to decide whether a Participant’s homelessness constitutes a “domestic emergency” and the length of time for which the easement is to be applied.

154. It is not expected that a domestic emergency due to homelessness would last for more than four weeks, although Jobcentre Plus Work Coaches can extend the duration of the easement beyond four weeks if they decide that it is appropriate.

155. Jobcentre Plus will undertake a review with the Participant on a regular basis, at least fortnightly, to ensure that the continuation of the easement is still appropriate and that the Participant is taking the required actions to find sustainable accommodation.

156. Once the easement has been lifted you will be notified that the Participant can now attend/participate and the date from which the easement has been lifted.

157. Where an easement period applies, participation on WHP will be suspended for the duration of the easement. During this time, no contact with the Participant should be made and no sanction doubt should be raised if they fail to undertake a mandated activity, unless completion was expected before the easement was awarded.

158. When the easement period has finished, Jobcentre Plus will notify you using another change of circumstances form. You can then resume engagement with the Participant.

159. A Participant for whom an easement applies will not have their time extended. It will remain at 456 calendar days.

Question 10

Easement for Participants who are members of the Territorial Army or Reserves Forces

Accepted Answer

160. A member of the Reserve Forces (including the Territorial Army) is treated as being available for work when engaged in annual continuous training for a maximum of 15 days per calendar year. Such persons are also treated as actively seeking employment for any period during any week in which they are engaged in annual continuous training for at least three days, up to a maximum of 15 days per calendar year.

161. The regulation states Territorial Army members or reserve forces can be deemed as available to attend training. The Territorial Army or Reserve Forces are:

Royal Fleet Reserve
Royal Naval Reserve
Royal Marines Reserve
Army Reserve
Territorial Army
Royal Air Force Reserve
Royal Auxiliary Air Force
Royal Irish Regiment.

162. A Participant who is a member of the Territorial Army or Reserve Forces will be excused attendance from the WHP for a maximum of 15 days in any calendar year, where they are attending their annual training camp.

163. Where a Participant report that they are due to attend their annual training camp, you should advise them that they are required to report it as a change of circumstances to their local Jobcentre Plus office, before they attend the camp.

164. The Jobcentre will confirm the Participant’s attendance on the training course by sending you a change of circumstances form.

165. On receipt of the change of circumstances form stating that the Participant is taking part in annual continuous training, participation in will be suspended for the duration of the training period and no contact should be made with the Participant.

166. No sanction doubt should be raised if the Participant fails to undertake a mandated activity, unless completion of that activity was expected before the annual training period commenced.

167. You can resume engagement with the Participant once the end date of the annual training period has passed.

168. A Participant for whom this easement applies will not have their time extended it will remain as 456 days.

Question 11

Extended Period of Sickness (EPS) – JSA Participants only

Accepted Answer

32. A JSA Participant can have two periods of sickness of up to 14 days within a job seeking period. If a Participant suffers a third or longer period of sickness, they can volunteer to stay on JSA for up to 13 weeks in a rolling 12-month period on an EPS.

Please note: A Participant’s conditionality may change during the EPS. The Jobcentre Plus Work Coach will notify you if the Participant’s conditionality changes during EPS on a CEPD1. The Jobcentre Plus Work Coach will notify you on form CEPD1 of:

confirmation that the Participant has declared that they are unwell
the start and end dates (if known) of the period of sickness
if an EPS is appropriate, details of changes in the conditionality requirements
the date from when those change apply from.

Action

If a Participant has tailored conditionality you must consider adjusting your approach during this period taking account of their circumstances.
On receipt of the notification that the Participant is on a period of sickness you must consider the Participant’s conditionality if you engage with the Participant.
If the Participant has no conditionality you must not mandate the Participant to undertake any specified activities. However, you may continue to engage with the Participant during this period taking into account their circumstances.
If the Participant has limited conditionality you must contact the Participant to discuss revisions to their action plan and agree reasonable activities, you expect them to do for the time they are under limited conditionality.

Consequence: Failure to update your records may result in you providing inappropriate support for your Participants. You may also cause extra work for you and LMDMs/UCDMs as your sanction referrals may be cancelled.

Background

33. Further detail is provided in the Detailed background and further information section.

Question 12

Informing Jobcentre Plus of an incident or accident on your premises

Accepted Answer

34. Any incidents or accidents which occur on your premises should be reported to your Jobcentre Plus contact immediately by telephone and followed up in writing.

Actions

Contact Jobcentre Plus to report the incident/accident.
Ensure immediate action is taken to ensure the safety of Participants and prevent reoccurrence.
Record all accidents, including minor incidents in your accident book.
All accidents covered by the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) are reported to the appropriate enforcing authority.
An investigation must be carried out to assess whether any changes should be made to the workplace or procedures following the accident/incident.
Risk Assessment Control Measures must be reviewed and, if necessary, revised to ensure their effectiveness and that they remain suitable and sufficient.

35. Further Information can be found in Generic Provider Guidance Chapter 2 – Delivering Provision.

Question 13

Disengaged Process – No contact with Voluntary Participant in receipt of benefit

Accepted Answer

36. Disengagement is when a Participant is no longer interacting with you for a continued period as agreed in your tender; this may also be part of your agreed delivery model. The process applies only after a Participant has started on the programme. The purpose of this process is to assist you to re-engage with a Participant who you have been unable to contact by triggering an interaction with Jobcentre Plus to establish why they have disengaged.

37. You should notify Jobcentre Plus immediately when a voluntary Participant in receipt of benefit has met your disengagement criteria as set out in your tender and you have not been able to make contact. You should complete a WHP07 form and send by unencrypted email, advising of the last date the Participant engaged with you.

