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Chapter M3: Gateway conditions Pathfinder Group - claims for UC from 16.6.14

Contents
M3001:Introduction
Definitions
M3006:Meaning of JSA and ESA
M3007:Meaning of existing benefit
M3008:Meaning of gateway conditions
M3009:Meaning of new claimant partner
M3010:Meaning of date of claim
M3021:Who can claim UC
Formation and separation of couples
M3022:Formation of couple - treated as making a claim
M3023:Formation of couple - no claim required
M3024:Former joint claimants - claim required
M3025:Former joint claimants - no claim required
M3026:Member of a couple dies
M3027:Earned income - no claim required
M3041:Exception - Claimant entitled to SPC or existing benefit
M3070:Gateway conditions
M3072:Personal characteristics

Fitness to work
M3075:Pregnancy
M3080:Limited capability for work
M3085:Entitlement to other benefits
M3086:Decision on entitlement to other benefit awaited
M3087:Decision on appeal awaited
M3100:Award of JSA ends
M3101:Award of ESA ends
M3105:Treated as entitled to Tax Credit
M3110:Income and capital
M3112:Housing
M3120:Caring responsibilities
M3121:Responsible for a young person
M3122:Foster parent
M3130:Other requirements
M3150:Claims for UC - claimant does not meet gateway conditions
M3155:UC claim awaiting decision
M3156:Claim for old-style JSA, old-style ESA or IS
M3157:Claim for HB
M3158:Claim for Tax Credits
M3170:Claimant entitled to UC - no payment made
M3175:Claimant entitled to UC - payment made
Relevant districts ................................................................................... Appendix

Chapter M3: Gateway conditions - claims for UC from 16.6.14

M3001 Introduction

This Chapter gives guidance on who can claim UC in the second stage of transition
from existing benefits to UC. Claims can be made by people
1. who meet the gateway conditions (1) and
2. in specified circumstances, by people (including joint claimants) whether or
not they meet the gateway conditions (2).

1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(a) & Sch 5; 2 art 3(3)(b)

M3002

The second stage applies to claims or, where 5. applies, awards made on or after
16.6.141 where
1. a claimant who lives in one of the relevant districts makes a claim for UC or
2. a claimant gave incorrect information about living in one of the relevant
districts and this is discovered after
2.1 a decision is made that the claimant is entitled to UC and
2.2 one or more payments have been made in respect of the claimant or
3. a claim for UC is treated as made by a couple (2) or
4. a claim for UC is made by a former member of a couple (3) or
5. an award of UC is made without a claim (4). Note: See the Appendix for details of the relevant districts. 1 WR Act 12 (Commencement No. 9 etc.) (Amdt) Order, art 3(1);
2 UC, PIP, JSA & ESA (C&P) Regs, reg 9(8);
3 reg 9(6); 4 regs 6(1), 6(2), 9(6), 9(7) & 9(10)

M3003

However, the Secretary of State may determine not to accept any particular claims
for UC temporarily in order to
1. safeguard the efficient administration of UC or
2. ensure the effective testing of systems for the administration of UC (1).

1 UC (TP) Regs 14, reg 4

M3004

For guidance on the effects of entitlement to UC for claimants who meet the
gateway conditions, see ADM Chapter M4 (Gateway conditions - effect of transition
to UC from 16.6.14).

M3005

For guidance on claims for UC made before 16.6.14, see ADM Chapter M1
(Pathfinder Group - Claims for UC).
Definitions

M3006 Meaning of JSA and ESA

In this Chapter and ADM Chapter M4 (Gateway conditions - effect of transition to
UC from 16.6.14)
1. "new style JSA" means JSA as amended by law, based on NI contributions only
2. "old style JSA" means JSA as it applies before the amendments referred to in
1. (it includes JSA(Cont) and JSA(IB))
3. "new style ESA" means ESA as amended by law, based on NI contributions only
4. "old style ESA" means ESA as it applies before the amendments referred to
in 3. (it includes ESA(Cont) and ESA(IR)1.
Note 1: See ADM Chapters S8 (JSA transition) and V8 (ESA transition) for
guidance on when claims to JSA and ESA can be made in the relevant districts.
Note
2: See the Appendix for the date from which claims for UC can be made in the
relevant districts.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 2(1); UC (TP) Regs 14, reg 2(1);
WR Act 12, Sch 3 & 14 Part 1; JS Act 95; WR Act 07, Part 1

M3007 Meaning of existing benefit M3085

Existing benefit means (1)
1. JSA(IB)2
2. ESA(IR)3
3. IS (4)
4. HB (5)
5. CTC (6)
6. WTC (6).
1 UC (TP) Regs 14, reg 2(1); 2 JS Act 95; 3 WR Act 07, Part 1; 4 SS CB Act 92, s 124; 5 s 130; 6 TC Act 02

M3008 Meaning of gateway conditions

The gateway conditions are the requirements in M3072 - M3131 (1).
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5

