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Chapter M4: Gateway conditionsPathfinder Group - Effects of transition to UC from 16.6.14

Contents
M4001:Scope of Chapter
M4003:Exclusion of entitlement to specified benefits
M4010:Claims for IS, HB, CTC & WTC
M4015:Date of claim
M4018:IS
M4030:HB
M4035:CTC and WTC
Termination of awards of existing benefits
M4050:Meaning of the relevant period
M4051:New claimant partner
M4055:Treated as claiming and entitled to a TC
M4060:Other claimants
M4061:Benefit cap
M4062:Overpayments
Treated as entitled to a TC
M4070:Introduction
M4071:Meaning of tax year
M4072:Meaning of final notice
M4075:When is a person treated as entitled to a TC
M4076:Case 1
M4077:Case 2
M4078:Case 3
M4079:Case 4
M4090:TC overpayments and penalties
Ongoing reconsideration and appeals - new claimant partner
M4100:Existing benefits
M4104:UC
M4105:Claims to UC
M4106:Persons unable to act
M4110:Advance payment of UC
M4125:Deductions
Transition from old style ESA
M4130:Introduction
M4131:Meaning of relevant date

Claimant entitled to ESA component
M4132:Work-related activity component
M4135:Support component
Claimant entitled to ESA - assessment phase has not ended
M4137:Assessment phase less than 13 weeks
M4138:Assessment phase more than 13 weeks

Credits only cases
M4140:Introduction
Definitions
M4141:Meaning of relevant date
M4142:Meaning of notional assessment phase

Claimant would have been entitled to ESA component
M4143:Work-related activity component
M4145:Support component

Claimant not entitled to ESA - notional assessment phase has not ended
M4147:Notional assessment phase less than 13 weeks
M4148:Notional assessment phase more than 13 weeks
M4155:Claimants approaching pensionable age
M4158:Other claimants
Claimant entitled to IS, IB or SDA
M4160:Introduction
M4162:Claimant entitled to IS on the grounds of incapacity for work or disability
M4165:Claimant entitled to IB or SDA
M4170:Claimant entitled to IB or SDA and approaching pensionable age
M4173:Qualifying young person
Support for housing costs
M4180:Claimant previously entitled to housing costs
M4181:Meaning of relevant date
M4182:Claimant not previously entitled to housing costs
Sanctions
M4190:Introduction
M4191:Relevant date
M4195:Old style ESA sanctions
M4197:Period of reduction
M4198:Escalation
M4210:Old style JSA sanctions
M4212:Period of reduction
M4213:Amount of reduction
M4215:Escalation
M4220:UC claimant awarded existing benefit
M4230:Loss of benefit penalties
M4231:Case 1
M4232:Relevant date
M4233:Case 2
M4234:Relevant date
M4235:Case 3
M4236:Relevant date
M4240:Amount of reduction
M4241:Daily reduction rate

Chapter M4: Gateway conditions - Effects of transition to UC from 16.6.14

M4001 Scope of Chapter

This Chapter gives guidance on the effect on
1. entitlement to
and
2. claims for
and
3. termination of
awards of existing benefits for claimants who are entitled to UC because the
gateway conditions are met. See ADM Chapter M3 (Gateway conditions - claims for
UC from 16.6.14) for guidance on the meaning of existing benefits and gateway
conditions.

M4002

Guidance is also included on other effects of transition to UC for claimants who
meet the gateway conditions, for example where they are entitled to an existing
benefit and deductions or sanctions are in place.

M4003 Exclusion of entitlement to specified benefits M4005 M4006

Unless M4004 applies a claimant is not entitled to :
1.
IS (1)
or
2. HB (2) or
3. CTC (3) or
4. WTC (4) or
5. SPC (5) at any time when they are entitled to UC (6). 1 SS CB Act 92, s 124; 2 s 130; 3 TC Act 02, s 1(1)(a);

4 s 1(1)(b); 5 SPC Act 02, s 1; 6 UC (TP) Regs 14, reg 5(1)

M4004 M4003

[See ADM memo ADM 19 14] M4003 does not apply
1. where HB is paid for exempt accommodation (1) or
2. during the first assessment period for UC where the claimant is a new
claimant partner and there is entitlement to (2)
2.1 IS where their award ends (3) after the first day of entitlement to UC or
2.2 HB where
2.2.a
the new claimant partner leaves the accommodation for which
HB was paid in order to live with a UC claimant with whom
they are treated as making a joint claim (4) and
2.2.b their award ends after the first day of entitlement to UC or
2.3
TC where their award ends (5) after the first day of entitlement to UC.
See ADM Chapter M3 (Gateway conditions - claims for UC from 16.6.14) for the
meaning of new claimant partner and ADM F2033 for the meaning of exempt
accommodation.

1 UC (TP) Regs 14, reg 5(2)(a); 2 reg 5(2)(b); 3 reg 7(4); 4 reg 7(5)(b); 5 TC Act 02

M4005 M4006

The guidance at M4003 also applies to old style ESA and JSA (1). See ADM Chapter
M3 (Gateway conditions - claims for UC from 16.6.14) for guidance on the meaning
of old style ESA and JSA. See ADM Chapters V8 and S8 for guidance on when a
former UC claimant may make a claim for old style ESA or JSA.

1 WR Act 12 (Commencement No. 9) etc Order, art 4

M4006

A person cannot claim UC if they are entitled to any of the benefits listed at M4003 - M4005- see ADM Chapter M3 (Gateway conditions - claims for UC from 16.6.14).
Where a new claimant partner is entitled to any of these benefits, see M4051 et seq
for detailed guidance on the consequences.

M4007

-

M4009

M4010 Claims for IS, HB, CTC & WTC M4011 M4012

A UC claimant may not make a claim for
1. IS
or
2. HB
or
3. CTC
or
4. WTC (1). See M4012 for when this applies.

1 UC (TP) Regs 14, reg 6(1)

M4011

The guidance at M4010 also applies to old style ESA and JSA (1). See ADM Chapter
M3 (Gateway conditions - claims for UC from 16.6.14) for guidance on the meaning
of old style ESA and JSA. See ADM Chapters V8 and S8 for guidance on when a
former UC claimant may make a claim for old style ESA or JSA.

1 WR Act 12 (Commencement No. 9) etc Order, art 4

M4012 M4010 M4014 M4015 M4018 M4019 M4020 M4021 M4022 M4030 M4031 M4032 M4033 M4034 M4035 M4036 M4037

The guidance at M4010 applies
1. when a UC claimant takes any action resulting in a decision being required (1)
and
2. unless M4013 applies, even if a claim for the benefit is made or treated as
made at a time when the claimant was not a UC claimant (2)
1 UC (TP) Regs 14, reg 6(3)(a) & 6(4); SS (C&P) Regs;

HB Regs; HB (SPC) Regs; TC (C&N) Regs; 2 UC (TP)Regs 14, reg 6(3)(b)

M4013 M4012 M4015 M4018 M4033

[See ADM memo ADM 19 14] A UC claimant is not precluded from
1. making a claim for IS (1) where
1.1 a notice of intention to claim had previously been given or a defective
claim had been received (2) and
1.2 entitlement will begin before they become entitled to UC or
2.
making a claim for HB (3) where
2.1
a notice of intention to claim (4) had previously been given and
2.2
entitlement will begin before they become entitled to UC or
3. correcting or completing a defective claim for HB (5) where
3.1 the defective claim (6) was made before the date of the UC claim and
3.2 entitlement will begin before they become entitled to UC or
4. making a claim for UC in respect of exempt accommodation (7) or
5. making a claim for a TC which they are treated as having made (8) (see M4055
and M4070).
See M4051 et seq where the claimant is a new claimant partner.
1 UC (TP) Regs 14, reg 6(5); 2 SS (C&P) Regs, reg 6(1A)(c); 3 UC (TP) Regs 14; reg 6(6);
4 HB Regs, reg 83(5)(d); HB (SPC) Regs, reg 64(6)(d); 5 UC (TP) Regs 14, reg 6(7);
6 HB Regs, HB (SPC) Regs; 7 UC (TP) Regs 14, reg 6(8); 8 reg 6(9)

Example

Laura is a lone parent with a child aged 3. She phones the DWP on 10.7.14 to make
a claim for IS after losing her job. She is unable to answer all the questions over the
phone, and the claim form is sent to her to complete. She returns this on 8.8.14.
In the meantime Laura joins her partner Greg on 27.7.14. Greg has been entitled to
UC since 20.6.14, and his award as a single claimant ends on 19.7.14. Greg and
Laura are entitled to UC as joint claimants from 20.7.14. Laura is entitled to claim IS
for the period 10.7.14 - 19.7.14.

M4014

For the purposes of M4012, a person is a UC claimant if (1)
1. they are entitled to UC or
2. a decision has not been made on a claim for UC and they have not been
informed (2) that they are not entitled to claim UC or
3. a joint award of UC ends because they separate and they are not exempt (3)
from the requirement to make a claim for UC within one month, starting from
the date they notify the Secretary of State that they ceased to be a couple or
4. they
4.1 are treated as having made a claim for UC or
4.2
may be entitled to UC without having to make a claim (4)
but a decision has not been made or
5. a decision has been made that they are not entitled to UC and
5.1 the DM is considering whether to revise (5) that decision or
5.2 they have appealed against that decision and the appeal has not been
finally determined.
1 UC (TP) Regs 14, reg 6(2); 2 WR Act 12 Commencement Orders;
3 UC, PIP, JSA & ESA (C&P) Regs, reg 9(6);
4 UC, PIP, JSA & ESA (C&P) Regs; 5 SS Act 98, s 9

M4015 Date of claim M4016 M4017

In order to decide whether M4012 or M4013 applies, the date on which a claim is
made or treated as made should first be determined in the normal way (1). See DMG
Chapter 02 for detailed guidance on the date of claim for IS. See HB guidance for
guidance on the date of the claim for HB. A claim for a TC is made or treated as
made on the date it is received by a relevant authority at an appropriate office, or in
accordance with the normal rules. See TC guidance for further details.

1 UC (TP) Regs 14, reg 6(3) & (4); SS (C&P) Regs; HB Regs; HB (SPC) Regs; TC (C&N) Regs

M4016 M4072

In M4015, relevant authority means (1)
1. the Board, that is the Commissioners for HMRC or
2. DWP
or
3. the Department for Social Development in Northern Ireland or
4. a person providing TC services to the bodies in 1. - 3..

1 TC (C&N) Regs, reg 2

M4017

In M4015, appropriate office means (1)
1. Comben House, Farriers Way, Netherton, Merseyside or
2. any other office specified in writing by the Board.
1 TC (C&N) Reg, reg 2

M4018 IS

Unless M4013 applies, a claim for IS may not be made as in M4012 where
1. a properly completed claim is received, or made by telephone, within one
month of first notification of intention to claim and
2. it is treated as made on the date of the notification of intention to claim (1).
Note: A defective claim is treated as a notification of intention to claim on the date
that it is received (2). See DMG Chapter 02 for detailed guidance.