38. The disengagement process should be followed if you have:

attempted to re-engage with the Participant in line with your tender and not been able to make contact
not received any notification from Jobcentre Plus to inform you of a change of circumstances on a CEPD1 or UC78e.

39. You must notify Jobcentre Plus on the first day you deem a voluntary Participant to have disengaged from the programme and send one WHP07 per Participant by unencrypted email.

40. When notifying Jobcentre Plus of disengagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

WHP Participant Disengagement or Engagement
Participants surname
last three digits of their National Insurance Number (NINO).

41. If a Special Customer Record (SCR) Participant has disengaged with you, your Nominated Officer should complete the change of circumstances form, ensure that it is marked clearly that the claimant is a SCR Participant and send it to the Nominated Officer in the relevant Jobcentre Plus office by a secure postal service. Further information may be found in Generic Provider Guidance Chapter 2 - Delivering Provision.

42. A Jobcentre Plus Work Coach will contact the Participant to discuss participation in WHP. The Jobcentre Plus Work Coach will notify you of the outcome of this interview on a CEPD1/UC78e change of circumstances form.

43. In cases where a change of circumstances may have contributed to the Participants disengagement it is important that you refer to Work and Health Programme including WHP Pioneer Provider Guidance Chapter 6 –Working with Participants with complex needs and /or additional support requirements and identify any complex needs and/or additional support they may require before undertaking re-engagement activity.

Question 14

Disengaged Process – Contact with Voluntary Participant in receipt of benefit

Accepted Answer

44. A WHP07 is still required to be completed even though there is contact with the Participant and the Participant has asked you not to contact them.

45. Where a Participant has asked you not to contact them. The Participants request should be adhered to and their file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file. In this scenario you should complete a WHP07 to inform Jobcentre Plus that the Participant has disengaged and wants no further contact.

Actions to take when a WHP07 has been sent

46. Where you have sent the WHP07 to the Jobcentre to instigate contact with a Work Coach you have a responsibility to endeavour to contact and re-engage with the Participant as agreed in your tender for the duration of the programme (this could be up to 456 calendar days). This does not apply where a voluntary Participant has already advised that they do not want any further contact.

47. Therefore, if you have still had no contact from the Participant, and not received a CEPD1/UC78e from Jobcentre Plus, then you must attempt to re-engage as per the re-engagement process in your tender.

48. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file.

49. If the Participant decides to re-engage at any point during the remainder of the 456 calendar days Jobcentre Plus will signpost the Participant back to you for the balance of time. If the Participant has notified you directly then you will complete a WHP07 to advise that Jobcentre Plus that they have re-engaged.

Question 15

Circumstances that are not considered disengagement - WHP07 not required

Accepted Answer

50. The disengagement process should not be followed and a WHP07 is not required to be completed in the following circumstances as there is contact with the Participant when you:

make arrangements to tailor the level of engagement with a Participant who you are in contact with due to a change in circumstances, for example a Participant may have an operation and require two-weeks recovery
receive a CEPD1/UC78e change of circumstances notification from Jobcentre Plus where you may be asked to suspend or reduce engagement due to an easement (usually for a finite period of time).

51. As per bullet one above, it is possible that a Participants participation will be affected by a change of circumstances or period of ill health. In these circumstances it may be appropriate to tailor engagement. Further information is held in Work and Health Programme including WHP Pioneer Provider Guidance Chapter 6 –Working with Participants with complex needs and /or additional support requirements, provides details around complex needs and additional support - tailoring the level of engagement with a Participant forms part of this.

Question 16

Re-engagement – Completion of WHP07 for Voluntary Participants in receipt of benefit

Accepted Answer

52. You must notify Jobcentre Plus on the WHP07 change of circumstances notification form and send by unencrypted email when the Participant re-engages with you.

53. When notifying Jobcentre Plus of re-engagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

WHP Participant Engagement
Participants surname
last three digits of their National Insurance Number (NINO)
One notification form per email.

Question 17

Voluntary Participant not in receipt of benefit stops engaging with you

Accepted Answer

54. If a non-benefit claiming Participant disengages, you do not need to report this change to Jobcentre Plus. You have a responsibility to endeavour to make contact and re-engage with the Participant throughout this period as agreed in your tender.

55. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file.

56. Where a change of circumstances may have contributed to the Participants disengagement it is important that you refer to Work and Health Programme including WHP Pioneer Provider Guidance Chapter 6 Working with Participants with complex needs and /or additional support requirements and identify any complex needs and/or additional support they may require before undertaking re-engagement activity and agree the appropriate level of interaction.

57. A non-benefit Participant referral will be identified on PRaP and it is your responsibility to maintain accurate records to ensure this information is up to date.

Question 18

Participant receiving In-Work-Support (IWS) during extension period – WHP07 not required

Accepted Answer

58. A Participant is on the WHP for up to 456 calendar days with a possibility of it extending to a maximum of 639 calendar days where they require IWS.

59. Where a Participant is receiving IWS and you have been unable to contact them a WHP07 should not be sent to Jobcentre Plus to notify of disengagement. In these circumstances you must still try and contact the Participant.

60. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why, if a reason is provided.

Question 19

Compliance Checks

Accepted Answer

61. The DWP Performance and Compliance Officer (PCO) will review evidence of your disengagement/re-engagement process at regular intervals against what you agreed to deliver in your tender. However, DWP is aware that some Participants may not wish to receive continued support and engagement from Providers, and they may not be receptive to continuing attempts by Providers to keep in touch.

62. It is appropriate in these cases to support the needs of the Participant therefore you should ensure you annotate your records in the following circumstances.