M3009 Meaning of new claimant partner

Where
1. a person is entitled to UC as a single person and
2. the award terminates when they become a member of a couple and
3. the other member of the couple was not entitled to UC as a single claimant
immediately before the formation of the couple and
4. the couple is treated as having made a claim for UC (1) and
5. the DM is satisfied that the claimants meet the UC basic conditions of
entitlement (other than the acceptance of a claimant commitment)2
the other member of the couple is known as a new claimant partner (3)
Note: See ADM Chapter A2 for detailed guidance on claims.
1 UC, PIP, JSA & ESA (C&P) Regs, reg 9(8); 2 WR Act 12, s 4(1)(a) - (d);3 UC (TP) Regs (14), reg 2(1) & 7(1)

M3010 Meaning of date of claim

For the purposes of claimants who satisfy the gateway conditions (1), the date of a
claim for UC is normally
1. the date it is received, whether made electronically or by telephone or
2. if later, the first day for which the claim is made (2).
See Chapter A2 (Claims) for detailed guidance on the date of UC claims, including
exceptions to the normal rule.

1 UC (TP) Regs (14), reg 2(2)(a); 2 UC, PIP, JSA & ESA (C&P) Regs, reg 10

M3011

Where a couple is treated as having made a claim for UC (1), the date on which the
claim is treated as having been made is the date two people form a couple (2).
1 UC, PIP, JSA & ESA (C&P) Regs, reg 9(8); UC (TP) Regs 14, reg 2(2)(b)

M3012

-

M3020

M3021 Who can claim UC

Claims for UC in the second stage of transition to UC can only be made by claimant who
1. on the day the claim is made, live in one of the relevant districts and meet the
gateway conditions or
2. give incorrect information about living in one of the relevant districts or
meeting the gateway conditions when they do not do so and that is
discovered after
2.1 a decision is made that the claimant is entitled to UC and
2.2 at least one payment has been made (1).
Note: See M3150 et seq for guidance on claimants giving incorrect information
regarding entitlement to claim.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(a) & (b)
Formation and separation of couples

M3022 Formation of couple - treated as making a claim M3041 M3150

Where
1. a single UC claimant forms a couple, and as a result their UC award is
terminated and
2. the other member of the couple was not entitled to UC as a single claimant
and
3. they are joint claimants
they are treated as making a claim for UC (1). But see M3041 et seq for where this
does not apply. See ADM Chapter A2 for guidance on claims.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(c); UC, PIP, JSA & ESA (C&P) Regs, reg 9(8)

M3023 Formation of couple - no claim required M3043 M3150

Where
1. two single UC claimants form a couple and
2. they are entitled to UC as joint claimants without the need for a claim (1)
an award of UC can be made. But see M3041 et seq for when this does not apply.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(f); UC, PIP, JSA & ESA (C&P) Regs, reg 9(7)

M3024 Former joint claimants - claim required M3042

Where
1. an award of UC to joint claimants terminates because they separate and
2. the claimant who is not exempt from the requirement to make a claim makes
a claim for UC within one month, starting from the date they notify the
Secretary of State that they ceased to be a couple (1)
a claim may be made. But see M3041 et seq for where a claim cannot be made.
See ADM Chapter A2 for guidance on claims.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(d); UC, PIP, JSA & ESA (C&P) Regs, reg 9(6)

M3025 Former joint claimants - no claim required M3043

Where a UC joint claim couple separates, the person who
1. does not notify the change of circumstances or
2. notifies it after the other member of the couple has notified the change
is not required to make a claim in order to be awarded UC (1). See ADM Chapter A2
for further details. But see M3041 et seq for where this does not apply.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(f); UC, PIP, JSA & ESA (C&P) Regs, reg 9(6)

Example

Edith and Jonny are entitled to UC as joint claimants from 10.7.14.
On 24.9.14 Jonny notifies that Edith returned to her parents' home on 15.9.14, and
is now pregnant. He makes a further claim for UC, including a request for the claim
to be backdated, and is entitled from 10.9.14 as a single claimant. Edith is entitled to
UC from 10.9.14 as a single claimant without the need for a claim, even though she
no longer meets the gateway conditions. Both Edith and Jonny continue to satisfy
the conditions of entitlement to UC.