1 SS (C&P) Regs, reg 6(1A)(b); 2 reg 6(1A)(c)

M4019

A claim for IS may not be made as in M4012 where the time for claiming is
extended (1) for a period of up to
1. one
month (2) or
2. three
months (3)
in specified circumstances, for example due to disruption of postal services, or
where the claimant was given information which led them to believe that a claim for
IS would not succeed. See DMG Chapter 02 for detailed guidance.
1 SS (C&P) Regs, reg 6(3); 2 reg 19(6) & (7); 3 reg 19(4) & (5)

Example

Holly is a lone parent with a child aged 2, and has learning difficulties. She lives with
her parents. Her job in a sheltered workshop ends on 3.7.14 when it closes. On
26.9.14 Holly joins her partner Marcus, who has been entitled to UC since 24.6.14.
Marcus's award of UC as a single claimant terminates on 23.9.14, and Holly and
Marcus are entitled to UC as joint claimants from 24.9.14.
On 26.9.14 Holly also claims IS for the period from 4.7.14 - 22.9.14. She explains
that due to her learning difficulties she had good cause for not making the claim on
4.7.14. Holly is not entitled to claim IS for the period 4.7.14 - 22.9.14, and is notified
that no decision will be made on the IS claim.

M4020

A claim for IS may not be made as in M4012 where
1. a previous claim for IS has been disallowed because a qualifying benefit has
not been awarded and
2. an award of a qualifying benefit is later made and
3. a further claim for IS is treated as made on
3.1 the date of the original IS claim or
3.2
the date of the award of the qualifying benefit
whichever is later (1).
See DMG Chapter 02 for detailed guidance.

1 SS (C&P) Regs, reg 6(16) - (18)

M4021

A claim for IS may not be made as in M4012 where
1. an award of IS has been terminated and
2. an award of a qualifying benefit is later made and
3. a further claim for IS is treated as made on
3.1 the date the original IS award was terminated or
3.2 the date of the award of the qualifying benefit
whichever is later (1). See DMG Chapter 02 for detailed guidance.

1 SS (C&P) Regs, reg 6(19) - (21A) & (30)

M4022

A claim for IS may not be made as in M4012 where
1. a claim for WTC is disallowed and
2. a claim for IS is treated as made on
2.1 the date of the WTC claim or
2.2
a later date where requested by the claimant (1). See DMG Chapter 02 for detailed guidance. 1 SS (C&P) Regs, reg 6(28)

M4023

-

M4029

M4030 HB

A claim for HB may not be made as in M4012 where
1. the claimant or their partner is entitled to IS, JSA(IB), ESA(IR) or SPC and
2. the claim for HB is made within one month of the date of claim for the benefit
in 1. and
3. the HB claim is treated as made on the first day of entitlement to the benefit in
1..
See HB guidance for detailed guidance.

1 HB Regs, 83(5)(a); HB (SPC) Regs, reg 64(6)(a)

M4031

A claim for HB may not be made as in M4012 where
1. the claimant or their partner is entitled to IS, JSA(IB), ESA(IR) or SPC and
2. the claimant or their partner becomes liable for housing payments and
3. a claim for HB is made within one month of the date the liability arose and
4. the HB claim is treated as made on the date the liability arose (1).
See HB guidance for detailed guidance.

1 HB Regs, 83(5)(b); HB (SPC) Regs, reg 64(6)(b)

M4032

A claim for HB may not be made as in M4012 where
1. the claimant is the former partner of a HB claimant who has dies or left the
household and
2. the HB claim is made within one month of the death or separation and
3. the HB claim is treated as made on that date (1). See HB guidance for detailed guidance.

1 HB Regs, 83(5)(c); HB (SPC) Regs, reg 64(6)(c)

M4033

Unless M4013 applies, a claim for HB may not be made as in M4012 where
1. a properly completed claim is received, or made by telephone, within one
month of first notification of intention to claim and
2. it is treated as made on the date of the notification of intention to claim (1).
See HB guidance for detailed guidance.

1 HB Regs, 83(5)(d); HB (SPC) Regs, reg 64(6)(d)

M4034

A claim for HB may not be made as in M4012 where
1. the claimant requests that a claim for HB includes a period before the date of
claim and
2. the claimant had good cause for not making the claim earlier and
3. the HB claim is treated as made on an earlier date (1). See HB guidance for detailed guidance. 1 HB Regs, reg 83(12)

M4035 CTC and WTC

Claims for a TC may not be made as in M4012 where the claim is treated as made
up to 31 days before the claim is received (1). See TC guidance for detailed guidance.

1 TC (C&N) Regs, reg 7

M4036

A claim for WTC may not be made as in M4012 where
1. an award of WTC including the disability element is made and
2. the claim in 1. is made within 31 days of the date that a claim for a specified
benefit is allowed and
3. the claimant would have been entitled to WTC for an earlier period and
4. the WTC is treated as made on an earlier date.
See TC guidance for detailed guidance, including the specified benefits required to
make an award of the disability element of WTC.

1 TC (C&N) Regs, reg 8

M4037

A claim for a TC may not be made as in M4012 where
1. the claimant makes or is treated as making a declaration following a final
notice for a current award and
2. the declaration or deemed declaration is treated as a claim for a subsequent
tax year (1).
See TC guidance for detailed guidance.
1 TC (C&N) Regs, reg 11(3) & 12(6)

M4038

-

M4049

Termination of awards of existing benefits
Meaning of the relevant period

M4050 M4100

In this section the relevant period means the period
1. starting with the first day of the assessment period during which a UC single
claimant and a new claimant partner form a couple and
2. ending on the date of formation of the couple (1).
1 UC (TP) Regs 14, reg 7(3)
New claimant partner

M4051 M4006 M4013 M4100

[See ADM memo ADM 19 14] Where
1. an award of UC to a single claimant is terminated because they have become
a member of a couple and
2. the other member of the couple was not previously entitled to UC as a single
claimant (i.e. they are a new claimant partner) and
3. the couple is treated as having made a claim for UC (1) and
4. the DM is satisfied that the claimants meet the UC basic conditions of
entitlement (other than the acceptance of a claimant commitment)2
all awards of IS or HB to which the new claimant partner was entitled, during the
relevant period, end on the day before the first date of UC entitlement as joint
claimants or on the day before what would have been the first day of entitlement if
they had satisfied the conditions of entitlement (3). However, where an award of IS or
HB is made to a new claimant partner after what becomes the first day of
entitlement to UC, the award of IS or HB terminates on the first day of entitlement to
that benefit (4). The existing award does not terminate where it is HB paid for exempt
accommodation or where the new claimant partner leaves the accommodation for
which HB was paid in order to live with the person at 1.5. See ADM F2033 for the
meaning of exempt accommodation. See Chapter M3 (Gateway conditions - claims
for UC from 16.6.14) for guidance on the meaning of existing benefit and ADM
Chapter E1 (Introduction and entitlement) for guidance on the UC basic conditions
of entitlement.
Note 1: See M4055 et seq for further guidance where the new claimant partner is
treated as having claimed a TC.
Note
2: See M4100 et seq for guidance where the new claimant partner has an
ongoing appeal about an existing benefit.
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 7(1) & (2)(a) & (b); 4 reg 7(1) & 2(c); 5 reg 7(5)

Example

Wayne is entitled to IS as a lone parent following his partner's death. He is also
entitled to CTC and HB. On 17.11.14 he is joined by his new partner Gwyneth, who
has been entitled to UC as a single claimant since 10.7.14. Wayne and Gwyneth
are entitled to UC as joint claimants from 10.11.14.
Wayne's award of IS is terminated on 9.11.14 as from 10.11.14 he no longer
satisfies any condition of entitlement to IS. His awards of CTC and HB also
terminate on 9.11.14.
New claimant partner formally member of a couple

M4052 M4100

Where, during the relevant period, a new claimant partner was a member of a
couple and their IS award included an amount for their partner, the IS award
terminates on the date they stopped being a couple unless
1. it terminates on that date for another reason or
2. it terminated on an earlier date (1).
1 UC (TP) Regs 14, reg 7(4)

M4053

-

M4054

Treated as claiming and entitled to a TC 55 Where, immediately before forming a couple with a UC single claimant, the new
claimant partner is treated as entitled to a TC as in M4070 et seq, they are treated
as having made a claim for a TC for the current tax year (1).
1 UC (TP) Regs 14, reg 7(1) & 11

M4056 M4102

Where a claimant is treated as made a claim for a TC as in M4055, any award
made terminates on the day before the first day
1. of UC entitlement or
2. on which the claimant would have been entitled to UC if they had satisfied the
conditions of entitlement (1).
1 UC (TP) Regs 14, reg 8(4)

M4057

-

M4059

Other claimants

M4060 M4102

[See ADM memo ADM 19 14] Where
1. a claim for UC is made (other than one which is treated as made (1)) and
2. the DM is satisfied that the claimants meet the UC basic conditions of
entitlement (other than the acceptance of a claimant commitment)2
all awards of IS or HB made to the claimant end on the day before the first day of
UC entitlement or on the day before what would have been the first day of
entitlement if they had satisfied the conditions of entitlement (3). See ADM Chapter M3
(Gateway conditions - claims for UC from 16.6.14) for guidance on the meaning of
existing benefit and ADM Chapter E1 (Introduction and entitlement) for guidance on
the UC basic conditions of entitlement.
Note: The award does not end where it is HB paid for exempt accommodation (4).
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 8(1) & (2); 4 reg 8(3)
Benefit cap

M4061

Where a claimant, who is a new claimant partner or who has been awarded UC for
a period for which the prescribed time for claiming has been extended (1), is entitled to
1. a welfare
benefit (2) (other than UC) for all or part of the first UC assessment
period and
2. HB at any time during the first UC assessment period, or would be so entitled
those welfare benefits are ignored for the purpose of the BC (3). This prevents the BC
being applied twice if it has already been applied to HB. See ADM Chapter A2
(Claims) for guidance on when the prescribed time for claiming UC can be extended
and ADM Chapter E5 (Benefit cap) for guidance on welfare benefits.
1 UC, PIP, JSA & ESA (C&P) Regs, reg 26; 2 UC Regs, reg 79(4); 3 UC (TP) Regs 14, reg 9
Overpayments