A voluntary Participant has asked you not to contact them (send WHP07 to Jobcentre Plus to inform them of disengagement but contact with the Participant should cease).
You have agreed to suspend/reduce engagement due to a change of circumstances (usually for a finite period).

63. This evidence needs to be clearly documented in your internal systems.

Question 20

Participant Death

Accepted Answer

66. If the Participant’s representative notifies you that the Participant has died you must direct the Participant’s representative to Jobcentre Plus to report the change.

67. You should only note your records at this stage. Do not undertake any action to input an end date and completer reason until you receive confirmation of the Participant’s death from DWP.

Question 21

DWP notifies provider of a change of circumstances

Accepted Answer

68. You should bear in mind that a Participant may be with you throughout the 456 calendar days duration of WHP Core. It is essential that you are in contact with the Participant as outlined in your CSS to ensure you have their latest personal information and that you endeavour to work with them while taking into consideration their circumstances.

69. However, DWP will also notify you of changes on a CEPD1 or UC78e change of circumstances form. It is important that you assess how this change affects your engagement, including where any complex needs/additional support is required. Further information can be found in Work and Health Programme including WHP Pioneer Provider Guidance Chapter 6 Working with Participants with complex needs and /or additional support requirements.

70. The following sections detail changes that DWP may notify you of however this is not exhaustive.

Special Customer Records

71. Any notifications you receive from DWP about a SCR Participant should only be dealt with by your Nominated Officer. Further information may be found in Generic Provider Guidance Chapter 2 Delivering provision and in Work and Health Programme including WHP Pioneer Provider Guidance Chapter 14 Validation.

72. All information on SCR Participants whether received from Jobcentre Plus or generated by yourselves must be stored securely at all times. Further information is contained in Generic Provider Guidance Chapter 8 Information Security.

Please note: All notifications for Special Customer Record (SCR) and Multi-Agency Public Protection Arrangements (MAPPA) Participants will remain clerical notifications.

Participant referred as a mandatory Participant when they should be a voluntary Participant

73. If a voluntary Participant is incorrectly referred to WHP as a mandatory LTU Participant the Work Coach will contact, you to explain the error. They will ask you to cease any further engagement with the Participant until further notice.

74. Following notification of the error Jobcentre Plus will contact the Participant and give them the option to remain on the programme or leave.

75. Should the Participant decide to remain on the programme a Jobcentre Plus Work Coach will notify you by email on a UC78e/CEPD1 to treat the Participant as voluntary. You should review any mandatory activities as they will no longer be appropriate.

76. If the Participant decides to leave the programme you will be notified on a UC78e/CEPD1 and you should take the appropriate action to cancel the referral as outlined in the Work and Health Programme including WHP Pioneer Provider Guidance Chapter 3 Acknowledging referrals, initial Participant engagement and registering a start.

Participant starts work

77. When a Participant starts work Jobcentre Plus will notify you if the Participant starts/ends work (including part time, voluntary, self-employed, permitted), lost work, change in hours worked.

Participant becomes sick

78. A Jobcentre Plus Work Coach will notify you when a Participant has a period of sickness. If a Participant is in receipt of JSA they can have two periods of sickness of up to 14 days within a job seeking period. For further information please refer to EPS section detailed in this chapter.

Participant Death

79. If you are notified of a Participants death by their representative direct the representative to notify Jobcentre Plus.

80. If Jobcentre Plus becomes aware that the Participant has died they will contact you immediately by telephone and also notify you by email on a UC78e for UC Participants or a CEPD1 for Participants claiming JSA, IS and ESA.

81. Once you receive the information from Jobcentre Plus you should update the PRaP system. The actual date of death must be recorded and not the date that the notification of the Participants death was received if you have not received confirmation from Jobcentre Plus after having being informed by the Participants representative,

82. You should contact your local Jobcentre Plus to request confirmation. If you are unable to obtain this through your usual points of contact, email the “DWP WHP enquiries inbox” requesting confirmation, providing them with the Participants name, NINO and DOB on one email per Participant.

83. For further information please refer to Work and Health Programme including WHP Pioneer Provider Guidance Chapter 11 Programme completers and early exits.

Participant moves to another geographical area

84. If a Participant changes address to one outside your contract package area they will remain your responsibility. It will be up to you to arrange appropriate support via yourselves and your strategic partners to deliver the service requirement until the end of their allotted time.

Please note: For WHP if a mandatory Participant moves to Scotland, and whilst they remain in Scotland, they are no longer required to participate in the Programme on a mandatory basis. However, they may choose to continue participating on a voluntary basis.

Participant is going on holiday in Great Britain (GB)

85. The process for Participants taking holidays differs depending on their benefit claim.

86. All JSA Participant groups may take holidays within Great Britain (GB) but must remain available for work. The Participant will usually be expected to continue looking for work although they do have an opportunity to tell their Work Coach that they do not wish to do so, under regulations this can be allowed for a maximum of two weeks in any 12-month period.

87. For UC Participants there is no holiday easement. Participants in the Intensive Work Search regime must continue to demonstrate that they are both searching for work and are available for work for the number of hours identified in their Claimant Commitment. The Participant must also continue engaging in other work-related requirements including the Work and Health Programme.

88. You will be expected to continue to engage with them in the same way, disregarding any holiday. Compliance doubts should continue to be raised if Participants do not fully engage in their mandatory activities.

89. All ESA Participant groups are not limited to the amount of time they are allowed to spend away from home within Great Britain (GB). They are not expected to notify yourselves or the Jobcentre Plus if they go on holiday.