M3026 Member of a couple dies M3043

Where a joint award has ended because of the death of a member of a couple
1. the award of UC will continue as if the person had not died for the
assessment period in which the death occurs and the following two
assessment periods (1) and
2. an award of UC can be made to the single person at the end of this period
without the need for a claim (2).
See ADM Chapter A2 for further details. But see M3041 et seq for where this does
not apply.
1 UC Regs, reg 37; 2 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(f);
UC, PIP, JSA & ESA (C&P) regs, reg 9(10)

M3027 Earned income - no claim required M3043

In cases where it is decided that
1. a person is no longer entitled to UC solely due to the level of earned income,
but becomes entitled again within six months or
2. on a claim for UC, a person is not entitled to UC solely due to the level of
earned income, but becomes entitled within six months
a claim to UC is not required in order to award UC (1). See ADM Chapter A2 (Claims)
and Chapters H3 and H4 (Earned income) for detailed guidance. But see M3041 et
seq for when this does not apply.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(3)(e); UC, PIP, JSA & ESA (C&P) Regs, reg 6(1)

M3028

-

M3040

M3041 Exception - entitlement to other benefits M3022 M3023 M3024 M3025 M3026 M3027

A claim for UC by joint claimants as in M3022 cannot be treated as made (1) where
the member of the couple who was not entitled to UC as a single claimant is entitled
to SPC (2). In order to become entitled to UC that member of the couple would need to
relinquish entitlement to SPC. See ADM Chapter A4 (Supersession) for guidance on
relinquishing an award of benefit.

1 UC, PIP, JSA & ESA (C&P) Regs, reg 9(8); 2 WR Act 12 (Commencement No. 9 etc.) Order, art 3(7)

M3042

A claim for UC as in M3024 by a former joint claimant, who is not exempt from the
requirement to claim (1), cannot be made where the claimant is entitled to SPC or their
partner, if they have one, is entitled to
1. SPC
or
2. old style JSA or
3. old style ESA or
4. IS (2).
In order to become entitled to UC, the claimant or partner would need to relinquish
entitlement to SPC or the existing benefit. See ADM Chapter A4 (Supersession) for
guidance on relinquishing an award of benefit.
1 UC, PIP, JSA & ESA (C&P) Regs, reg 9(6); 2 WR Act 12 (Commencement No. 9 etc.) Order, art 3(8)

Example

Terry and Adrienne are entitled to UC as joint claimants. Terry notifies DWP that he
and Adrienne have separated, and he has moved in with Cheryl, who is entitled to
SPC. Terry is required to claim again if he wishes to be entitled to UC. Terry and
Cheryl must choose whether to claim UC, in which case Cheryl would need to give
up her entitlement to SPC, or to stay on SPC, which would be superseded to award
the couple rate.

M3043

An award of UC without a claim as in M3023 (former joint claimant not required to
claim), M3025 (former single claimants not required to claim as joint claimants), M3026(member of a couple dies) or M3027 (earned income) cannot be made if the
claimant or their partner is entitled to
1. SPC
or
2. old style JSA or
3. old style ESA or
4. IS (1).
In order to become entitled to UC, the claimant or partner would need to relinquish
entitlement to SPC or the existing benefit. See ADM Chapter A4 (Supersession) for
guidance on relinquishing an award of benefit.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3(9)

M3044

-

M1069 M1044

M3070 Gateway conditions

A claimant meets the gateway conditions if all the requirements in M3072 - M3131
are satisfied (1)

1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5

M3071

[See ADM memo ADM 14 14] In order to meet some requirements, the claimant must
make a declaration by whatever method is required by the Secretary of State (1). This
will usually be by asking the claimant a question relevant to the declaration. See M3080, M3110 and M3130 1. and 3. for further details of where a declaration is
required.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 8

M3072 Personal characteristics M3008 M3070

[See ADM memo ADM 14 14] [See ADM memo ADM 15 14]The claimant must be
1. aged at least 18, and under 60 years and six months (1) and
2. single (2) and
3. a British citizen who
3.1 has lived in the UK for two years before the date of the UC claim and
3.2 has not left the UK for any reason for a continuous period of four weeks
or more during the period in 3.13.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 1(a); 2 Sch 5, para 1(b); 3 Sch 5, para 1(c)

Example

Brendan is single and 21 years old. He is a British citizen who was born and lives in
the UK. After completing his university course on 5.7.14, he goes to work in a hotel
in France, returning to the UK on 8.10.14 when the contract ends. Brendan has no
income, and needs to claim a means-tested benefit while he looks for work. As he
has been out of the UK for more than four weeks, Brendan does not meet the
gateway conditions and is not eligible to claim UC. He claims JSA.

M3073

-

M3074

Fitness to work

M3075 Pregnancy

A claimant who
1. is pregnant
or
2. has been pregnant, where the date of her confinement was within the period
of 15 weeks ending with the date of the UC claim does not meet the gateway conditions (1).

1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 2(1)

M3076

Confinement
means (1)
1. labour resulting in the birth of a living child or
2. labour after 24 weeks of pregnancy resulting in the birth of a child whether
alive or dead
and where labour begins on one day and the child is born on another day, she is
treated as having been confined on the date of the birth.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 2(2); UC Regs, reg 8(4)

Example

Cleo's baby was born on 14.8.14, but only survives for a few hours. She is not
entitled to any benefits while she is living with her partner, who is in F/T
employment. On 9.10.14 her partner leaves the household, and Cleo contacts the
DWP to claim a means-tested benefit. Cleo is not eligible to claim UC, as it is less
than 15 weeks since her baby was born, and she claims JSA(IB).