M4062 M4103

Where
1. an award of UC is made to a claimant previously entitled to an existing award
(other than a TC or a joint-claim JSA) and
2. there has been an overpayment of the existing benefit in the period
2.1
during which the claimant is not entitled to that benefit and
2.2
which is in a UC assessment period (1)
the overpayment is taken into account as unearned income (2) for UC purposes.
However, the normal rules for calculating unearned income do not apply (3). See ADM
Chapter H5 (Unearned income) for full guidance on unearned income.
Note: Any amount of an overpayment taken into account as unearned income is not
to be recovered as an overpayment under the normal rules (4) (see DMG Chapter 09).
1 UC (TP) Regs 14, reg 10(1); 2 reg 10(2)(a); UC Regs, reg 66; 3 UP (TP) Regs 14, reg 10(2)(b);
UC Regs, reg 73; 4 UC (TP) Regs 14, reg 10(4); Social Security (Payments on account,
Overpayment and Recovery) Regulations 1988; HB Regs; HB (SPC) Regs

M4063

-

M4069

Treated as entitled to a TC Introduction

M4070 M4013 M4054

The guidance at M4075 et seq applies for the purpose of considering whether a
person is treated as having made a claim for a TC for the current tax year (1) (see M4055).
Note: Decisions relating to TC entitlement for the purposes of the gateway
conditions and new claimant partners will continue to be made by HMRC. The
following guidance is for information only.
1 UC (TP) Regs 14, reg (11)(1), 7(7) & 8(4)
Meaning of tax year

M4071

Tax year means the period
1. beginning on 6 April in one year and
2. ending on 5 April in the following year (1).
1 TC Act 02, s 48(1); UC (TP) Regs 14, reg 2(1)
Meaning of final notice

M4072 M4079

Where a claim for a TC is made, an initial decision is made as to whether an award
should be made (1). If an award is made, the Board (see M4016 1.) notifies the
claimant or claimants that
1. they are required to
1.1 declare that their circumstances are as specified or
1.2
state where their circumstances are not as specified
by a specified date or
2. they are treated as having made a declaration as in 1.1 unless they state
otherwise by a specified date (2).
This is known as a final notice. After the date specified in the final notice, a decision
on entitlement for the tax year for which the award was made is given (3).
1 TC Act 02, s 14; 2 s 17; 3 s 18

M4073

-

M4074

When is a person treated as entitled to a TC 75 A person is treated as entitled to a TC from the beginning of the current tax year
even though a decision has not been made on a claim for that year if
1. the person was entitled to a TC for the previous tax year and
2. any of the cases in M4076 - M4079 apply (1).
1 UC (TP) Regs 14, reg 11(1); TC Act 02, s 14
Case 1

M4076 M4074

Case 1 is where a final notice has not been given to the person in respect of the
previous tax year (1).
1 UC (TP) Regs 14, reg 11(2)(a); TC Act 02, s 17
Case 2

M4077

Case 2 is where (1) a final notice has been issued and
1. the date or later of the dates specified in the notice has not been reached and
no claim for CTC or WTC has been made or treated as made (2) or
2. a claim for CTC or WTC has been made or treated as made before the date
or later of the dates specified in the notice, but no initial award has been
made on that claim (3).
1 UC (TP) Regs 14 , reg 11(2)(b); TC Act 02, s 17(2), (4) & (6); 2 s 17(2) & (4); 3 s 14(1)
Case 3

M4078

Case 3 is where (1)
1. a final notice has been given and
2. no claim for CTC or WTC for the current tax year has been made or treated
as made and
3. no decision on entitlement for the previous tax year has been made (2).
1 UC (TP) Regs 14, reg 11(2)(c); 2 TC Act 02, s 18(1)
Case 4

M4079 M4074

Case 4 is where (1)
1. a final notice has been given and
2. the person did not make a declaration by the specified date (2) as in M4072 1.1
and
3. they were notified that payment of TC had ceased because of the failure (3) and
4. during the period of 30 days starting with the date on the notice in 3. is given
4.1 the claim for UC is made or
4.2 in the case of a new claimant partner, notification of the formation of a
couple is given.
1 UC (TP) Regs 14, reg 11(2)(d); 2 TC Act 02, s 17(2)(a), (4)(a) or (6)(a); 3 s 24(4)

M4080

-

M4089

TC overpayments and penalties

M4090

Where (1)
1. a claim for UC is made or treated as made and
2. the claimant is, or was at any time during the tax year in which the claim is
made of treated as made, entitled to a TC and
3. the DM is satisfied that the claimants meet the UC basic conditions of
entitlement (other than the acceptance of a claimant commitment)2
the TC legislation is modified (3). See TC guidance for further details.
1 UC (TP) Regs 14, reg 12(1); 2 WR Act 12, s 4(1)(a) - (d); 3 UC (TP) Regs 14, reg 12 (2) - (6); TC Act 02

M4091

-

M4099

Ongoing reconsideration and appeals - new claimant partner
Existing benefits

M4100 M4051 M4103

See M4101 - M4103 for the action to take where, after a claimant has been
awarded UC (1)
1. an appeal against a decision relating to the claimant's entitlement to IS, HB or
a TC is finally determined or
2. a decision relating to the claimant's entitlement to
2.1 IS or HB is revised (2) or superseded (3)
2.2 a TC is revised (4) or
2.3 a TC is varied or cancelled (5).
1 UC (TP) Regs 14, reg 13(1); 2 SS Act 98, s 9; Child Support, Pensions and Social Security Act 2000, Sch 7; 3 SS Act 98, s 10; Child Support, Pensions and Social Security Act 2000, Sch 7; 4 TC Act 02, s 20; Tax Credit (Official Error) Regulations 2003; 5 TC Act 02, s 21 M4101 Where the claimant
1. is a new claimant and
2. would, as a result of the determination of the appeal, revision or
supersession, be entitled to IS or HB in the relevant period (see M4050)
the awards of IS or HB terminate as in M4051 or M4052 (1).
1 UC (TP) Regs 14, reg 13(2)

M4102

Where the claimant
1. is not a new claimant partner and
2. would, as a result of the determination of the
2.1 appeal
2.2 revision
2.3 supersession
2.4 variation
or
2.5 cancellation
be entitled to IS, HB or a TC on the day the UC claim was made
the awards of IS, HB or a TC terminate as in M4056 or M4060 (1).
1 UC (TP) Regs 14, reg 13(3)

M4103 M4100

The DM should consider whether to revise the decision awarding UC or any
subsequent supersession decision in the light of the outcome of the
1. appeal
2. revision
3. supersession
4. variation or
5. cancellation as in M4100, including any findings of fact made by the FtT, UT or court (1). 1 UC (TP) Regs 14, reg 13(4) & (5)

Example

Olivia's entitlement to ESA(IR) is terminated after she is found not to have LCW
following application of the WCA. She appeals, and a new award of ESA is made
pending the outcome of the appeal.
Olivia joins her partner John, and an award of UC is made to them both as joint
claimants. Olivia's award of ESA(IR) is terminated on the day before that UC
entitlement begins.
Olivia's ESA appeal is successful, and the FtT places her in the WRAG. The
pending appeal award is revised to include the WRAC for the period up to the day
before UC entitlement began. The DM also revises the decision awarding UC to
Olivia and John to include the LCW element (see M4133 et seq).
UC 04 [See ADM memo ADM 19 14] Where
1. a decision is made that a claimant is not entitled to UC and
2. the claimant becomes entitled to IS, HB or a TC and
3. an appeal against the decision in 1. is finally determined or it is revised (1) and
4. an award of UC is made in consequence of 3. and
5. the claimant would be entitled to
5.1 UC
and
5.2
IS, HB or a TC
for the same period
awards of IS, HB or a TC terminate at the beginning of first day of entitlement to that
award (2). However, this does not apply to HB to which the claimant is entitled for exempt accommodation (3). Note: The guidance at M4062 applies where there has been an overpayment. 1 SS Act 98, s 9; 2 UC (TP) Regs 14, reg 14(1) & (2); 3 reg 14(3)
Claims to UC 05
Where a claim for UC is made by a person previously entitled to an existing benefit,
the rules for the prescribed time for claiming (1) are modified (2). That modification
means the time limit for claiming UC is to be extended, subject to a maximum of one
month to the date on which the claim is made, where notification of the expiry of to
the existing benefit was not sent to the claimant before the date their entitlement
expired (3). See ADM Chapter M3 (Gateway conditions - claims for UC from 16.6.14)
for guidance on the meaning of existing benefits and ADM Chapter A2 (Claims) for
full guidance on the prescribed time for claiming.
1 UC, PIP, JSA & ESA (C&P) Regs, reg 26; 2 UC (TP) Regs 14, reg 15;
3 UC, PIP, JSA & ESA (C&P) Regs, reg 26(3)(aa)
Persons unable to act

M4106

Where a person has been appointed to act for a claimant for the purposes of an
existing benefit (1), the Secretary of State may treat that person as having been
appointed to act for the claimant for UC purposes (2). The reverse also applies (3). See
DMG Chapter 02 for guidance on people appointed to act for the purpose of an
existing benefit and ADM Chapter A2 (Claims) for guidance on people appointed to
act for the purpose of UC.
1 SS (C&P) Regs, reg 33(1); TC (C&N) Regs, reg 18(3); 2 UC (TP) Regs 14, reg 16(1) & (2);
UC, PIP, JSA & ESA (C&P) Regs, reg 57(1);3 UC (TP) Regs 14, reg 16(3) & (4)

M4107

-

M4109

Advance payment of UC 10 Where a claim has been made, and the circumstances in M4112 apply, a request
for an advance payment of UC may be made during the first assessment period by
1. a single claimant or
2. both claimants jointly (1).
1 UC (TP) Regs 14, reg 17(1) & (2)

M4111 M4112

If a request as in M4110 is made, the DM may make an advance payment of an
appropriate amount of UC (1). If an advance payment is made, payments of UC are
reduced until the amount of the advance has been repaid (2).
1 UC (TP) Regs 14, reg 17(3); 2 reg 17(4)

M4112 M4109

An advance payment of UC may be made as in M4111 where
1. a claim for UC has been made and
2. the claimant is, or was previously, entitled to an existing benefit and
3. the UC claim is made within a period of one month starting with the date on
which the award of the existing benefit terminated, if that was before the date
of the UC claim (1).
Note:
1. does not apply where a claim for UC is treated as having been made (2).
1 UC (TP) Regs 14, reg 17(1); 2 UC, PIP, JSA & ESA (C&P) Regs, reg 9(8)

M4113

-

M4124

Deductions

M4125 M4126 M4126 M4126 M4126

Where
1. an award of UC is made to a claimant who (1)
1.1 was previously entitled to JSA(IB), ESA(IR) or IS on the date the UC
claim was made or treated as made or
1.2 is a new claimant partner who was, immediately before forming a
couple with a person entitled to UC, the partner of a person entitled to
JSA(IB), ESA(IR) or IS or
1.3 is not a new claimant partner and was, immediately before making a
claim for UC, the partner of a person who was entitled to JSA(IB),
ESA(IR) or IS, where the award of UC is not a joint award to the
claimant and that person and
2. on the relevant date, deductions were being made (2) for
2.1 fuel costs
or
2.2 water charges
or
2.3 both
deductions for fuel costs or water charges may continue to be made from the award
of UC without the need for any consent (3). This applies even if the award of JSA(IB),
ESA(IR) or IS terminated before the date on which the deduction first applied (4). See
ADM Chapter D2 (Third party deductions) for detailed guidance on utility
deductions.
Note: See M4126 for the meaning of the relevant date.
1 UC (TP) Regs 14, reg (18)(1); 2 SS (C&P) Regs, reg 35 & Sch 9; 3 UC (TP) Regs 14, reg 18(3); UC, PIP, JSA & ESA (C&P) Regs, Sch 6; para 3(3); 4 UC (TP) Regs 14, reg 18(4), WR Act 12 Commencement Orders, UC (TP) Regs 14, reg 7 & 8 Example
Ashley is entitled to JSA(IB). He has deductions in place for arrears of gas,
electricity and water charges. His award of JSA(IB) is terminated when he is joined
by his partner Selma, who is entitled to UC. Ashley and Selma's award of UC as
joint claimants continues to have amounts deducted for fuel and water charges.