Please note: For holiday purposes the term ‘GB includes: England, Scotland, Wales, Shetland, Hebrides, Orkney, Lundy, Isles of Scilly, Isle of Wight, Isle of Man and the territorial waters adjacent to Great Britain. ‘Great Britain’ does not include The Channel Islands for holiday purposes.

Participant is going outside Great Britain (GB) and Northern Ireland (NI) temporarily

90. All JSA (IB) Participants going outside GB and NI will have their claim for JSA closed for the period they are away.

91. JSA (Contributory (C) Participants holidaying abroad will also have their claims closed.

92. If a JSA (C) Participant moves abroad permanently, they may have the right to claim the remainder of their benefit in the country they move to Jobcentre Plus will inform you of this change.

93. ESA Participants can go abroad for a period of up to four weeks and do not have to notify Jobcentre Plus that they are doing so.

94. IS Participants can go abroad for a period of up to four weeks, but must notify Jobcentre Plus that they are doing so.

95. In some exceptional cases ESA can be paid to a Participant whilst they are abroad for a period of up to 52 weeks. The Participant has to request permission from Jobcentre Plus if they wish to do this.

96. If permission is granted you will be notified of this change.

97. You must note the dates the Participant is away and continue engagement/support on their return home.

Participant’s entitlement to benefit changes and/or Labour Market Regime Changes

98. Should a Participant’s entitlement to benefit/Labour Market Regime change during their time with you, Jobcentre Plus will notify you of changes in conditionality/ participation requirements.

99. It is important to bear in mind that the Participant may remain with you throughout the 456 calendar days allotted time, unless they satisfy one of the early completer reason criteria (no matter what the change(s) in their circumstance).

Participant is imprisoned

100. Should the Participant become imprisoned, they will remain on WHP for their allotted time.

101. It is important to review the change in circumstances and consider the impact of imprisonment on your engagement/support with the Participant.

Mandatory Participant on WHP changes from UC Intensive Work Search Regime to another regime

102. Where you are notified that a mandatory LTU Participant on UC in the Intensive Work Search Regime moves to another regime they remain attached with you and their participation requirements should be treated as the same as those of a Voluntary Participant.

Self-Employment whilst on UC

103. When a Participant report that they are self-employed, or a partner that is already self-employed joins an existing claim, a Jobcentre Plus Gateway Interview is needed to provide an assessment of whether the Participant and/or partner is in gainful self-employment for UC purposes. You should advise the Participant to telephone the UC Service Centre to arrange a Gateway Interview to disclose their self-employment.

104. Further information on the UC self-employment gateway interview can be found in the section covering Overview of the Self Employment Gateway Interview of this Chapter.

105. The requirements set out in the section covering Overview of the Self Employment Gateway Interview of this Chapter are for UC purposes only to advise you of what a Participant will need to do to meet the conditionality requirements of being self-employed whilst on UC.

106. It is for the Participant to meet the requirements for declaring as UC Self-employed, however it would be to your advantage to ensure they are complying with the requirements as DWP will access pertinent data within a Participants UC record to determine if they are gainfully self-employed.

107. For Self-Employed Outcome definition and validation requirements, please see the relevant contractual clauses and the additional information contained in Work and Health Programme including WHP Pioneer Provider Guidance Chapter 13 Funding Model and Work and Health Programme including WHP Pioneer Provider Guidance Chapter 14 Validation.

108. There are additional specific ESF Regulations for self-employed Participants for additional information please refer to Work and Health Programme including WHP Pioneer Provider Guidance Chapter 14 Validation.

109. The Jobcentre Plus Work Coach will notify the outcome of the interview on a UC78e change of circumstances form. If the Participant is gainfully self-employed and a start-up period is appropriate, they should also include the start and end dates.

110. If the Participant is treated as being gainfully self-employed, the Jobcentre Plus Work Coach will book a subsequent self-employed quarterly interview to take place at three, six and nine month stages. At the end of each quarterly interview (or at any other time when a change is reported), the Jobcentre Plus Work Coach will notify you if the Participant: any other time when a change is reported), the Jobcentre Plus Work Coach will notify you if the Participant:

has ceased self-employment
start-up period has come to an end
is no longer gainfully self-employed.
remains gainfully self-employed, but have not taken sufficient steps to increase their earnings during a start-up period. Where the start-up period ends, the Participant’s Labour Market Regime will be amended to Working Enough Regime if they would otherwise fall within the Intensive Work Search Regime and their participation becomes voluntary.

111. The Jobcentre Plus Work Coach will inform you of any change to the Participant’s labour market regime and work search and work availability requirements.

112. See further information on self-employment.

Question 22

UC Participant / partner refuses to accept Claimant Commitment

Accepted Answer

113. As part of entitlement to UC the Participant will have a Claimant Commitment specifying the work-related requirements they must complete. In the case of a couple, each will have their own Claimant Commitment. Jobcentre Plus is responsible for reviewing and updating the Participant’s Claimant Commitment to reflect any changes to the claim or their conditionality.

Please note: UC claimants must accept their Claimant Commitment but there is no requirement for them to sign it.

114. If the Participant or, in the case of a household/joint claim, their partner refuses to accept the updated Claimant Commitment they will be given a ‘cooling off’ period of five working days. If either the Participant or partner refuses to accept the Claimant Commitment, their claim to UC will be closed.

115. Jobcentre Plus will notify you if the Participant (or partner) refuses to accept the updated Claimant Commitment by completing and sending a change of circumstances form.

116. If a Participant and/or partner refuse to accept an updated Claimant Commitment, they will still be attached to the programme on a voluntary basis. You will be notified of any further change in circumstances, such as reclaiming UC and accepting the Claimant Commitment, so you can re-engage with the Participant.