M3077

-

M3079

M3080 Limited capability for work M3071

A claimant who meets the gateway conditions
1. must not have a doctor's statement in respect of the day on which the UC
claim is made, unless it has subsequently been determined that they do not
have LCW 1 and
2. must not be waiting for a doctor's statement (2) and
3. must declare that they do not consider themselves to be unfit for work (3) and
4. must not have had a determination that they have LCW, unless it has
subsequently been determined that they do not have LCW (4).
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 2(3)(a); SS (Med Ev) Regs, Sch 1, Part 1;
WR Act 07; 2 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 2(3)(b);
3 Sch 5, para 2(3)(c); 4 Sch 5, para 2(3)(d); WR Act 07

Example 1

Bryn was entitled to ESA(IR). His award ends on 26.9.14 when he is treated as not
having LCW after he failed without good cause to attend a medical examination.
Bryn has a current doctor's statement which is due to expire on 9.11.14. Bryn is not
eligible to claim UC. He can claim ESA(IR) or JSA(IB) instead.

Example 2

Tamara's entitlement to ESA(IR) ends on 4.6.14 after she is found not to have LCW
following application of the WCA. Tamara satisfies all the gateway conditions, and is
eligible to claim UC.

M3081

-

M3084

Entitlement to other benefits

M3085 M3086 M3087

[See ADM memo ADM 14 14] To meet the gateway conditions, the claimant must not be
entitled to (1)
1. an existing benefit (see M3007) or
2. JSA(Cont)
or
3. ESA(Cont)
or
4. IB
or
5. SDA
or
6. DLA (2) or
7. PIP (3).
Note: References to JSA(Cont) and ESA(Cont) mean awards of those benefits
made under legislation which came into force before 20134.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(1); 2 SS CB Act 92, s 71; 3 WR Act 12, s 77;
4 WR Act 12 (Commencement No. 9 etc.) Order, art 2(1); JSA Regs 96; ESA Regs 08
Decision on entitlement to other benefit awaited

M3086 M3102

[See ADM memo ADM 14 14] The claimant must not be waiting for
1. a decision on a claim for any of the benefits in M3085 1. - 3.1 or
2. the outcome of an application for revision (2) of a decision that the claimant is
not entitled to
2.1 JSA
or
2.2 ESA
or
2.3 IS
or
2.4 HB.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(3)(a); 2 Sch 5, para 3(3)(b);
SS Act 98, s 9; Child Support, Pensions & SS Act 00, Sch 7

M3087 Decision on appeal awaited M3088

Where the claimant has appealed against a decision that they are not entitled to a
benefit in M3085 1. - 3., the Secretary of State must be satisfied
1. that the appeal to the FtT, and any subsequent appeal to the UT or the higher
courts, is not ongoing (1) and
2. where an appeal has been finally determined, that there is no possibility of a
further appeal by any party (2).
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(4)(a); 2 Sch 5, para 3(4)(b)

M3088 M3102

The Secretary of State will be satisfied that there is no possibility of a further appeal
as in M3087 2. if
1. an appeal was decided in the claimant's favour and the Secretary of State
does not intend to appeal that decision or
2. the appeal was decided in the Secretary of State's favour and the time for the
claimant to appeal has expired. M3089
-

M3099

M3100 Award of JSA ends

[See ADM memo ADM 14 14] A claimant does not meet the gateway conditions if
1. they were entitled to old style JSA and
2. that award terminated within two weeks of the date on which a UC claim is
made (1).
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(5)

M3101 Award of ESA ends

[See ADM memo ADM 14 14] A claimant does not meet the gateway conditions if
1. they were entitled to old style ESA and
2. that award terminated within two weeks of the date on which a UC claim is
made (1).
But see M3102 for an exception to this rule.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(6)

M3102 M3101

A claimant meets the gateway conditions if an award of old style ESA is terminated
within two weeks of date on which a UC claim is made, where the old style ESA
award ended because the DM determined that the claimant no longer had LCW (1).
Note: See M3086 - M3088 where the person applies for revision of, or lodges an
appeal against, the decision terminating old style ESA entitlement.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(6); WR Act 07

Example

Helen's award of ESA(IR) is terminated when she starts work, and she is treated as
not having LCW. The job only lasts for one week. Helen is eligible to claim UC if she
meets the gateway conditions. If she considers herself unfit for work, she does not
meet the gateway conditions, and can claim ESA(IR) again.