M4126 M4125

For the purposes of M4125 2. the relevant date is
1. the date the UC claim was made where M4125 1.1 applies and the claimant
is not a new claimant partner or
2. the date the UC claim is treated as made where M4125 1.1 applies and the
claimant is a new claimant partner or
3. the date the claimant stopped being a partner of a person entitled to ESA(IB),
ESA(IR) or IS where M4125 1.2 or 1.3 apply (1).
1 UC (TP) Regs 14, reg 18(2)

M4127

-

M4129

Transition from old style ESA Introduction

M4130

This section gives guidance on the effect on entitlement to UC for claimants who
were previously entitled to old style ESA. The claimant may be treated as having
LCW or LCWRA, and may be entitled to the LCW or LCWRA element. If they are
treated as having LCW or LCWRA, then the normal UC rules for further referrals for
the WCA apply (1). See ADM Chapter G1 (Work capability assessment) for further
details.
1 UC (TP) Regs 14, reg 19(7); UC Regs, Part 5
Meaning of relevant date

M4131 M4132 M4135 M4137 M4138 M4143 M4145 M4147 M4148

In this section, the relevant date is the date the claim for UC was made or treated as
made (1).
1 UC (TP) Regs 14, reg 19(1)(a) & 20(1)(a)
Claimant entitled to ESA component
Work-related activity component

M4132 M4133

Where
1. an award of UC is made to a claimant who was entitled to old style ESA on
the relevant date (see M4131) and
2. before the relevant date, it had been determined that the claimant was
entitled to the WRAC and
3. the assessment phase had ended
the claimant is treated as having LCW without the need for the WCA (1).
Note: See M4137 for guidance where the assessment phase had not ended when
ESA was terminated. See DMG Chapter 42 for guidance on ESA components, and
Chapter 44 for guidance on when the assessment phase ends.
1 UC (TP) Regs 14, reg 19(1) & (2); WR Act 12, s 21(1)(a); UC Regs, reg 27(1)(a) & (3)

M4133 M4103

Where M4132 applies, the LCW element is normally included in the amount of UC
award to the claimant from the beginning of the first assessment period (1). The
guidance about the relevant period before which the element is not included in the
UC award (2) in ADM Chapter F5 (Work capability elements) does not apply.
Note: See ADM Chapters F5 and F6 (Carer element) for further details about when
the LCW element is not included in the UC amount payable.
1 UC (TP) Regs 14, reg 19(3); UC Regs, reg 27(4) & 29(4); 2 reg 28

Example

Jessie has been entitled to UC as a single claimant since 23.6.14. On 8.9.14 she
joins her partner Tim, who is entitled to ESA(IR) including the WRAC and the carer
premium. He is entitled to CA while he cares for his disabled 17 year old son
Stephen. He is also entitled to HB. Tim's awards of ESA(IR) and HB are terminated
on 22.8.14. Jessie and Tim are entitled to UC as joint claimants from 23.8.14. Their
award includes the carer element, but not the LCW element, which would otherwise
have been payable.

M4134

Support component

M4135 M4136 M4146

Where
1. an award of UC is made to a claimant who was entitled to old style ESA on
the relevant date (see M4131) and
2. before the relevant date, it had been determined that the claimant was
entitled to the support component and
3. the assessment phase had ended
the claimant is treated as having LCWRA without the need for the WCA (1).
Note: See M4137 for guidance where the assessment phase had not ended when
ESA was terminated. See DMG Chapter 42 for guidance on ESA components, and
Chapter 44 for guidance on when the assessment phase ends.
1 UC (TP) Regs 14, reg 19(1) & (4); WR Act 12, s 19(2)(a); UC Regs, reg 27(1)(b) & (3)

M4136

Where M4135 applies, the LCWRA element is normally included in the amount of
UC award to the claimant from the beginning of the first assessment period (1). The
guidance about the relevant period before which the element is not included in the
UC award (2) in ADM Chapter F5 (Work capability elements) does not apply.
1 UC (TP) Regs 14, reg 19(5); 2 UC Regs, reg 28

Example 1

Fergal has been entitled to UC since 6.8.14. He is joined on 15.10.14 by his partner
Donna, who is entitled to ESA(Cont) and (IR), including the support component. The
ESA(IR) part of Donna's award is terminated on 5.9.14, the day before Fergal and
Donna's award of UC as joint claimants begins. The UC includes the LCWRA
element from 6.9.14. Donna remains entitled to new style ESA.

Example 2

Tamsin claims UC on 2.7.14 after being dismissed from her job. Soon after she
becomes pregnant, and is diagnosed with severe hyperemesis gravidarum and high
blood pressure early on in the pregnancy. She requires hospital treatment for
dehydration on several occasions, and submits medical evidence. Tamsin is
referred for the WCA, and the HCP advises that the condition is likely to continue
throughout the pregnancy given the stage she has now reached, with a consequent
risk to her health. Tamsin is treated as having LCWRA, and the LCWRA element is
included in her UC award from 2.11.14.
Tamsin is joined by her partner Noel on 17.11.14. Noel is entitled to ESA(IR)
including the support component. Noel's award of ESA(IR) is terminated on 1.11.14.
Tamsin and Noel are entitled to UC as joint claimants from 2.12.14. Although both
have LCWRA, only one LCWRA element can be included in the UC award.
Claimant entitled to ESA - assessment phase has not ended
Assessment phase less than 13 weeks

M4137 M4132 M4135 M4145

Where
1. an award of UC is made to a claimant who was entitled to old style ESA on
the relevant date (see M4131) and
2. on the relevant date, the assessment phase (1) had lasted for less than 13 weeks
the guidance in ADM Chapter F5 (Work capability elements) about the length of the
relevant period (during which a work capability element cannot be included in a UC
award), and when it begins, does not apply (2). Instead, the relevant period is 13
weeks, beginning with the first day of the ESA assessment phase (3). However, where
the ESA assessment phase had not ended on a previous claim (4), the relevant period
ends when the total period of old style ESA and UC is 13 weeks.
Note: If on application of the WCA it is determined that the claimant has LCW or
LCWRA, a work capability element should be included in the UC award from the
first day of the assessment period after the one in which the relevant period ends (5).
1 WR Act 07, s 24(2); UC (TP) Regs 14, reg 19(8); 2 reg 20(1) & 2(a); 3 reg 20(2)(b);
4 ESA Regs 08, reg 5; 5 UC Regs, reg 28(1); UC, PIP, JSA & ESA (D&A) Regs, reg 35(9)(a)

Example

Olumide claimed and was awarded ESA(IR) from 19.4.14. On 25.7.14 he is joined
by his partner Ayo, who has been entitled to UC since 15.6.14. Olumide's award of
ESA(IR) terminates on 14.7.14, and he and Ayo are entitled to UC as joint claimants
from 15.7.14. The DM determines that Olumide has LCW. The relevant period
began on 19.4.14, and ends on 18.8.14. The LCW element is included in the UC
award from 15.9.14.
Assessment phase more than 13 weeks

M4138

Where
1. an award of UC is made to joint claimants a claimant who was entitled to old
style ESA on the relevant date as at M4131 1. and
2. on the relevant date, the assessment phase (1) had
2.1 not ended
and
2.2 lasted for more than 13 weeks
the guidance in ADM Chapter F5 (Work capability elements) about the relevant
period (during which a work capability element cannot be included in a UC award)
does not apply (2).
1 WR Act 07, s 24(2); UC (TP) Regs 14, reg 19(8); 2 reg 20(1) & (3)(a)

M4139

If on application of the WCA it is determined that the new claimant partner has LCW
or LCWRA, the LCW or LCWRA element as appropriate is included in the UC award
from the beginning of the first assessment period (1).
1 UC (TP) Regs 14, reg 20(3)(b) & (c)

Example

Carly claimed and was awarded ESA(IR) from 21.2.14. On 15.7.14 she joins her
partner Warren, who has been entitled to UC since 7.5.14. Carly's award of ESA(IR)
ends on 6.7.14, and she and Warren are entitled to UC as joint claimants from
7.7.14.
On 19.9.14 after application of the WCA, the DM determines that Carly has LCW.
The UC award is revised to include the LCW element from 7.7.14. The decision
awarding ESA is superseded to award the WRAC for the period 23.5.14 - 6.7.14.
Credits only cases
Introduction

M4140

This section gives guidance on the effect on entitlement to UC for claimants who
were previously not entitled to old style ESA (1) but were entitled to credits (2). The
claimant may be treated as having LCW or LCWRA, and may be entitled to the
LCW or LCWRA element. If they are treated as having LCW or LCWRA, then the
normal UC rules for further referrals for the WCA apply (3). See ADM Chapter G1
(Work capability assessment) for further details.
Note: This applies even if, if there are joint claimants, the other joint claimant was
entitled to old style ESA (4).
1 UC (TP) Regs 14, reg 21(1)(b); 2 reg 21(1)(a); Social Security (Credits)
Regulations 1975, reg 8B(2)(iv), (iva) & (v); 3 UC (TP) Regs 14, reg 21(8);
UC Regs, Part 5; 4 UC (TP) Regs 14, reg 21(1)(b)
Definitions
Meaning of relevant date

M4141

In this section the relevant date is the date the claim for UC was made or treated as
made (1).
1 UC (TP) Regs 14, reg 21(1)(a)
Meaning of notional assessment phase

M4142

The notional assessment phase is the period of 13 weeks starting on the day the
assessment phase would have started if the claimant had been entitled to old style
ESA and the claimant would have been entitled to a component (1) because it had
ended (2). However, the notional assessment phase has not ended if there had been
no determination of LCW (3) at the end of that 13 week period (4).
1 WR Act 07, s 2(2)(a), 2(3)(a), 4(4)(a) & 4(5)(a); 2 UC (TP) Regs 14, reg 21(9)(e);
3 WR Act 07, Part 1; 4 UC (TP) Regs 14, reg 21(9)(f)
Claimant would have been entitled to ESA component
Work-related activity component