Question 23

Switching off Work-Related Requirements and Tailored Conditionality for UC Participants

Accepted Answer

117. There may be times when Jobcentre Plus identifies a change in the Participant’s particular circumstances that means their work search and work availability requirements detailed on the Claimant Commitment should be temporarily switched off for a limited period of time. Conditionality can also be tailored to limit work-related requirements.

118. Jobcentre Plus will confirm if work related requirements must be switched off or limited to meet the Participant’s new circumstances by sending the UC78e by unencrypted email. The Jobcentre Plus Work Coach (WC) will set new requirements on the Claimant Commitment and record the start and end date or review date (if applicable).

119. When work related requirements are switched off, the Participant will stay in their original labour market regime. The aim is to avoid movement between regimes and allow DWP to easily reapply full conditionality when the circumstances return to normal.

Please note: Although work search and work availability requirements may be switched off, work preparation activities may continue to apply so you could continue to engage with the Participant.

Question 24

Switching off requirements for UC Participants

Accepted Answer

120. UC Regulations specify the particular circumstances when work search and availability requirements must be switched off. Jobcentre Plus Work Coaches have the discretion to switch off/tailor other work-related requirements, as appropriate. This applies to Participants:

with a self-certificate/medical evidence of illness of up to 14 days (see section ‘Participant is sick’)
receiving or accompanying a child or qualifying young person or partner, for whom they are responsible, for medical treatment, convalescence or care outside of Great Britain (for up to 6 months)
bereaved following the death of their partner or their child or a child or qualifying young person, for whom they are responsible, within the past six months
receiving and has been participating for no more than six months in a structured recovery orientated course for drug and/or alcohol dependency
in prison (detained in custody pending trial or sentence or on temporary release and they remain entitled to UC)
attending court or a tribunal as a witness
on the witness protection programme for up to three months
engaged in a public duty (for example jury service, volunteer fire-fighter; lifeboat server, coastguard, councillor or Territorial Army reservist)
who have recently been a victim of domestic violence or abuse
supporting a child who needs additional care due to the effect of bereavement, violence or abuse (including domestic violence or abuse).

Please note: Under UC Regulations, Participants who are victims of domestic violence and abuse could have all work-related requirements switched off for a limited period.

121. Where you consider that work related activity should be switched off (for example, if you become aware of a change of circumstances covered in the list above), you must refer the Participant immediately to Jobcentre Plus for an assessment of their current circumstances.

122. Where Jobcentre Plus report that All Work-Related activity must be temporarily switched off, you will need to suspend engagement with the Participant for the set period of time.

123. The Jobcentre Plus Work Coach will notify you of the date when work related activity has been switched off on the change of circumstances form. You will need to suspend engagement with the Participant from the start date of the easement.

124. The easement period will count towards the Participant’s allotted time on Work and Health Programme. The Jobcentre Plus Work Coach will ensure that appropriate dates are set to review when the requirements can be switched back on. When the temporary period has ended, the Jobcentre Plus Work Coach will notify you about the re-instatement of work-related requirements on a UC78e change of circumstances form so that you can re-engage with the Participant.

125. For Participants that need structured treatment for drug and/or alcohol dependency, the Participant will be referred formally via Jobcentre Plus to the treatment provider. Jobcentre Plus will undertake a monthly check to monitor that they remain in treatment with the approved provider for up to 182 calendar days.

Question 25

Tailored Conditionality for UC Participants

Accepted Answer

126. Conditionality can also be tailored, particularly when the Participant has a temporary emergency or temporary responsibility. Therefore, Work Coaches have the discretion to switch off work search/work availability requirements where it would be unreasonable for these to be imposed on a Participant. Examples of this include:

temporary childcare 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
dealing with a domestic emergency
having to make funeral arrangements
sickness that exceeds the first 14 days of sickness
undergoing any other temporary circumstance and it would be unreasonable to expect them to work search/be available for work.

127. Jobcentre Plus Work Coaches may decide that the Participant should be subject to other work-related requirements. This may include work preparation requirements and/or work focused interview requirements, or limiting work search or work availability requirements. They will notify you of the nature of any limitations and expectations on Participants.

128. At all times, Jobcentre Plus needs to ensure that the requirements imposed on Participants are reasonable given their capability and circumstance. Therefore, Jobcentre Plus has the discretion to limit work-related requirements. Jobcentre Plus will determine the limitations that need to be agreed with the Participant.

129. This can include:

reducing the time the Participant is expected to look for work
reducing the time they are expected to travel to work
reducing the hours or days they are available for work
limiting the type of work the Participant is expected to look for work.

130. Once the limitations have been determined the Jobcentre Plus Work Coach will create a new Claimant Commitment and notify you on the change of circumstances form.

131. Once the easement period has finished, Jobcentre Plus will notify you using another UC78e change of circumstances form, with updated requirements.

Question 26

Work Availability Requirements for UC Participants

Accepted Answer

132. Participants in the Intensive Work Search regime must be available and willing to start work and attend a job interview immediately. In certain circumstances, as detailed below, Participants may be given more time.

participants who need to arrange childcare (or other care arrangements) before taking up work or attending an interview will be given up to 48 hours to attend an interview and a period of one month to take up a job.
participants who are volunteers will be given up to 48 hours to attend an interview and one week to take up work.
participants with a contract of employment will be given 48 hours to attend an interview and will not be required to be available until they have served their notice period.
participants who have a fit note from a doctor will not be required to take up a new job until their fit note expires.
participants who have recently left prison will not be required to take up work within the first seven days of release.

133. In addition, work search and availability requirements must be limited to a work location which would take Participants a maximum of 90 minutes to and from home in each direction.