M3103

-

M3104

M3105 Treated as entitled to Tax Credit

To meet the gateway conditions, a claimant must not be treated as entitled to TC (1).
See ADM Chapter M4 (Gateway conditions - effects of transition to UC from
16.6.14) for guidance on where a person is treated as entitled to TC.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 3(2); UC (TP) Regs 14, reg 11

M3106

-

M3109

Income and capital

M3110 M3071

[See ADM memo ADM 14 14][See ADM memo ADM 15 14] To meet the gateway conditions,
the claimant
1. must declare that during the period of one month starting from the date the
UC claim is made their earned income is not expected to exceed
1.1 270 if they are aged under 25 or
1.2 330 if they are aged 25 or over and
2.
must not have capital in excess of 6,0001.
Note: See ADM Chapters H1 - H4 for guidance on the meaning of earned income
and capital (2).
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 4; 2 UC Regs, Part 6

Example 1

Ashleigh works F/T in an IT store on weekdays, and P/T in a bar on Saturday
evenings. He is made redundant from the weekday job when the store closes, and
claims UC from 17.6.14. Ashleigh declares that his earnings from the bar job for the
next month will be 148.56, as he expects to work for 6 hours at the NMW of 6.19
on 22.6.14, 29.6.14, 6.7.14 and 13.7.14. Ashleigh satisfies all the gateway and UC
conditions.
From 22.6.14 Ashleigh works increased hours at the bar, and by 16.7.14 his
earnings exceed 330. Ashleigh met the gateway conditions on the date on which
he claimed UC, and his entitlement to claim is not affected by his subsequent
change of circumstances. He remains entitled to UC as he is liable for rent
payments.
Housing

M3112 M3115

To meet the gateway conditions, the claimant must not (1)
1. be
homeless (2) and must live at their usual address (see M3113 - M3114) or
2. live in accommodation where
2.1 care
or
2.2 supervision
or
2.3 counselling
or
2.4 advice
or
2.5
other support services (but see M3115) are provided by the landlord directly or indirectly to help them live there or
3. live in the same household as a person who is
3.1
a member of the regular forces or the reserve forces (3) and
3.2
absent from the household in connection with that role or
4. own or partly own the place where they live.
Note: See ADM Chapter F4 (Housing costs element: Support for owner occupiers)
for guidance on whether a person owns their home.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para (5); 2 Housing Act 96, s 175; 3 Armed Forces Act 06, s 374

M3113 M3112

A person is homeless if
1. they have nowhere that they are entitled to live, for example because they
own it or have a tenancy agreement or
2. they have accommodation but
2.1 cannot gain entry to it (for example it is occupied by squatters) or
2.2 it is moveable accommodation such as a caravan, mobile home or
houseboat, and there is nowhere that it can be placed to live in (1).
1 Housing Act 96, s 175

M3114 M3112

A claimant living in
1. temporary accommodation provided by a LA because they are homeless or
2. a hostel for people on bail or probation
does not meet the gateway conditions.

M3115 M3112

Services provided solely for the provision of adequate accommodation, such as
maintenance of common areas in a block of flats, are excluded from M3112 2.51.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 5(c)

M3116

-

M3119

Caring responsibilities

M3120 M3121 M3122

[See ADM memo ADM 14 14] A claimant who meets the gateway conditions must not
1. have
1.1 a
child (1) aged under 16 or
1.2
a young person for whom they are responsible (2) (see M3121)
living with them some or all of the time or
2. be an adopter with whom a child is expected to be placed within two weeks of
the date of the UC claim (3) or
3. be a foster parent (4) (see M3122) or
4. be liable to pay CSM (5) or
5. have any responsibility for providing care to a person with a physical or
mental impairment, unless this is as part of paid or voluntary employment (6).
1 WR Act 12, s 40; WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 6(1)(a) & 3(3)(a); 2 Sch 5, para 6(1)(b);
3 Sch 5, para 6(2)(a) UC(Regs, reg 89(3);4 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 6(2)(b) & 6(3)(b);
5 Sch 5, para 6(2)(c); CS Act 91; 6 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 6(2)(d)

Example

Jerry is unemployed after the factory where he works is closed down. He continues
to work one day a week as a volunteer carer at a residential care home for people
with mental health conditions. Jerry is not excluded from claiming UC.
Responsible for a young person

M3121 M3120

For the purposes of M3120 1.2, a claimant is responsible for a young person where (1)
1. the young person is aged 16 or over but under 20 and
2. the claimant would be responsible for that young person (2) if they were a
qualifying young person (3).
See ADM Chapter F7 (Child care element) for guidance on qualifying young
persons.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 6(1)(b); 2 UC Regs, reg 4; 3 reg 5

Example 1

Maryam and her partner Jacob are separated. Their son Paul is aged 17, and stays
with Jacob and his new partner during the week, as their home is nearer school. He
stays with Maryam at the weekends. Maryam's job ends, and she claims UC.
Although Paul stays with Maryam some of the time, she is not treated as
responsible for him, and therefore is not prevented from claiming UC.