M4143 M4144

Where
1. an award of UC is made to a claimant who was not entitled to old style ESA
on the relevant date (see M4131) and
2. before the relevant date, it had been determined that the claimant would have
been treated as having LCW and
3. the notional assessment phase had ended
the claimant is treated as having LCW without the need for the WCA (1).
Note: See M4147 for guidance where the notional assessment phase had not
ended when ESA was terminated. See DMG Chapter 42 for guidance on ESA
components, and Chapter 44 for guidance on when the assessment phase ends.
1 UC (TP) Regs 14, reg 21(1) & (2); WR Act 12, s 21(1)(a); UC Regs, reg 27(1)(a) & (3)

M4144

Where M4143 applies, the LCW element is normally included in the amount of UC
award to the claimant from the beginning of the first assessment period (1). The
guidance about the relevant period before which the element is not included in the
UC award (2) in ADM Chapter F5 (Work capability elements) does not apply.
Note: See ADM Chapters F5 and F6 (Carer element) for further details about when
the LCW element is not included in the UC amount payable.
1 UC (TP) Regs 14, reg 19(3); UC Regs, reg 27(4) & 29(4); 2 reg 28
Support component

M4145

Where
1. an award of UC is made to a claimant who was not entitled to old style ESA
on the relevant date (see M4131) and
2. before the relevant date, it had been determined that the claimant would have
LCWRA and
3. the notional assessment phase had ended
the claimant is treated as having LCWRA without the need for the WCA (1).
Note: See M4137 for guidance where the notional assessment phase had not
ended when ESA was terminated. See DMG Chapter 42 for guidance on ESA
components, and Chapter 44 for guidance on when the assessment phase ends.
1 UC (TP) Regs 14, reg 21(1) & (4); WR Act 12, s 19(2)(a); UC Regs, reg 27(1)(b) & (3)

M4146

Where M4135 applies, the LCWRA element is normally included in the amount of
UC award to the claimant from the beginning of the first assessment period (1). The
guidance about the relevant period before which the element is not included in the
UC award (2) in ADM Chapter F5 (Work capability elements) does not apply.
1 UC (TP) Regs 14, reg 21(5); 2 UC Regs, reg 28
Claimant not entitled to ESA - notional assessment phase has not ended
Notional assessment phase less than 13 weeks

M4147 M4143

Where
1. an award of UC is made to a claimant who was not entitled to old style ESA
on the relevant date (see M4131) and
2. on the relevant date, the notional assessment phase (1) had lasted for less than
13 weeks
the guidance in ADM Chapter F5 (Work capability elements) about the length of the
relevant period (during which a work capability element cannot be included in a UC
award), and when it begins, does not apply (2). Instead, the relevant period is 13
weeks, beginning with the first day of the ESA notional assessment phase (3).
Note: If on application of the WCA it is determined that the claimant has LCW or
LCWRA, a work capability element should be included in the UC award from the
first day of the assessment period after the one in which the relevant period ends (4).
1 WR Act 07, s 24(2); UC (TP) Regs 14, reg 19(8); 2 reg 21(1) & (6)(a); 3 reg 21(6)(b);
4 UC Regs, reg 28(1); UC, PIP, JSA & ESA (D&A) Regs, reg 35(9)(a)
Notional assessment phase more than 13 weeks

M4148

Where
1. an award of UC is made to a claimant who was not entitled to old style ESA
on the relevant date as at M4131 1. and
2. on the relevant date, the notional assessment phase (1) had
2.1 not ended
and
2.2 lasted for more than 13 weeks
the guidance in ADM Chapter F5 (Work capability elements) about the relevant
period (during which a work capability element cannot be included in a UC award)
does not apply (2).
1 WR Act 07, s 24(2); UC (TP) Regs 14, reg 19(8); 2 reg 21(1) & (7)(a)

M4149

If on application of the WCA it is determined that the claimant has LCW or LCWRA
the LCW or LCWRA element as appropriate is included in the UC award from the
beginning of the first assessment period (1).
1 UC (TP) Regs 14, reg 21(7)(b) & (c)

Example

Kaitlan claimed and was awarded ESA(IR) from 21.2.14. On 15.7.14 she joins her
partner Ross, who has been entitled to UC since 7.5.14. Kaitlan's award of ESA(IR)
ends on 6.7.14, and she and Ross are entitled to UC as joint claimants from 7.7.14.
On 19.9.14 after application of the WCA, the DM determines that Kaitlan has LCW.
The UC award is revised to include the LCW element from 7.7.14. The decision
awarding ESA is superseded to award the WRAC for the period 23.5.14 - 6.7.14.

M4150

-

M4154

Claimants approaching pensionable age

M4155

[See ADM memo ADM 19 14] Where
1. an award of UC is made to a claimant who is entitled to credits (1) and
2. the claimant will reach reached pensionable age (2) within one year and
3. the claimant was not receiving
3.1
IS on the grounds of incapacity for work or disability or
3.2 IB or
SDA
the claimant is treated as having LCW or LCWRA from the beginning of the first
assessment period for the purposes of entitlement to a work capability element only
if they are also entitled to one of the benefits at M4156 and M4157. There is no
requirement to serve a relevant period, and the work capability element is included
in the UC award from the beginning of the first assessment period (3). See M4156 -

M4157 M4155 M4156

for guidance on which element is included in the UC award.
1 SS (Credits) Regs, reg 8B(2)(a)(i), (ii) & (iii); 2 ESA (TP, HB & CTB)(EA)(No. 2) Regs, reg 2(1);
Pensions Act 95, Sch 4, para 1;3 UC (TP) Regs 14, reg 26

M4156 M4155 M4155

The claimant is entitled to the LCW element where they are entitled to any of the
benefits at M4171 3.1.
1 UC (TP) Regs 14, reg 26(2) M4157The claimant is entitled to the LCWRA element where they are entitled to any of the
benefits at M4172 3.1.
1 UC (TP) Regs 14, reg 26(3)
Other claimants

M4158

Where
1. an award of UC is made to a claimant who is entitled to credits (1) and
2. the claimant will not reach pensionable age (2) within one year and
3. the claimant was not receiving
3.1
IS on the grounds of incapacity for work or disability or
3.2 IB or
SDA (3)
the claimant is treated as having LCW or LCWRA, if assessed as such, from the
beginning of the first assessment period for the purposes of entitlement to a work
capability element (4). There is no requirement to serve a relevant period, and the
work capability element is included in the UC award from the beginning of the first
assessment period (5).
1 SS (Credits) Regs, reg 8B(2)(a)(i), (ii) & (iii); UC (TP) Regs 14, reg 27(1)(a);
2 ESA (TP, HB & CTB)(EA)(No. 2) Regs, reg 2(1); Pensions Act 95, Sch 4, para 1;
UC (TP) Regs 14, reg 27(1)(b) 3 reg 27(1)(b); 4 reg 27(2)(a); 5 reg 27(2)(b)

M4159

Claimant entitled to IS, IB or SDA
Introduction

M4160

Claimants who are entitled to
1. IS on the grounds of incapacity for work or disability or
2. IB
or
3. SDA
are being reassessed to determine whether their benefit, referred to as an existing
award (1), can be converted to ESA. This is known as IB Reassessment - see DMG
Chapter 45 for detailed guidance. This section gives guidance on the action to take
where a claimant entitled to an existing award becomes a UC claimant.
1 WR Act 07, Sch 4, para 11

M4161

Where IB or SDA is in payment at the time the award of UC to claimants begins, it is
taken into account as unearned income (1). See ADM Chapter H5 (Unearned income)
for detailed guidance. For the purposes of this section, IB and SDA are existing
benefits (2).
1 UC (TP) Regs 14, reg 25(1); UC Regs, reg 66, 2 UC (TP) Regs 14, reg 25(2)
Claimant entitled to IS on the grounds of incapacity for work or disability

M4162

[See ADM memo ADM 19 14] Where
1. an award of UC is made to a claimant who was entitled to IS on the grounds
of incapacity for work or disability on day the UC claim was made or treated
as made (1)and
2. it is determined that the new claimant has LCW or LCWRA
the claimant is treated as having LCW or LCWRA from the beginning of the first
assessment period for the purposes of entitlement to a work capability element (2).
There is no requirement to serve a relevant period, and the work capability element
is included in the UC award from the beginning of the first assessment period (3).
Note: Whether or not the conversion phase had begun, it terminates when the
award of IS terminates - see DMG Chapter 45 for further details. The new claimant
partner should be referred for the WCA under UC rules - see ADM Chapters G1 -
G3.
1 WR Act 07, Sch 4, para 11; UC (TP) Regs 14, reg 22(3); 2 reg 22(1) and (2)(a)(i) & (b)(i);
3 reg 22(2)(a)(ii) & (iii) and (b)(ii) & (iii)

M4163

-

M4164

Claimant entitled to IB or SDA

M4165

[See ADM memo ADM 19 14] Where
1. an award of UC is made to a claimant who is entitled to IB or SDA (1) and
2. it is determined that the award of IB or SDA qualifies for conversion to ESA (2)
the claimant is treated as having LCW where the ESA award includes the WRAC, or
LCWRA if the support component is awarded, from the beginning of the first
assessment period for the purposes of entitlement to a work capability element.
There is no requirement to serve a relevant period, and the work capability element
is included in the UC award from the beginning of the first assessment period (3).
Note: See M4166 for guidance on where a determination of LCW or LCWRA has
been made under UC rules before a conversion decision is made for the purposes
of IB reassessment.
1 WR Act 07, Sch 4, para 11; UC (TP) Regs 14, reg 19(8);
2 ESA (TP, HB & CTB)(EA)(No. 2) Regs, reg 7;
3 UC (TP) Regs 14, reg 23

M4166 M4165

The claimant may have submitted medical evidence and been referred for the WCA
before it has been determined whether their award of IB or SDA qualifies for
conversion to ESA. For example, this might be where they consider that their health
condition has deteriorated, or they are not due to be reassessed for some time. If
1. a determination on LCW or LCWRA is made for the purposes of UC and
2. it is determined that the award of IB or SDA qualifies for conversion to ESA
the UC decision should be revised to reflect the conversion decision (1).
1 UC (TP) Regs 14, reg 23(2)(a) & (3)(a); UC, PIP, JSA & ESA (D&A) Regs, reg 5(1)(a)

