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Chapter S5: JSA Higher-level sanctions

Contents
S5001:Introduction
S5006:What is the reduction period

Current sanctionable failure occurred within 14 days of a previous failure. S5011
S5016:Failures determined out of sequence
S5021:Pre-claim failures
S5023:Reduction period for a pre-claim failure
Reduction period for a pre-claim failure where paid work is for a limited period
S5024:
S5031:Failures for which no reduction applies
S5032:Regular or reserve forces
S5033:Redundancy
S5034:Strike
S5035:Trial periods
Fails to comply with a requirement to undertake a work placement of a
S5041:prescribed description
S5042:MWA scheme
Fails to comply with a requirement to take up or apply for paid work S5061
S5071:Misconduct
S5081:Leaving paid work or losing pay voluntarily

Chapter S5: JSA Higher-level sanctions

S5001 Introduction

This chapter gives guidance in respect of higher-level sanctions relating to new style
JSA (hereafter referred to as JSA) and should be read with ADM Chapter S4 (JSA
Sanctions). Guidance is provided on the meaning of terms and what considerations
apply when determining what reduction period applies and the amount of the
reduction.

S5002 S5042 S5061 S5071 S5081

A higher level sanction (1) is a reduction of JSA for a sanctionable failure by a claimant who
1. ceases paid work or loses pay through misconduct (2) (see S5071) or
2. for no good reason
2.1 fails to comply with a requirement imposed by the Secretary of State
under a work preparation requirement to undertake a work placement
of a prescribed description (3) (see S5041et seq) or
2.3 fails to comply with a requirement imposed by the Secretary of State
under a work search requirement to apply for a particular vacancy for
paid work (4) (see S5061) or
2.4 fails to comply with a work availability requirement by not taking up an
offer of paid work (5) (see S5061) or
2.5 voluntarily ceases paid work or loses pay (6) (see S5081).
Note:
See ADM Chapter S4: JSA Sanctions for the meaning of sanctionable failure.
See ADM Chapter K2:-Good reason for guidance on good reason and ADM Chapter
R4: Claimant Responsibilities: Work Requirements for the meaning of paid work and
guidance on work-related requirements and the imposition of requirements.
1 WR Act 12,s 6J; 2 s 6J (2)(d); 3 s 6J(2)(a); 4 s 6J(2)(b); 5 s 6J(2)(c ); 6 s 6J (2)(d)
S5003 - S5005

S5006 What is the reduction period

Where the sanctionable failure is not a pre-claim failure (see S5021et seq), the
reduction period for a higher-level failure is
1. 91 days where there has not been a previous higher-level sanctionable failure
in the 364days immediately before the failure in question (1) or
2. 182 days if, in the 364 days immediately before the failure in question, there was
2.1 another higher level sanctionable failure for which a 91 day reduction
period applies (2) or
2.2 a UC sanctionable failure which resulted in a 91 day reduction period
being imposed (3)
3. 1095 days if, in the 364 days immediately before the failure in question, there was
3.1 another higher-level failure for which a 182 day or 1095 day reduction
period applies (4) or
3.2 a UC sanctionable failure which resulted in a 182 day or 1095 day
reduction period being imposed (5).
Note
1: See ADM Chapter S4:JSA Sanctions for the meaning of sanctionable
failure, UC sanctionable failure and pre-claim failures and for the general principles
on calculating reduction periods, when the reduction begins and ends and the
amount of a reduction.
Note 2: The DM considers whether there has been another sanctionable failure in
the 13 days or 364 days immediately before the date of the failure in question.
Note
3: In JSA all higher-level sanctions are for a fixed reduction period, there are
no discretionary length sanctions.
1 JSA Regs 13, reg 19 (1)(a); 2 reg 19(1)(b(i);3 reg 19(1)(b)(ii);

4 reg 19 (1)( c)(i); 5 reg 19(1)(c )(ii)

S5007

This means
1. a failure must be within 365 days of the previous failure in order to escalate to
the next penalty or
2. where there are two failures within 14 days of each other a sanction will be
imposed for each failure but the duration of the second sanction will not
escalate.

Example 1

Jono claims JSA from 21.3.14 after leaving his job on 21.3.14. The DM determines
he had no good reason for leaving his job. As this is the first higher-level failure a 91
day reduction period is applied.