Example 2

Nigel is aged 25 and lives in his parents' home along with his brother, Paul. Paul is
aged 18 and is in work.
If Paul were a qualifying young person, his parents would be responsible for him.
Nigel would not be responsible for him, and is not excluded from claiming UC.
Foster parent

M3122 M3120

For the purposes of M3120 3., a foster parent is a person who is approved as (1)
1. in
England (2) and Wales (3), a foster parent or
2. in
Scotland (4), a kinship carer or foster carer even if they do not currently have a child placed with them. 1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 6(3)(b); 2 Fostering Services (England) Regs 2011;
3 Fostering Services (Wales) Regulations 2003; 4 Looked After Children (Scotland) Regulations 2009

M3123

-

M3129

Other requirements

M3130 M3071 M3131

[See ADM memo ADM 14 14] To meet the gateway conditions, the claimant
1. must declare that they do not expect to have any S/E earnings (1) during the
period of one month starting from when the UC claim is made and
2. must not be in education or training, whether F/T or P/T, of any kind (2) and
3. must declare that they do not expect to be in education or training of any kind
during the period of one month starting from when the UC claim is made (2) and
4. must not have (3)
4.1 a deputy appointed by the Court of Protection to act on their behalf (4) or
4.2 a receiver appointed before 1.10.07 who is treated as a deputy as in
4.15 or
4.3 any other person acting on their behalf in relation to the UC claim and
5. must have a NINO (6) and
6. must have
6.1 an account
with (7)
6.1.a a bank
or
6.1.b
a building society or
6.1.c the
Post
Office
or
6.2
a current account with a Credit Union (8).
Note: Education in 2. includes adult education classes, for example in art or
computing skills.
1 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 7(a); UC Regs, reg 57; 2 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 7(b); 3 Sch 5, para 7(c); 4 Mental Capacity Act 05, Part 1; 5 Mental Health Act 83, Part 7; Mental Capacity Act 05, Sch 5 & 7; 6 WR Act 12 (Commencement No. 9 etc.) Order, Sch 5, para 7(d); 7 Sch 5, para 7(e); 8 Sch 5, para 7(e); Credit Unions Act 79 Example
Pete is a school leaver aged 18, and is awaiting the results of his examinations. He
has a place at university starting on 4.10.14 depending on those results. Pete is a
qualifying young person until 31.8.14. He is not excluded from claiming UC on
1.9.14, as he does not expect to start university within a month of that date. If Pete
claimed UC on 5.9.14, he would be excluded from claiming UC, and would need to
claim JSA(IB) instead.

M3131 M3008 M3070

The declaration in M3130 3. excludes any education or training undertaken as part
of any UC work-related requirement. See ADM Chapter J3 (Work-related
requirements) for further details.

M3132

-

M3149

Claims for UC - claimant does not meet gateway conditions

M3150 M3021

[See ADM memo ADM 14 14] Where
1. a claim for UC is made and
2. it is established that the claimant did not
2.1
meet the gateway conditions or
2.2
live in a realevant district
at the date of the claim, the action to take depends on whether or not a decision has
been made on the claim, and if so, whether payments of an award have been
made (1).
Note: See M3022 - M3023 where a former UC joint claimant claims UC and does
not meet the gateway conditions.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(1)

M3151

-

M3154

UC claim awaiting decision

M3155 M3156 M3157 M3158

Where the DM is considering a UC claim and discovers that the claimant gave
incorrect information and does not
1. meet the gateway conditions or
2. live in a relevant district
on the date the claim was made, the claimant is informed that they are not entitled
to claim UC (1).
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2(a)

M3156 Claim for old style JSA, old style ESA or IS M3171

Where
1. the claimant is informed that they are not entitled to claim UC as in M3155 (1)
and
2. the claimant makes a claim for
2.1 old style JSA or
2.2 old style ESA or
2.3 IS
and
3. the date of the claim (2) as in 2. is
3.1 after the date of the UC claim and
3.2 no later than one month after the date on which the claimant was
informed that they are not entitled to claim UC (3)
the claim as in 2. is treated as made on the date that the claim for UC was made (4) or
the first day on which the claimant would have been entitled to HB or a TC if they
had claimed it, if that date is later than the date on which the claim for UC was
made (5). The guidance in DMG Chapter 02 about treating a claim as made on a later
date does not apply (6).
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2)(a); 2 SS (C&P) Regs; 3 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2)(b); 4 art 3A(2)(b)(i); 5 art 3A(2); 6 art 3A(2)(b)(ii); SS (C&P) Regs Example
Ross claims UC on 16.8.14 after separating from his partner Sadie, whose award of
ESA(IR) included an amount for him. Before the claim is determined, the DM
establishes that the address Ross gave is his mother's home. He does not live
there, and has no permanent address, staying with different friends on a temporary
basis. Ross is told on 29.8.14 that he is not entitled to claim UC. He telephones
DWP on 27.9.14 to say he wishes to claim JSA, and the claim form is completed at
an interview on 1.10.14. Ross's JSA claim is treated as made on 16.8.14.
Claim for HB