Question 27

Easements for victims of domestic violence

Accepted Answer

134. JSA or ESA WRAG Participants subject to conditionality can have an easement when they have been a victim of actual or threatened domestic violence.

135. JSA Participants will be excused from meeting the labour market conditions: availability, actively seeking employment, requiring a Claimant Commitment (unless they already have one) in certain circumstances, if they tell Jobcentre Plus they have been subject to domestic violence in the previous 26 weeks.

136. A Participant can also be excused from attending Worksearch Reviews during any agreed easement period.

137. There are two elements to the new easement:

an initial four-week period starting on the day the person notifies Jobcentre Plus that they have been threatened with or subject to actual domestic violence
the facility to extend the initial easement to 13 weeks upon production to Jobcentre Plus of written evidence by the Participant during the initial four-week period. If the evidence is produced, the 13-week period will begin on the same date as the four-week period.

138. The purpose of the easement is to give the Participant time to resolve any immediate issues arising from the domestic violence, such as finding new accommodation, changing children’s schools or getting legal advice etc.

139. Anyone making a new claim or already receiving benefit who tells Jobcentre Plus that they have been a victim of actual or threatened domestic violence is eligible for the initial four-week easement as long as:

the incident of domestic violence occurred within the previous 26 weeks
it meets the definition of domestic violence
they are not living at the same address as the abuser
they have not previously had a period of domestic violence easement within the last 12 months.

140. A Participant stating that they are a victim of domestic violence will not be referred to WHP until either the end of their 13-week easement period or after the end of the initial four-week notification period if they fail to provide supporting evidence within that period.

141. If you identify that Participants already on WHP may be victims of domestic violence, you should advise the Participant to contact their Jobcentre Plus office straightaway.

142. Jobcentre Plus will consider the Participant’s eligibility and notify you in writing if the domestic violence easement applies using the CEPD1 change of circumstances form.

143. The Change of Circumstances form will state:

whether the easement is for four or 13 weeks as appropriate
start date of the easement
anticipated end date of the easement
reason for ending (that is, the easement reached full term, no evidence provided by the end of the fourth week, Participant no longer wishes to avail themselves of the easement,
the revised date, if the easement ended before the anticipated date.

144. A Participant does not have to use all of their 13-week easement in one go. If, before the end of the period, they feel that they are able to meet the benefit conditionality requirements, they can ‘bank’ any remaining weeks and apply to use them again provided that they are used up within 12 months of their first notification to Jobcentre Plus that they have been a victim of domestic violence.

Question 28

Extended periods of sickness (EPS) – JSA Participants only

Accepted Answer

169. A JSA Participant can have two periods of sickness of up to 14 days within a job seeking period. If they suffer a third or a longer period of sickness, they can volunteer to stay on JSA for up to 13 weeks in a rolling 12-month period on an EPS.

170. The EPS is one continuous period of 13 weeks or less and cannot be split into separate periods. The 12-month rolling period is calculated from the first date of the EPS.

171. If the Participant volunteers to continue on JSA during the EPS, they are able to stay close to the labour market with personalised conditionality and support tailored to their illness or health condition.

172. The EPS period may be covered by form JSA28 for up to 14 days. From day 15 or day eight, if the period of sickness was expected to last longer than two weeks, the Participant must provide supporting medical evidence, for example, a fit note or Statement of Fitness or Work (SoFFW).

173. If supporting medical evidence is not provided the Participant will be expected to be available for and actively seeking work to stay on JSA. Supporting medical evidence will be retained by the Jobcentre and the detail relating to a Participant’s conditionality will be recorded and notified to you on a change of circumstances form.

174. Once the Participant decides to remain on JSA, the Jobcentre Plus Work Coach will interview them to agree their temporary conditionality. It may be that the Jobcentre Plus Work Coach allows them to be treated as actively seeking work, for a short period of time at the beginning of the period, but they will be expected to increase their activity as they recover.

Question 29

Tailored Conditionality

Accepted Answer

175. If the Participant elects to remain on JSA they will be treated as being available for work and capable for work for the whole duration of the EPS.

176. However, the Participant can be required to look for work or undertake an activity designed to improve their job prospects or keep them in touch with the labour market.

177. In deciding whether the Participant should undertake any activity, the Jobcentre Plus Work Coach will take into account:

the Participant’s health condition
what their Fit Note states
likely duration of sickness
their personal circumstances.

178. The Jobcentre Plus Work Coach will then decide whether:

to remove the conditionality requirements completely for the whole duration of the EPS
to remove conditionality requirements completely for part of the EPS and the Participant has limited conditionality for the remaining duration of the EPS
the Participant has limited conditionality for the whole duration of the EPS.

For example: A Participant with a six week fit note may have no conditionality for the first two weeks however as they recover they may have four weeks limited conditionality.

179. Tailored conditionality means replacing the conditionality requirements with a new set of temporary requirements which take into account the change in the Participant’s health condition and which are reasonable in light of their current personal circumstances.

180. The Jobcentre Plus Work Coach will:

consider when the Participant’s conditionality will be reviewed taking into account their health condition
notify you on a CEPD1 Change of Circumstances form of any change in conditionality including:
- if further supporting medical evidence is provided
- if the Participant decides to end their claim to JSA
- if the Participant’s conditionality changes
- the date when EPS ends and when the Participant will be ready to continue with their normal Action Plan activities.

Question 30

Conditionality impact for Work and Health Programme Providers

Accepted Answer

181. Following the Jobcentre Plus Work Coach assessment of the Participant sickness, the Work Coach will decide to remove the Participant’s conditionality completely, that is no conditionality, or agree that the Participant has limited conditionality.

182. The decision made by the Jobcentre Plus Work Coach on the Participant’s conditionality during the EPS will have an effect on how you engage with the Participant.