Example 2

On 2.7.14 Samara fails for no good reason to comply with a requirement to
participate in the MWA scheme. This is her second higher level failure. A 91 day
sanction was imposed for the previous failure on 28.4.14. As this is the second
sanctionable failure within 365 days of the previous sanctionable failure a 182 day
reduction of period will apply to her JSA award.

Example 3

Simon refuses without good reason to apply for a vacancy notified to him by his
advisor. He is in receipt of JSA. The date of the failure is 20.4.15. Previous failures
occurred on 22.2.14 and 10.10.14 which resulted in sanctions of 91 days and 182
days respectively. The sanction imposed for the sanctionable failure in question will
be 1095 days.

[S5008-S5010]

S5011 Current sanctionable failure occurred within 14 days of a previous failure S5016 S5022

For guidance on how to calculate the reduction period where the current
sanctionable failure occurred within 14 days of a previous sanctionable failure (1) see
ADM Chapter S4 JSA Sanctions.

1 JSA Regs 13,reg 18 (4)

S5012

- 25015

S5016 Failures determined out of sequence

The period of the reduction will only escalate if there has been a previous
sanctionable failure in the 364 days immediately before the failure in question but
see S5011 if the failure is within 14 days of a previous sanctionable failure.
Note 1: A previous sanctionable failure means one where a decision to reduce
benefit has been made. So we count the date of the previous sanctionable failure for
the purposes of escalation but only where that sanctionable failure has led to a
reduction period being imposed.
Note
2: For the definition of sanctionable failure and detailed guidance on reduction
periods see ADM Chapter S4 JSA Sanctions.

Example

On 31.7.14 the DM is considering a case where Keiza failed to comply with a
requirement to participate in the MWA scheme on 28.4.14 and decides a sanction is
appropriate.
On checking, the DM finds there is a previous higher-level sanction recorded for a
failure without good reason to apply for a job vacancy. This was decided on 30.6.14
for a failure that occurred on 26.6.14 and a 91 day reduction to Keiza's JSA was
imposed.
The DM applies a 182 day sanction for the failure on 28.4.14 as there has been a
previous higher level sanctionable failure within 365 days which led to a reduction of
JSA of 91 days.
S5016 - S5020

S5021 Pre-claim failures S5006 S5031

Where a failure (see Note 2) occurs before the claimant makes a first claim to JSA
(known as a `pre-claim failure') and the claimant
1. ceased paid work or lost pay through misconduct or
2. for no good reason
2.1 fails to take up an offer of paid work or
2.2 voluntarily ceased paid work or lost pay
that failure may not be counted for the purpose of determining the reduction period
for a subsequent sanctionable failure (1)(see S5022).
Note 1: For the definition of pre-claim failure (2) see ADM Chapter S4 JSA
Sanctions.
Note
2: A failure for this purpose is any pre-claim failure including a UC
sanctionable failure under relevant legislation (3).

1 JSA Regs (13), reg (19)(2),WR Act 12, s 6J(3); 2 JSA Regs (13), reg 17; 3 reg 19(2)(b), UC Regs, reg 102(4)

S5022 S5021

Pre-claim failures can only be counted with previous higher-level failures for
escalation purposes as long as the previous failure is
1. in the 364 days immediately before the date of the current failure in question
and
2. the previous failure is not another pre-claim failure (1) .
However, see S5011 if the failure is within 14 days of the previous failure.
1JSA Regs 13, reg 19(1)

Example 1

On
29.4.14
Jamilla is sacked from her job due to misconduct. She claims JSA on
29.4.14. On 19.5.14 the DM determines that Jamilla lost her job due to misconduct
and imposes a reduction of 91 days for a first higher-level failure. On 4.3.15 Jamilla
leaves a job because she doesn't like it and reclaims JSA from 4.3.15. The DM
considers a sanction at the higher-level. The second failure is within 365 days of the
previous failure but both occurred before she made a claim to JSA (i.e. both are pre-
claim failures) and therefore the previous failure is not counted when determining the
reduction period for the subsequent failure. The DM imposes a 91day reduction to
Jamilla's JSA for the failure on 4.9.15.