M3157

Where
1. the claimant is informed that they are not entitled to claim UC as in M3155 (1)
and
2. the claimant makes a claim for HB and
3. the date of the HB claim (2) is
3.1 after the date of the UC claim and
3.2 no later than one month after the date on which the claimant was
informed that they are not entitled to claim UC (3)
the HB claim is treated as made on the date that the claim for UC was made (4). The
provisions about treating a claim as made on a later date do not apply (5).
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2)(a); 2 HB Regs 06; HB (Persons who have attained the qualifying age of state pension credit) Regs 06; 3 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2)(c); 4 art 3A(2)(c)(i); 5 art 3A(2)(c)(ii)

M3158 Claim for Tax Credits M3171

Where
1. the claimant is informed that they are not entitled to claim UC as in M3155 (1)
and
2. the claimant makes a claim for
2.1 CTC
or
2.2 WTC
and
3. the date of the TC claim (2) is
3.1 after the date of the UC claim and
3.2 no later than one month after the date on which the claimant was
informed that they are not entitled to claim UC (3)
the TC claim is treated as made on the date that the claim for UC was made (4). The
provisions about treating a claim as made on a later date do not apply (5).
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(21(a); 2 TC (Claims and Notifications) Regs 02;
3 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(2)(d);4 art 3A(2)(d)(i); 5 art 3A(2)(d)(ii)

M3159

-

M3169

Claimant entitled to UC - no payment made

M3170 M3171

Where
1. a decision is made that the claimant is entitled to UC and
2. the DM discovers that the claimant
2.1
gave incorrect information and
2.2
did not
2.2.a
meet the gateway conditions or
2.2.b
live in a relevant district on the date the claim was made and
3. no payment of UC has been made the decision made on the UC claim ceases to have effect immediately (1). 1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(3)(a)

M3171

Where M3170 applies, the claimant is informed that they are not entitled to claim
UC (1). The guidance at M3156 - M3158 applies where a claim for
1. old style JSA or
2. old style ESA or
3. IS
or
4. HB
or
5. CTC
or
6. WTC is made (2). 1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(3)(b); 2 art 3A(3)(c)

M3172

-

M3174

Claimant entitled to UC - payment made

M3175 M3176

Where
1. a decision is made that the claimant is entitled to UC and
2. the DM discovers that the claimant
2.1
gave incorrect information and
2.2
did not
2.2.a
meet the gateway conditions or
2.2.b
live in a relevant district
on the date the claim was made and
3. one or more payments of UC have been made
the claim for UC is treated as one the claimant is entitled to make (1), i.e. the
requirements to meet the gateway conditions and live in a relevant district do not
apply.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(4)(a)

M3176

Where M3175 applies
1. the decision awarding UC is treated as a decision made on a claim (1) and
2. the award of UC continues, provided that the claimant continues to satisfy the
conditions of entitlement (2).
See ADM Chapter E1 (Introduction and entitlement) for detailed guidance on UC
conditions of entitlement.
1 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(4)(b); SS Act 98, s 8;
2 WR Act 12 (Commencement No. 9 etc.) Order, art 3A(4)(c)