M4167

-

M4169

Claimant entitled to IB or SDA and approaching pensionable age

M4170

Where
1. an award of UC is made to a claimant who is entitled to IB or SDA (1) and
2. no conversion notice has been issued (2) and
3. the claimant will reach pensionable age (3) within one year and
4. the claimant is entitled to
4.1 PIP
or
4.2 DLA
or
4.3 AA
or
4.4
AFIP or
4.5 CAA
or
4.6
any payment for attendance which is a part of WDisP
the claimant is treated as having LCW or LCWRA from the beginning of the first
assessment period for the purposes of entitlement to a work capability element.
There is no requirement to serve a relevant period, and the work capability element
is included in the UC award from the beginning of the first assessment period (4). See M4171 - M4172 for guidance on which element is included in the UC award.
1 WR Act 07, Sch 4, para 11; UC (TP) Regs 14, reg 19(8); 2 ESA (TP, HB & CTB)(EA)(No. 2) Regs, reg 4;
3 reg 2(1); Pensions Act 95, Sch 4, para 1; 4 UC (TP) Regs 14, reg 24

M4171 M4156 M4170

The claimant is entitled to the LCW element where they are entitled to (1)
1. PIP and
neither
1.1
the daily living component or
1.2
the mobility component is payable at the enhanced rate (2) or
2. DLA and either
2.1
the care component is payable at the middle rate or
2.2
the mobility component is payable at the lower rate (3) or
3. AA payable at the lower rate (4) or
4. CAA which is not awarded for exceptionally severe disablement (5) or
5. payment for attendance as part of WDisP which is not awarded for
exceptionally severe disablement (6).
Note: Where a claimant also receives a benefit at M4172 they will be entitled to the
LCWRA element only.
1 UC (TP) Regs 14, reg 24(1)(d) & (2)(d); 2 WR Act 12, s 78 - 80; 3 SS CB Act 92, s 71, 72(4) & 73(11); 4 s 64 & 65; 5 s 104 & Sch 4, Part 5, para 2(a); 6 Income Tax (Earnings and Pensions) Act 2003, s 639(2); SS CB Act 92, Sc (4), part 5, para 2(a) M4172
The claimant is entitled to the LCWRA element where they are entitled to (1)
1. PIP and
either
1.1
the daily living component or
1.2
the mobility component is payable at the enhanced rate (2) or
2. DLA and either
2.1
the care component is payable at the highest rate or
2.2
the mobility component is payable at the higher rate (3) or
3. AA payable at the higher rate (4) or
4. AFIP (5) or
5. CAA which is awarded for exceptionally severe disablement (6) or
6. payment for attendance as part of WDisP which is not awarded for
exceptionally severe disablement (7).
Note: Where a claimant also receives a benefit at M4172 they will be entitled to the
LCWRA element only.
1 UC (TP) Regs 14, reg 24(3)(d) & 4(d); 2 WR Act 12, s 78 - 80; 3 SS CB Act 92, s 71, 72(4) & 73(11);
4 s 64 & 65; 5 AF & RF (Comp Scheme) Order; 6 SS CB Act 92, s 104 & Sch 4, Part 5, para 2(b);
7 Income Tax (Earnings and Pensions) Act 2003, s 639(2); SS CB Act 92, Sch 4, part 5, para 2(a)
Qualifying young person

M4173

A person who is receiving an existing benefit is not a qualifying young person (1). See
ADM Chapter M3 (Gateway conditions - claims for UC from 16.6.14) for guidance
on the meaning of existing benefit and ADM Chapter F1 (Child element) for
guidance on qualifying young person.
1 UC (TP) Regs 14, reg 28

M4174

-

M4179 M4199

Support for housing costs Claimant previously entitled to housing costs M4180 Where (1)
1. an award of UC is made to a claimant who was
1.1 entitled to JSA(IB), ESA(IR) or IS at any time during the period of one
month ending on the day the UC claim was made or treated as made
or would have so entitled had the award not been terminated (2) or
1.2 the partner of a person entitled to JSA(IB), ESA(IR) or IS at any time
during the period of one month ending on the day the UC claim was
made or treated as made but the UC award is not a joint award to the
claimant and that person and
2. on the relevant date (see M4181) the award in 2.1 of JSA(IB), ESA(IR) or IS
included housing costs (3) and
3. the claimant is liable for housing costs for the purposes of UC
the requirement to serve a qualifying period before a HCE for owner-occupiers can
be included in the UC award does not apply (3). See ADM Chapter F2 (Housing costs
element: general) for detailed guidance on the qualifying period, and ADM Chapter
F4 (Housing costs element: support for owner occupiers) for guidance on the HCE
for owner-occupiers.
1 UC (TP) Regs 14, reg 29(1); 2 WR Act 12 Commencement Orders; UC (TP) Regs 14; 3 JSA Regs 96, Sch 2, para 14 - 16; ESA Regs 08, Sch 6, para 16 - 18; IS (Gen) Regs, Sch 3, para 15 - 17; UC (TP) Regs 14, reg 29(3); UC Regs, Sch 5, para 5 Example
Maureen has been entitled to UC since 22.6.14. She moves in with her partner
Calvin on 14.9.14. Calvin is entitled to JSA(IB), including housing costs for a loan
used to buy his home. Calvin's award of JSA(IB) terminates on 21.8.14, and he and
Maureen are entitled to UC as joint claimants from 22.8.14. Their UC award
includes the owner-occupier housing costs element from 22.8.14
Meaning of relevant date

M4181 M4179

For the purpose of M4180 2. the relevant date (1) is
1. the day entitlement to JSA(IB), ESA(IR) or IS terminated where
1.1 M4180
1.1 applies and
1.2 the claimant was not entitled to JSA(IB), ESA(IR) or IS on the day the
claim for UC was made or treated as made or
2. the day the UC claim was made where
2.1 M4180
1.1 applies and
2.2 the claimant is not a new claimant partner and was entitled to JSA(IB),
ESA(IR) or IS on that day or
3. the day the UC claim was treated as made where
3.1 M4180
1.1 applies and
3.2 the claimant is a new claimant partner and was entitled to JSA(IB),
ESA(IR) or IS on that day or
4. the day
4.1 the claimant ceased to be the partner of a person entitled to JSA(IB),
ESA(IR) or IS or
4.2
if earlier, the day the award of JSA(IB), ESA(IR) or IS terminated where

M4180 M4179 M4181 M4181 M4181 M4181

1.2 applies.
1 UC (TP) Regs 14, reg 29(2)
Claimant not previously entitled to housing costs

M4182 M4184

Where (1)
1. an award of UC is made to a claimant who was
1.1 entitled to JSA(IB), ESA(IR) or IS at any time during the period of one
month ending on the day the UC claim was made or treated as made
or would have so entitled had the award not been terminated (2) or
1.2 the partner of a person entitled to JSA(IB), ESA(IR) or IS at any time
during the period of one month ending on the day the UC claim was
made or treated as made but the UC award is not a joint award to the
claimant and that person and
2. the award of JSA(IB), ESA(IR) or IS did not include housing costs because
the qualifying period had not ended (3) and
3. the claimant is liable for housing costs for the purposes of UC
the qualifying period during which the housing costs element cannot be paid is
reduced as in M4183 (4).
1 UC (TP) Regs 14, reg 29(1)(a) & (b) &(4); 2 WR Act 12 Commencement Orders; UC (TP) Regs 14; 3 JSA Regs 96, Sch 2, para 6(1)(c) & (7)(1)(b); ESA Regs 08, Sch 6, para 8(1)(c) & 9(1)(b); IS (Gen) Regs, Sch 3, para 6(1)(c) or 8(1)(b);.4 UC (TP) Regs 14, reg 29(5) M4183 Where M4182 applies, the qualifying period (1) before which the HCE is included in
the UC award is 91 days starting with the first day the claimant or their partner was
continuously entitled to JSA(IB), ESA(IR) or IS, including linked periods (2) For this to apply
1. receipt of UC has to be continuous and
2. the claimant would otherwise qualify for the HCE
throughout the part of the qualifying period after the award of UC is made (3). See
DMG Chapter 23 for guidance on housings costs for JSA(IB) and IS, and DMG
Chapter 44 for guidance on ESA(IR) housing costs.
1 UC (TP) Regs 14, reg 29(5)(b); 2 JSA Regs 96, Sch 2, para 13; ESA Regs 08, Sch 6, para 15;
IS (Gen) Regs, Sch 3, para 14; 3 UC (TP) Regs 14, reg 29(5)(b)

M4184

Where M4182 and M4183 apply the normal rules about non-inclusion of HCE and
the qualifying period do not apply (1).
1 UC (TP) Regs 14, reg 29(3) & (5)(a); UC Regs, Sch 5, para 5

M4185

-

M4189

Sanctions Introduction

M4190

This section gives guidance on reduction of UC awards made to a UC claimant,
including a new claimant partner, who, immediately before the relevant date (see M4191), was entitled to an award of ESA or JSA (see ADM Chapter M3 (Gateway
conditions - claims for UC from (16).6.14) for the meaning of old style ESA and old
style JSA) which had been subject to
1. a sanction - see M4195 et seq or
2. a loss of benefit penalty - see M4230 et seq.
See DMG Chapter 53 for guidance on ESA sanctions, DMG Chapter 34 for
guidance on JSA sanctions, and DMG Chapter 08 for guidance on deductions from
benefit for a loss of benefit penalty.
Note: If the claimant had been awarded ESA or JSA hardship payments and that
award is terminated, they can apply for hardship under UC provisions. See DMG
Chapter 35 and ADM Chapter L1 (Hardship) for further details.
Relevant date

M4191 M4190 M4210

In this section, the relevant date (1) is
1. the day the award of ESA or JSA terminated where the claimant was not
entitled to old style ESA or old style JSA on the day the UC claim was made
or treated as made or
2. the day before the first date of entitlement to UC where the UC claim was
made where the claimant is not a new claimant partner and was entitled to
old style ESA or old style JSA on that day or
3. the day the UC claim was treated as made where the claimant is a new
claimant partner and was entitled to old style ESA or old style JSA on that
day.
1 UC (TP) Regs 14, reg 2(1), 30(2) & 32(2)

M4192

-

M4194

Old style ESA sanctions

M4195 M4190 M4196

Where
1. an award of UC is made to a claimant who was previously entitled to old style
ESA and
2. on the relevant date, the award of ESA was reduced because the claimant
had failed without good cause to
2.1 take part in a WFI or
2.2 undertake
WRA (1)
the ESA failure is treated as a sanctionable failure for the purposes of UC (2).
1 WR Act 07, s 12 & 13; ESA Regs 08, reg 61 & 63; ESA (WRA) Regs, reg 8;
2 WR Act 12, s 27; UC (TP) Regs 14, reg 30(1) & (3)(a)