183. The temporary conditionality requirements which take into account the Participant’s health condition do not affect their original Claimant Commitment.

No conditionality

184. If the Participant’s conditionality is removed you must not mandate the Participant to undertake any specified activities. However, you may continue to engage with the Participant during this period taking into account their circumstances.

Limited conditionality

185. If the Participant has limited conditionality you may contact the Participant to discuss revisions to their action plan, and agree what reasonable activities you expect them to do for the time they are under limited conditionality.

Please note: A Participant’s conditionality may change during the EPS. The Jobcentre Plus Work Coach will notify you if the Participant’s conditionality changes during EPS on a change of circumstances form.

186. When deciding whether activity is reasonable, activities set will need to be tailored to the health condition or illness and reviewed on a regular basis to ensure they remain appropriate to the Participant as they recover or if their health deteriorates.

187. Whilst the Participant has limited conditionality they can be supported towards employment for the whole duration of the EPS. The Participant must not be mandated to take up work however they can be mandated to apply for a job or complete activities that are steps towards preparing them for work.

Please note: If the period of EPS overlaps a period where you have previously mandated the Participant to undertake specified activities a new notification may have to be issued to mirror amendments to the Participant’s action plan if they have limited conditionality. Alternatively, if they have no conditionality the notification will have to be withdrawn taking into account the Participant’s circumstances.

Notification to Work and Health Programme Provider

188. The Jobcentre Plus Work Coach will notify you on a CEPD1 change of circumstances form of:

confirmation that the Participant is on an EPS
the start and end dates of the EPS
details of their conditionality (whether No conditionality or Limited conditionality)
start and end dates of each conditionality period.

189. On receipt of the notification you should note your records of the dates of the EPS period and tailor your engagement with the Participant taking into consideration any conditionality notified by the Jobcentre Plus Work Coach.

190. The Jobcentre Plus Work Coach will issue further CEPD1 change of circumstances forms during the period they are on EPS in the following circumstances:

191. if further supporting medical evidence is provided

if the Participant decides to end their claim to JSA
to notify you if the Participant’s conditionality changes
to notify you of the date when EPS ends and when the Participant will be ready to continue with their normal action plan activities.

192. If you have not received another CEPD1 change of circumstances notification by the end date of the EPS you should contact the Jobcentre Plus Work Coach who will advise and issue change of circumstances form with the appropriate information.

Please note: If a Participant brings a Fit Note to you, you must not accept the Fit Note and you should refer the Participant to Jobcentre Plus.

Health condition likely to last longer than 13 weeks

193. At the point the health condition or illness looks likely to last more than 13 weeks the Participant will be advised to claim ESA by the Jobcentre Plus Work Coach.

194. Where this is the case the Jobcentre Plus Work Coach will advise you by issuing a change of circumstances form. You should take the usual action to engage with the Participant on a change in their conditionality. If the Participant claims ESA they become a voluntary Participant so any subsequent Failure to Attend would not result in a sanctions referral.

Participant no longer sick

195. If the Participant does not supply a further Fit Note, the Jobcentre Plus Work Coach will notify you on a change of circumstances form that the Participant is no longer sick and has returned to their original conditionality. You may contact the Participant to discuss their on-going support.

Notification of Participant change of circumstances via unencrypted email

196. You must notify Jobcentre Plus on the first day you deem a voluntary Participant to have disengaged from the programme and send one WHP07 per Participant by unencrypted email.

197. When notifying Jobcentre Plus of disengagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

WHP Participant Disengagement or Engagement
Participants surname
last three digits of their National Insurance Number (NINO)
one notification form per unencrypted email.

Forwarding emails to your sub-contractors

198. You may forward UC78e or CEPD1 change of circumstances forms received by unencrypted email to DWP approved sub-contractors and inboxes within your organisation provided that:

no more than one Participant record at a time is emailed.
a business need to share the information exists
the recipient is legitimately entitled to receive the information (emails must not be automatically forwarded without ensuring this).

Please note: You must keep a record of where and when you sent the notification form for three months.

Standard unencrypted Email Content

199. Each email must never contain more than one referral form per email.

200. Each email must contain only the following standard content:

201. Standard wording to be displayed in email ‘Subject Box’:

Name of referral form
Participant’s surname
National Insurance Number – only last three characters.

202. Standard wording to be displayed in email ‘Narrative Box’: Sender contact details.

203. Email attachment: Completed referral form

Contingency process

204. There may be occasions when due to circumstances such as IT failure you are temporarily unable to receive change of circumstances via unencrypted email from Jobcentre Plus offices.

205. In these circumstances you must ensure that your DWP District Third Party Provision Manager (TPPM) is kept informed of the situation and how long you anticipate it lasting.

206. The TPPM will inform Jobcentre Plus colleagues of the situation and they will temporarily suspend the use of unencrypted email.

207. If you anticipate the situation will continue for 48 hours or longer you must revert to the change of circumstances clerical contingency of receiving the CEPD1/UC78e through the post until the problem is resolved and you are able to use the unencrypted email again.

208. Your TPPM should be kept updated and prior to you starting to use the contingency arrangements you must inform the TPPM when these arrangements will start. Also, before you begin to use the unencrypted email process again you must notify the TPPM.

209. If Jobcentre Plus have an IT failure, your TPPM will notify you if the problem will last for longer than 48 hours and that Jobcentre Plus will revert to the contingency arrangements of sending the CEPD1/UC78e form through the post.

210. Once resolved, your TPPM will notify you when you can expect to start receiving electronic change of circumstances forms again.