Example 2

On 5.8.14 Abdul refuses a job and the DM determines he has failed without good
reason to accept paid work and imposes a 91 day higher-level sanction to his JSA
award. On 17.12.14 he fails to apply for another job which is vacant and this time the
DM imposes a 182 day reduction for a second higher-level failure within 365 days of
the first failure.
On 31.7.15 Abdul leaves a job because he is bored and re-claims JSA from 31.7.15.
The DM determines Abdul left paid work voluntarily and without good reason and
imposes a 1095 day reduction. The third failure is a pre-claim failure but is within 365
of a previous higher-level failure which is not a pre-claim failure.

S5023 Reduction period for a pre-claim failure

Where the sanctionable failure is a pre-claim failure (see K3024) the reduction
period is reduced by the number of days between the date of the day
1. after the date of the sanctionable failure and
2. before the date of the claim to JSA (1)
except where S5024 applies.
1 JSA Regs 13, reg 19(3)

Example 1

On 16.11.14 Sasha is sacked from her job due to misconduct. She claims JSA on
28.11.14. On 23.12.14 the DM determines that Sasha has lost paid work due to
misconduct and imposes a higher-level sanction of 91days for a first failure. The
reduction period is reduced by 11 days, i.e. the period from 17.11.14 (the date after
the failure) to 27.11.14 (the date before the date of claim to JSA).

Example 2

Duncan claims JSA from 26.8.14 after leaving his job on 22.8.14. The DM
determines he had no good reason for leaving his job. As this is a first higher-level
failure a 91 day reduction is applicable. The reduction period is reduced by 3 days,
i.e the period from 23.8.14 ( the date after the failure) to 25.8.14 (the date before the
claim to JSA).

S5024 Reduction period for a pre-claim failure where paid work is for a limited period S5023 S5031

Where the sanctionable failure is a pre-claim failure and relates to paid work that
was due to last for a limited period, the reduction period will
1. begin with the day after the date of the sanctionable failure and
2. end with the date on which the limited period would have ended minus the
number of days beginning with the day after the date of the sanctionable
failure and the day before the date of claim to JSA (1).
Note: Limited period means a specific period which is fixed in advance, for example
a short term contract. If the employment was due to end 28 days after the person left
that employment then the maximum period of reduction which could be imposed
would be for 28 days.
1 JSA Regs 13, reg 19 (3)(b)
Example:
Emily is a dancer and has a 6 month contract with a cruise company from 1.9.14 to
28.2.15. She voluntarily leaves her contract on 4.1.15 and claims JSA on 12.1.15.
The DM determines that Emily left her employment voluntarily and for no good
reason. This is a first higher-level sanctionable failure and a 91 day sanction would
normally apply. Emily's contract was due to finish on 28.2.15. The reduction period
actually imposed is for 48 days which is the period from the failure to the end of the
contract minus the period between the failure and the date of claim to JSA.

[S5025-S5030]

S5031 Failures for which no reduction applies

No reduction may be made where the sanctionable failure in question
1. is a failure to
1.1 apply for a particular vacancy or
1.2 take up an offer of paid work
where the vacancy is because of a strike arising from a trade dispute (1) (see Note 2
and S5034)
2. occurs because the claimant ceases paid work or loses pay and the following
circumstances apply
2.1 the claimant's work search and work availability requirements are
subject to limitations imposed in respect of work available for a certain
number of hours
2.2 the claimant takes up paid work or more paid work that is for a greater
number of hours and
2.3 the claimant voluntarily ceases that paid work or more paid work or
loses pay within a trial period (2) (see S5035)
3. is that the claimant voluntarily ceases paid work or loses pay because of a
strike arising from a trade dispute (3) (see Note 2)
4. is that the claimant voluntarily ceased paid work as a member of the regular or
reserve forces (see S5032) or loses pay in that capacity (4)
5. is a pre-claim failure (see S5021 - S5024) and the period of the reduction is
the same as or shorter than the number of days beginning with the day after
the date of the sanctionable failure and ending with the date of the claim to
JSA (5)
6. is that the claimant voluntarily ceases paid work because the claimant has
6.1 been dismissed because of redundancy after volunteering or agreeing
to be dismissed (see S5033)
6.2 ceased work on an agreed date without being dismissed in pursuance
of an agreement relating to voluntary redundancy or
6.3 been laid off or kept on short-time as provided for in relevant legislation (6)
and has complied with those requirements (6).
Note
1: The circumstances in 2.1, 2.2 or 2.3 apply when a claimant has restrictions
on work search and availability and tries out work in excess of those limitations and
then ceases that work or loses pay in the trial period (see S5035).
Note
2: See ADM Chapter R4 Claimant Responsibilities: Work Requirements for
guidance on work search, work-related requirements and paid work and ADM
Chapter SXX for guidance on trade disputes.
1 JSA Regs 13, reg 28 (1)(a);2 reg 28 (1)(b); 3 reg 28 (1)(d) ; 4 reg 28 (1)(e); 5 reg 28 (1)(c);
6 reg 28 (1)(f), ER Act 1996, s 148