M4196 M4198 M4199

Where M4195 applies
1. the award of UC is reduced as in M4197 (1) and
2. the reduction is treated as a reduction in accordance with UC rules (2).
See ADM Chapter K1 for guidance on general principles for UC reduction periods.
1 UC (TP) Regs 14, reg 30(3)(b); 2 WR Act 12, s 27; UC (TP) Regs 14, reg 30(3)(c); UC Regs, reg 101
Period of reduction

M4197 M4196

The reduction period is the number of days equivalent to the length of the fixed
period part of the ESA reduction (1) less
1. the number of days (if any) in that period for which old style ESA was reduced
and
2. if there was a gap between the end of the ESA award and the first date of
entitlement to UC, the number of days (if any) in the period
2.1 after the termination of the old style ESA award and
2.2 before the start of the UC award (2).
Note: Although the claimant may not have complied with the requirement for which
the old style ESA sanction was imposed, the requirement no longer applies where
the award is terminated or changed to an award of new style ESA. The fixed period
still has to be served and is applied to UC.
1 ESA Regs, reg 63(7); 2 UC (TP) Regs 14, reg 30(4)

Example

Joy is entitled to ESA(IR). She joins her partner Tony on 14.9.14. Tony has been
entitled to UC since 11.7.14. Joy's award of ESA(IR) terminates on 10.9.14, as does
Tony's award of UC as a single claimant. Tony and Joy are entitled as joint
claimants from 11.9.14.
Joy's award of ESA(IR) had been reduced because she had failed to take part in a
WFI. This was Joy's second failure, and a fixed period of reduction of two weeks
was imposed after she agreed to attend a WFI. The fixed period began on 4.9.14.
Joy's award of ESA(IR) was reduced for seven days before it terminated on 10.9.14,
and a further seven days reduction period is imposed for the UC award.
Escalation

M4198

Where
1. the UC claimant fails for no good reason to comply with a work-related
requirement and
2. the failure is a sanctionable failure and
3. the claimant was previously entitled to old style ESA
the DM should take into account any previous ESA fixed period reductions,
including a reduction carried forward to UC as in M4196, when determining what
reduction period applies for the purposes of a low-level sanction (1). See ADM
Chapter K5 for guidance on low-level sanctions, and DMG Chapter 53 for guidance
on ESA reductions.
Note 1: See M4199 for when M4198 does not apply.
Note 2: ESA fixed period reductions began on 3.12.12. Reductions before 3.12.12
are disregarded when considering what reduction period applies for low-level
sanctions.
1 UC (TP) Regs 14, reg 31(1) & (2); UC Regs, reg 104; ESA Regs 08, reg 63

Example 1

Hussain was entitled to ESA. His award terminated on 16.4.14 after he returned to
work. Hussain had failed to undertake WRA on 17.12.13, and a fixed period
reduction of one week was imposed from 9.1.14.
Hussain's job comes to an end, and he claims UC from 12.8.14. He is required to
attend the Jobcentre fortnightly, but fails for no good reason to attend on 28.8.14.
He attends on 30.8.14. The DM treats the ESA one week reduction as a seven day
low-level sanction. As this was within 365 days of the current sanctionable failure,
the DM decides that Hussain's award of UC is subject to a reduction of two days for
the period before compliance, followed by 14 days, as the failure is within 365 days
of a previous failure for which a seven day reduction period is treated as applying.

Example 2

Ryan is entitled to ESA. He fails to attend a WFI on 15.1.14, for which a one week
fixed period reduction is imposed. Ryan then fails to undertake WRA on 28.5.14,
and as this is within 52 weeks of the failure on 15.1.14, a two week fixed period
reduction is imposed following compliance. The fixed period begins on 12.6.14.
Linzi has been entitled to UC since 16.5.14. On 24.6.14 she moves in with Ryan.
Ryan and Linzi are entitled as joint claimants from 16.6.14. Their UC award is
reduced for a period of 10 days, the balance of the ESA two weeks fixed period
reduction (calculated by reducing half of the joint standard allowance).
On 5.9.14 Ryan fails for no good reason to attend a WFI. He meets the specified
compliance condition by phoning on 11.9.14 and agreeing to attend a WFI. A low-
level sanction is applied. When calculating the reduction period, the DM treats the
failure of 15.1.14 as incurring a six day reduction period, and the failure of 28.5.14
as incurring a 14 day reduction period. Ryan and Linzi's award of UC is reduced for
a total period of 38 days (10 for the period before compliance, and 28 as the
previous failure within 365 days was for 14 days).

M4199 M4198

When determining a reduction period for a low-level sanction as in M4179, no
account is taken of
1. a reduction of old style ESA carried forward to UC as in M4196, if the
claimant is subsequently entitled to an existing benefit (see ADM Chapter M3
(Gateway conditions - claims for UC from 16.6.14) for meaning of existing
benefit) or
2. a reduction of old style ESA, if after that reduction the claimant was entitled to
UC, new style ESA or new style JSA, and was subsequently entitled to an
existing benefit
if they are awarded UC again and there is a sanctionable failure (1).
Note: See ADM Chapter V8 and S8 for guidance on where a UC claimant is
subsequently entitled to an existing benefit.
1 UC (TP) Regs 14, reg 31(3); ESA Regs 08, reg 63

Example

Maddie is entitled to ESA. She fails to attend a WFI on 15.1.14, for which a one
week fixed period reduction is imposed. Maddie then fails to undertake WRA on
28.5.14, and as this is within 52 weeks of the failure on 15.1.14, a two week fixed
period reduction is imposed following compliance. The fixed period begins on
12.6.14.
David has been entitled to UC since 16.5.14. On 24.6.14 he moves in with Maddie.
David and Maddie are entitled as joint claimants from 16.6.14. Their award is
reduced for a period of 10 days, the balance of the ESA two weeks fixed period
reduction.
On 5.9.14 Maddie fails for no good reason to attend a WFI. She phones up on
11.9.14 and agrees to attend a WFI. When calculating the reduction period, the DM
treats the failure of 15.1.14 as incurring a seven day reduction period, and the
failure of 28.5.14 as incurring a 14 day reduction period. David and Maddie's award
of UC is reduced for a total period of 38 days (10 days for the period before
compliance, and 28 days as the previous failure within 365 days was for 14 days).
On 30.5.14 David finds work and because of his earnings both he and Maddie are
no longer entitled to UC. On 30.6.14 David's job finishes because he is not fit for
work. David is not entitled to claim UC because he does not meet the gateway
conditions, so he makes a claim for ESA(IR). He receives the full amount of ESA for
himself and Maddie. This is because the previous reductions applied to the UC
award are not brought forward to the ESA award.
David fails to attend a WFI on 1.10.14 and a one week fixed period reduction is
applied to his ESA. This is because the previous reductions applied to the UC
award do not count for the purpose of ESA reduction periods. David then fails to
undertake WRA on 28.11.14, and as this is within 52 weeks of the failure on
1.10.14, a two week fixed period reduction is imposed following compliance.

M4200

-

M4209

Old style JSA sanctions

M4210 M4211

Where
1. an award of UC is made to a claimant who was previously entitled to old style
JSA and
2. on the relevant date (see M4191), the award of old style JSA was reduced
because of a sanctionable failure (whether before or after 22.10.12)1 and
3. in the case of joint-claim couples, the sanction applies to the member of the
couple who is subsequently awarded UC
the JSA failure is treated as a higher-level, medium-level or low-level sanctionable
failure for the purposes of UC (2). See ADM Chapter K3 (Higher-level sanctions),
Chapter K4 (Medium-level sanctions) and Chapter K5 (Low-level sanctions) for
further guidance.
1 JS Act 95, s 19 & 19A; JSA Regs, 96, reg 69B; 2 UC (TP) Regs 14, reg 32(1) - (3)

M4211 M4215 M4216

Where M4210 applies
1. the award of UC is reduced as in M4212 (1) and
2. the reduction is treated as a reduction in accordance with UC rules (2).
See ADM Chapter K1 for guidance on general principles for UC reduction periods.
1 UC (TP) Regs 14, reg 32(3)(b); 2 WR Act 12, s 26 & 27; UC (TP) Regs 14, reg 32(3)(c); UC Regs, reg 101
Period of reduction

M4212 M4211

The UC reduction period is the number of days equivalent to the length of the period
of the reduction (1) less
1. the number of days (if any) in that period for which old style JSA was reduced
and
2. if there was a gap between the end of the JSA award and the first date of
entitlement to UC, the number of days (if any) in the period
2.1 after the termination of the JSA award and
2.2 before the start of the UC award (2).
1 JSA Regs 96, reg 69, 69A or 69B; 2 UC (TP) Regs 14, reg 32(4)
Amount of reduction

M4213

Where
1. the JSA award was to a joint-claim couple and
2. the failure was by one member of the couple
the daily reduction rate for the UC award is the amount specified for the purposes of
JSA divided by seven and rounded down to the nearest 10 pence (1). See DMG
Chapter 34 for guidance on JSA sanctions, and DMG Chapter 35 for JSA hardship.
Note: But see M4214 for exceptions.
1 JSA Regs 96, reg 70(3); UC (TP) Regs 14, reg 32(6) & (7); UC Regs, reg 111

M4214 M4213

M4213 does not apply if, at the end of the assessment period, the claimant for
whom the reduction is imposed is (1)
1. aged 16 or 172 or
2. subject to no work-related requirements (3) because they
2.1 are responsible for a child aged under one (4) or
2.2 are an
adopter (5) or
2.3 are pregnant and within 11 weeks of the EWC (6) or
2.4 were pregnant and within 15 weeks of confinement (6) or
2.5 are the foster parent of a child aged under one (7) or
2.6 have
LCWRA (8) or
3. subject to a WFI only work-related requirement (9).
The normal UC rules apply instead. See ADM Chapter K9 (Amount of reduction) for
guidance on what reduction amounts apply.
1 UC (TP) Regs 14, reg 32(6); UC Regs, reg 11(2) & (3); 2 reg 111(2)(a); 3 WR Act 12, s 19; 4 s 19(2)(c);
5 UC Regs, reg 89(1)(c); 6 reg 89(1)(d); 7 reg 89(1)(f); 8 WR Act 12, s 19; UC Regs, reg 40; 9 WR Act 12, s 20
Escalation

M4215 M4216

Where
1. the UC claimant fails for no good reason to comply with a work-related
requirement and
2. the failure is a sanctionable failure and
3. the claimant was previously entitled to old style JSA
the DM should taken into account any previous old style JSA sanctions, including a
sanction carried forward to UC as in M4211, when determining what reduction
period applies for the purposes of a higher-level, medium-level or low-level
sanction (1). See ADM Chapter K3 (Higher-level sanctions), Chapter K4 (Medium-
level sanctions) and Chapter K5 (Low-level sanctions) for further guidance. See
DMG Chapter 34 for guidance on JSA sanctions.
Note: See M4216 for when M4215 does not apply.
1 UC (TP) Regs 14, reg 33(1) & (2); UC Regs, reg 102, 103 & 104;
JS Act 95, s 19 & 19A; JSA Regs 96, reg 69, 69A & 69B