Should you require a copy of any of the forms mentioned in this chapter, please email: WHP.ENQUIRIES@DWP.GOV.UK

Question 31

Overview of the Self Employment Gateway Interview

Accepted Answer

Please note: These requirements set out in this section of the Chapter are for UC purposes only to advise you of what a Participant will need to do to meet the conditionality requirements of being Self-Employed whilst on UC, this will be for the Participant to meet these requirements, however it would be to your advantage to ensure the Participant is complying with the requirements for declaring as UC self-employed Participant as DWP will access pertinent data within a Participants UC record to determine if the Participant is gainfully self-employed.

For meeting the Work and Health Programme Self-employed outcome definition and validation requirements, please see the relevant contractual clauses and the additional information Work and Health Programme including WHP Pioneer Provider Guidance Chapter 13 Funding Model and Work and Health Programme including JWHP Pioneer Provider Guidance Chapter 14 Validation.

A.01. When a Participant who is claiming Universal Credit (UC), and is in the All Work Related Requirements group (Intensive Work Search regime), reports to Jobcentre Plus that they are self-employed they will be required to attend a Gateway Interview with a Jobcentre Plus Work Coach to decide whether they are gainfully self-employed.

A.02. The Participant will be required to bring a completed Self-Employed Declaration and as much evidence as possible of their self-employed business.

For example:

their unique tax reference
list of customers, suppliers, invoices and receipts
previous tax returns
previous declarations of income for tax credits
business account bank details and statements
trading accounts from the previous year
name, address and telephone number of their accountant
a diary of appointments, business meetings,
business plans and or marketing material.

This list is not exhaustive and the Participant does not need to provide all of them.

Gainfully Self-employed

A.03. For UC purposes, to be gainfully self-employed the following criteria must be satisfied:

activity is carried out on a self-employed rather than an employed basis
self-employment is the Participant’s main employment
self-employment is regular, organised, developed and carried out in expectation of profit.

A.04. The Jobcentre Plus Work Coach will consider a person is probably self-employed if they meet some or all of the following:

run their own business and take responsibility for its success or failure
usually have several customers at the same time
decide how, when and where they do their work
can hire, at their expense, people to do the work for them or help them do it
provide the main items of equipment needed to do their work
whether the activity is undertaken for financial gain
the number of hours spent each week on the work
any business plan or steps taken to increase income from the activity
how HM Revenue and Customs (HMRC) regard the activity
how much work is in the pipeline
whether the Participant is actively marketing or advertising for work.

A.05. If the Participant’s earnings are derived from employment under a contract of service, or in an office or other ‘casual’ paid work they are not self-employed.

A.06. At the end of the Gateway Interview, the Jobcentre Plus Work Coach will issue a decision letter to the Participant.

Start-Up Period

A.07. To support them while they grow their business, Participants who have been assessed as Gainfully Self-Employed may get a Start-Up Period during which they can continue to claim UC without any requirement to look for alternative work. A Start-Up Period will be available to self-employed Participants who:

are gainfully self-employed for UC purposes
haven’t been undertaking the self-employed activity for more than 12 months before the start of the UC assessment period in which the Gateway Interview takes place
haven’t had a start-up period in the last five years
are taking appropriate steps to increase their earnings with the aim of ultimately increasing earnings to the level of their conditionality earnings threshold.

A.08. The Start-Up Period runs from the beginning of the UC assessment period in which the Jobcentre Plus Work Coach agrees the Start-Up Period is applicable and ends after one year unless the Participant fails to continue to satisfy the criteria.

A.09. During the start-up period the Participant must attend quarterly interviews with a Jobcentre Plus Work Coach in order to meet their conditionality requirements. At the interviews the Participant must show that they remain gainfully self-employed and that they have been taking steps to increase their earnings, with the ultimate aim of increasing earnings to the level of their individual conditionality earnings threshold.

A.10. The Participant will indicate the steps they plan to take at the Gateway Interview and subsequent quarterly interviews, and if the Jobcentre Plus Work Coach agrees they are appropriate they will be set out in their Claimant Commitment.

Minimum Income Floor

A.11. The Minimum Income Floor (MIF) is applied to Participants who are assessed as Gainfully Self Employed and would otherwise fall in the Intensive Work Search regime, where the Start-Up Period is not applicable.

A.12. The MIF is an assumed level of net earnings for a self-employed Participant that matches the work expectations of any other Participant with similar circumstances. The MIF is a monthly amount calculated on the basis of working up to a maximum of 35 hours per week and multiplied by the National Minimum Wage for their age group minus tax and National Insurance Contributions.

A.13. If the Participant’s actual earnings are below the MIF, their UC award will be calculated using the MIF. If declared earnings exceed the MIF, actual earnings will be used to calculate the UC award. Participants who have the MIF applied are placed in the Working Enough regime.

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Extended Period of Sickness (EPS) – JSA Participants only

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Self-Employment whilst on UC

UC Participant / partner refuses to accept Claimant Commitment

Switching off Work-Related Requirements and Tailored Conditionality for UC Participants

Switching off requirements for UC Participants

Tailored Conditionality for UC Participants

Work Availability Requirements for UC Participants

Easements for victims of domestic violence

Easement for Homeless Persons

Duration and Frequency of the Easement

Easement for Participants who are members of the Territorial Army or Reserves Forces

Extended periods of sickness (EPS) – JSA Participants only

Tailored Conditionality

Conditionality impact for Work and Health Programme Providers

No conditionality

Limited conditionality

Notification to Work and Health Programme Provider

Health condition likely to last longer than 13 weeks

Participant no longer sick

Notification of Participant change of circumstances via unencrypted email

Forwarding emails to your sub-contractors

Standard unencrypted Email Content

Contingency process