M3177

-

M3999

Appendix: Relevant districts
[See memo ADM 16-14]
Relevant districts from 29.4.131
M43 OL (6) OL (7) SK (16) No. 2 relevant districts from 1.7.132
WN (1) 1 and WN (1) 2 WN (2) 1 to WN (2) 5 WN (3) 0 WN (3) 4 to WN (3) 6 WN (5) 0 WN (5) 6 to WN (5) 9
WN (6) 0
WN (6) 7 TO WN (6) 9
No. 3 relevant districts from 29.7.133
M35 0 to M35 4
OL (3) 9
M35 6 AND M35 7
OL (4) 0 to OL (4) 5
M35 9
OL (8) and OL (9)
0L1 0 TO OL (1) 6
WA (1) and WA (2)
OL (1) 8 AND OL (1) 9
WA (3) 4 to WA (3) 7
OL (2) 1
WA (4) and WA 5
OL (2) 3 TO OL (2) 9
WA (13) 0
OL (3) 1
WA (13) 9
OL (3) 5 TO OL (3) 7
No. 4 relevant districts from 28.10.134
M35 5
W6 0
W6 6 to W6 9
W14 0
W14 4
W14 8 and W14 9
WN (1) 3
No. 5 relevant districts from 25.11.135
CV (21) 1 to CV (21) 4
IV (13) 7
CV (21) 9
IV (21) 2
CV (22) 5 to CV (22) 7
IV (22) 2
IV (1) 1
IV (26) 2
IV (1) 3
IV (54) 8
IV (1) 9
IV (63) 6 and IV (63) 7
IV (2) 3 to IV (2) 7
PH (19) 1
IV (3) 5
PH (20) 1
IV (3) 8
PH (21) 1
IV (4) 7
PH (22) 1
IV (5) 7
PH (23) 3
IV (8) 8
PH (24) 3
IV (9) 8
PH (25) 3
IV (10) 8
PH (26) 3
IV (11) 8
PH (26) 9
IV (12) 4 and IV (12) 5
PH (32) 4
IV (12) 9
No. 6 relevant districts from 25.2.146 BA (1) 0 to BA (1) 7
HG (1) 9
BA (2) 0 to BA (2) 6
HG (2) 0
BA (2) 9
HG (2) 7 to HG (2) 9
BA (3) 2 and BA (3) 3
HG (3) 1 to HG (3) 4
BA (3) 9
HG (4) 1 to HG (4) 3
BS (31) 1
HG (4) 9
BS (31) 3
HG (5) 0
BS (31) 9
HG (5) 5
BS (39) 4 and BS (39) 5
HG (5) 8 and HG (5) 9
BS (39) 7
LS (17) 0
HG (1) 1 to HG (1) 5
YO (51) 9
No. 7 relevant districts from 7.4.147 CH (5) 1 to CH (5) 4
CH (5) 9
No. 8 relevant districts from 23.6.148 M31 SK (14)
4
M32 SK (14)
6
M33 2
SK (14) 9
M33 4 to M33 7
SK (15)
M34
WA (14) 1 and WA (14).2
M41 WA (14).5
OL (5)
WA (15) 5 and WA (15) 6
SK (14) 1 and SK (14) 2
WA (15) 9
No. 9 relevant districts from 30.6.149 BL (1) L30
BL (2) L31
0
BL (3)
L31 2 and L31 3
BL (4)
L31 5 to L31 9
BL (5) 1
L37 1 to L37 4
BL (5) 3
L37 6 to L37 8
BL (6) 4
L38
BL (6) 9
M26 3
L20 0
PR (8) 1 and PR (8) 2
L20 3 to L20 6
PR (8) 6
L21 PR (8)
9
L22 PR (9)
0
L23 PR (9)
7
L29 PR (9)
9
No. 10 relevant districts from 7.7.1410 CH (41) CH (48)
CH (42) CH (49)
CH (43) CH (60)
CH (44) CH (61)
CH (45)
CH (62) 0 to CH (62) 8
CH (46) CH (63)
CH (47)
No. 11 relevant districts from 14.7.1411 BL (0) 9
M45
BL (8) 1 to BL (8) 3
PR (0)
BL (8) 9
PR (1)
BL (9) 0
PR (2)
BL (9) 5
PR (4) 4 and PR (4) 5
BL (9) 8 and BL (9) 9
PR (5) 4 and PR (5) 5
M25 1
PR (11)
M25 3
PR (25) 1 to PR (25) 3
M25 9
PR (25) 9
M26 1 and M26 2
PR (26) 6
M26 4
No. 12 relevant districts from 21.7.1412 L10 0
M17 1
L10 2 and L10 3
M17 8
L10 6
M27 0
L10 8
M27 5
L28 3 to L28 7
M27 8 and M27 9
L32 M28
L33 0 to L33 2
M30
L33 5 to L33 9
M38
L34 WA (9)
L35 0 to L35 5
WA (10)
L35 7 to L35 9
WA (11) 0
L36 0 to L36 4
WA (11) 8 and WA (11) 9
L36 6 to L36 9
WA (12)
No. 13 relevant districts from 28.7.1413 CH (1) CW (10)
CH (2) CW (11)
CH (3)
CW (12) 1 and CW (12) 2
CH (4) 7 and CH (4) 8
CW (12) 4
CH (62) 9
CW (12) 9
CW (1) SK (9)
CW (2) 6 to CW (2) 8
WA (6)
CW (3) 0
WA (14) 3 and WA (14) 4
CW (4) WA (16)
CW (5)
1 WR Act 12 (Commencement No. 9 etc) Order, art 2, 3 & 4 & Sch 1;
2 WR Act 12 (Commencement No. 11 etc) Order, art 2, 3 & 4 & Sch; 3 WR Act 12 (Commencement No. 13 etc) Order, art 2, 3 & 4 & Sch; 4 WR Act 12 (Commencement No. 14 etc) Order, art 2, 3 & 4 & Sch; 5 WR Act 12 (Commencement No. 14 etc) Order, art 2, 3 & 4 & Sch;
6 WR Act 12 (Commencement No. 16 etc) Order, art 2(1), 3 & 4 & Sch 1, Part 1 7 WR Act 12 (Commencement No. 16 etc) Order, art 2(1), 3 & 4 & Sch 1, Part 2
8 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch, Part 1
9 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch,, Part 2
10 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch, Part 3 11 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch, Part 4 12 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch, Part 5 13 WR Act 12 (Commencement No. 17 etc) Order, art 2(1), 3 & 4 & Sch, Part 6