M4216 M4215

When determining a reduction period for a higher-level, medium-level or low-level
sanction as in M4215, no account is taken of
1. a reduction of old style JSA carried forward to UC as in M4211, if the claimant
is subsequently entitled to an existing award or
2. a reduction of old style JSA, if after that reduction the claimant was entitled to
UC, new style ESA or new style JSA, and was subsequently entitled to an
existing award
if they are awarded UC again and there is a sanctionable failure (1).
Note: See ADM Chapter V8 and S8 for guidance on where a UC claimant is
subsequently entitled to an existing award.
1 UC (TP) Regs 14, reg 33(3); JS Act 95, s 19 & 19A; JSA Regs 96, reg 69B

Example

Rita is entitled to JSA. She fails to attend a training course on 15.1.14, for which a 4
week lower level fixed period reduction is imposed. Rita then fails to provide a CV
on 28.5.14 and as this is within 52 weeks of the failure on 15.1.14, a 13 week fixed
period reduction is imposed following compliance. The fixed period begins on
4.6.14.
Ben has been entitled to UC since 12.5.14. On 24.7.14 he moves in with Rita. Ben
and Rita are entitled as joint claimants from 12.7.14. When Ben and Rita form a
couple any sanction which has not yet been applied to Rita's JSA is transferred to
the joint UC award. The balance of the sanction is converted into days (84 days)
and added to Rita's total outstanding reduction period. This is applied to the first
assessment period of the joint UC award i.e. 12.7.14 to 11.8.14 (31 days), with the
remaining 53 days applied until the outstanding period runs out i.e. 12.8.14 to
11.9.14 (30 days) and 12.9.14 to 3.10.14 (23 days).
On 5.9.14 Rita again fails for no good reason to attend a training course, but after
talking to her adviser she starts the course on 11.9.14. When calculating the
reduction period, the DM treats this as the third low-level sanction failure in UC and
imposes an open ended sanction.
On 30.9.14 Ben finds work and because of his earnings both he and Rita are no
longer entitled to UC. On 30.10.14 Ben's job finishes because it was a short-term
contract. Ben is excluded from claiming UC because he does not meet the
Pathfinder criteria as he is not single, so he makes a claim for JSA(IB). He receives
the full amount of JSA. This is because the previous reductions applied to the UC
award are not brought forward into the JSA award.
Ben fails to provide a CV on 12.11.14 and a 4 week lower level sanction is applied
to his JSA. This is because the previous reductions applied to the UC award do not
count towards JSA sanction escalation. Ben then fails to attend a training course on
17.12.14, and as this is within 52 weeks of the first lower level sanction failure on
12.11.14, a 13 week fixed period reduction is imposed.

M4217

-

M4219

UC claimant awarded existing benefit

M4220

Where
1. an award of UC terminates and
2. there is an outstanding reduction period and
3. the claimant is entitled to an existing award during the reduction period
the rules about the reduction period continuing after UC terminates (including where
UC terminates before a determination has been made) does not apply (1), even if the
claimant is awarded UC again. Instead, the reduction period ends on the first day of
entitlement to the existing award (2). See ADM Chapter K8 (When the reduction period
begins and ends) for guidance on termination of the reduction period.
1 UC (TP) Regs 14, reg 34(a); UC Regs, reg 107; 2 UC (TP) Regs 14, reg 34(b)

Example

Stefan's award of UC terminates on 7.10.14 when he finds temporary work and
moves outside a relevant district. At the time his award terminated, it was subject to
a 91 day reduction period for a higher-level sanction. There were still 68 days left
for which benefit had not been reduced when the award of UC terminated.
Stefan's job contract ends after three weeks, and as he is no longer in a relevant
district, he claims JSA(IB) on 1.11.14. He moves in with his partner Magdalena on
28.11.14. Magdalena is entitled to UC. Stefan's reduction period terminates on
1.11.14, so there is no outstanding reduction period when his award of JSA(IB) is
terminated and he and Magdalena become entitled to UC as joint claimants.

M4221

-

M4229

Loss of benefit penalties

M4230 M4190 M4231 M4233 M4235 M4240

[See ADM memo ADM 19 14] Where any of the cases in M4231 - M4235 apply,
subsequent payments of UC are reduced (1) for assessment periods which fall wholly
or partly in the remainder of the disqualification period (2). However, this does not
apply if there was previous entitlement to joint-claim JSA where
1. on the relevant date, payment restrictions (3) applied or
2. the UC award is not made to joint claimants who were both entitled to joint-
claim JSA on the relevant date (4).
See M4232 for guidance on calculation of the amount of the reduction and M4232,

M4234 M4233

and M4236 for guidance on the relevant date. See ADM Chapter B2 for
guidance on benefit offences, offenders and loss of benefit restrictions.
Note: The normal rules (5) for calculating the amount of the reduction do not apply (6).
1 UC (TP) Regs 14, reg 36; 2 reg 35(5)(a); 3 SS Fraud Act 01, s 8(2); 4 UC (TP) Regs 14, reg 35(6);
5 SS (LoB) Regs, reg 3ZB; 6 UC (TP) Regs 14, reg 35(5)(b)
Case 1

M4231 M4230 M4232

The guidance at M4230 applies where (1)
1. an award of UC is made to a claimant who is an offender (2) and
2. the claimant was entitled, or would have been entitled if it had not terminated,
to old style JSA, old style ESA, IS or HB within one month of the day the UC
claim was made or treated as made and
3. on the relevant date, payments of old style JSA, old style ESA, IS or HB were
restricted as a penalty for a benefit offence (3).
1 UC (TP) Regs 14, reg 35(2); 2 SS Fraud Act 01, s 6B & 7; 3 s 6B, 7 & 8
Relevant date

M4232 M4230 M4230

For the purpose of M4231, the relevant date (1) is
1. the day on which the award of old style JSA, old style ESA, IS or HB
terminated where the claimant was not entitled to any of those benefits on the
day the UC claim was made or treated as made or
2. the day the UC claim was made where the claimant is not a new claimant
partner and was entitled to old style JSA, old style ESA, IS or HB on that day
or
3. the day the UC claim was treated as made where the claimant is a new
claimant partner and was entitled to old style JSA, old style ESA, IS or HB on
that day.
1 UC (TP) Regs 14, reg 35(7)
Case 2

M4233

The guidance at M4230 also applies where (1)
1. an award of UC is made to a claimant who is an offender (2) and
2. another person who was that offender's family member (but who is no longer)
was entitled to old style JSA, old style ESA, IS or HB within one month of the
day the UC claim was made or treated as made and
3. on the relevant date, payments of old style JSA, old style ESA, IS or HB were
restricted as a penalty for a benefit offence (3).
1 UC (TP) Regs 14, reg 35(3); 2 SS Fraud Act 01, s 6B & 7; 3s 9
Relevant date
M4234 For the purpose of M4233 the relevant date (1) is
1. the day the person entitled to old style JSA, old style ESA, IS or HB eased to
be the offender's family member or
2. the day the award of old style JSA, old style ESA, IS or HB terminated if
earlier than the day in 1..
1 UC (TP) Regs 14, reg 35(7)
Case 3

M4235 M4230 M4236

The guidance at M4230 also applies where (1)
1. an award of UC is made to a claimant who is an offender's family member (2)
and
2. the offender, or the claimant, was entitled to old style JSA, old style ESA, IS
or HB within one month of the day the UC claim was made or treated as
made and
3. on the relevant date, payments of old style JSA, old style ESA, IS or HB were
restricted as a penalty for a benefit offence (3).
1 UC (TP) Regs 14, reg 35(4); 2 SS Fraud Act 01, s 9; 3 s 6B, 7, 8 & 9
Relevant date

M4236 M4234 M4241

For the purpose of M4235 the relevant date (1) is
1. the day on which the award of old style JSA, old style ESA, IS or HB
terminated where the claimant was entitled to any of those benefits but that
entitlement terminated before the day the UC claim was made or treated as
made or
2. the day the UC claim was made where the claimant is not a new claimant
partner and was entitled to old style JSA, old style ESA, IS or HB on that day
or
3. the day the UC claim was treated as made where the claimant is a new
claimant partner and was entitled to old style JSA, old style ESA, IS or HB on
that day or
4. the earlier of the day a person ceased to be an offender's family member or
the day the award of old style JSA, old style ESA, IS or HB terminated where
the offender's family member was entitled to any of those benefits.
1 UC (TP) Regs 14, reg 35(7)

M4237

-

M4239

Amount of reduction

M4240

Where M4230 et seq applies, the amount by which payment of UC is reduced in an
assessment period is calculated by multiplying the daily reduction rate by the
number of days in the assessment period (1). Where the disqualification ends during
an assessment period, the amount by which UC is reduced in an assessment period
is calculated by multiplying the daily reduction rate by the number of days in the
assessment period which are in the disqualification period (2). However, the reduction
must not exceed the claimant's standard allowance for an assessment period (3). See M4241 - M4243 for guidance on the daily reduction rate. See ADM Chapter E2
(Benefit unit, awards and maximum amount) for guidance on assessment periods
and the standard allowance.
1 UC (TP) Regs 14, reg 36(1); 2 reg 36(2); 3 reg 36(6)
Daily reduction rate

M4241 M4240 M4242

Unless M4242 or M4243 apply, the daily reduction rate is calculated by
1.
taking the amount equal to the amount by which payments of old style JSA,
old style ESA, IS or HB were reduced (1) in the last complete week before the
relevant date (see M4236) and
2.
multiplying by 12 and
3.
dividing by 365 and
4.
rounding down to the nearest 10 pence (2).
1 SS Fraud Act 01, s 6B & 7; SS (LoB) Regs, reg 3, 3ZA & 17; 2 UC (TP) Regs 14, reg 36(3)

M4242 M4241

Where the amount by which payments of old style JSA, old style ESA, IS or HB
would have been reduced and, if the claimant had remained entitled to those
benefits, that amount would have changed during the disqualification period
because of uprating (1)
1. the daily reduction rate is calculated as in M4241 except that for 1. the
amount is the new amount by which payments would have been reduced and
2. any adjustment of the UC reduction takes effect from the start of the first
assessment period after the date of change (2).
1 SS A Act 92, s 150; 2 UC (TP) Regs 14, reg 36(4)

M4243 M4240 M4241

Where the claimant was previously receiving joint-claim JSA the daily reduction rate
is calculated by
1. taking the amount of the standard allowance for UC joint claimants (1) and
2. multiplying by 12 and
3. dividing by 365 and
4. reducing by 60% and
5. rounding down to the nearest 10 pence (2).
1 UC Regs, reg 36; 2 UC (TP) Regs 14, reg 36(5)

[M4244-M4999]