S5032 Regular or reserve forces S5031

Regular or reserve forces has the same meaning as in relevant legislation (1) (see
further guidance in ADM Chapter K3 at K3272).
1JSA Regs 13, reg 28 (2); Armed Forces Act 2006, s 374

S5033 Redundancy S5031

Redundancy has the same meaning as in relevant legislation (1) (see further guidance
in ADM Chapter K3 at K3251 et seq).
1 JSA Regs 13, reg 28 (2); Employment Rights Act 1996, s 139(1)

S5034 Strike S5031

Strike has the same meaning as in relevant legisaltion (1) (see further guidance in ADM
Chapter SXX).
1 JSA Regs 13, reg 28 (2); Trade Union and Labour Relations (Consolodation) Act 1992 (b)

S5035 Trial periods S5031 S5031

For guidance on trial periods see ADM Chapter K3 at K3211 - K3216.

S5036

-S5040

S5041 Fails to comply with a requirement to undertake a work placement of a prescribed description S5002

It is a failure for no good reason to comply with a requirement imposed by the
Secretary of State under a work preparation requirement to undertake a work
placement of a prescribed description that gives the DM the provision to reduce
benefit at the higher level (1).
1 WR Act 12, s 6J (2) (a)

S5042 MWA scheme

The Mandatory Work Activity Scheme (MWA scheme)1 is a prescribed placement
for a sanctionable failure not to comply with a work placement (2) (see S5002 2. 2.1).

1 JSA Regs 13, reg 29 (1); 2 WR Act 12, s 6J (2)(a);

S5043

The MWA scheme means a scheme, known by that name, provided in arrangement
with the Secretary of State that is designed to provide work or work-related activity
for up to 30 hours per week over a period of 4 consecutive weeks with a view to
assisting claimants to improve their prospects of obtaining employment (1).
Note
1: See the guidance in ADM Chapter K3 ( K3039 - K3043) for further guidance
on what constitutes a failure to comply in the MWA scheme. The guidance for UC
failures applies equally to failures for JSA.
Note 2: See the guidance in ADM Chapter S7 (Low-level sanctions) for other
placements and employment schemes, e.g. Work Programme, sector-based work
academies, Skills Conditionality.
1 JSA Regs 13, reg 29 (2)

[S5044-S5060]

S5061 Fails to comply with a requirement to take up or apply for paid work S5002 S5002

Legislation provides that a failure is a sanctionable failure where a claimant fails
without good reason to comply with a
1. requirement imposed by the Secretary of State under a work search
requirement to apply for a particular vacancy for paid work (1) (see S5005 2 2.2)
or
2. work availability requirement by not taking up an offer of paid work (2) (see S5002 2 2.3).
Note 1: For detailed guidance on paid work and the imposition of work search and
work availability requirements see ADM Chapter R4 Claimant Responsibilities: Work
Requirements.
Note
2: For detailed guidance on what constitutes a failure for the purposes of
1.and 2. see Chapter ADM K3 (K3062 - K3064).

1 WR Act 12,s 6J (2)(b); 2 s 6J (2)(c )

S5062

It is for the DM to consider in every case where there is a failure whether the
claimant had good reason. For detailed guidance on good reason see ADM Chapter
K2: Good reason. The guidance for UC failures applies equally to failures for JSA.

[S5063-S5070]

S5071 Misconduct S5002

Legislation provides that a failure is a sanctionable failure where a claimant by
reason of misconduct
1. ceases paid work or
2. loses pay (1) (see S5002 1.).
Note 1: For failures due to misconduct the claimant will not have an opportunity to
show good reason for the failure but will be given the opportunity to provide facts and
evidence for consideration by the DM.
Note
2: For guidance on paid work see ADM Chapter R4 Claimant Responsibilities:
Work Requirements.

1 WR Act 12,s 6J (2)(d)

S5072

A sanction should only be imposed where the claimant
1. acted or failed to act as alleged and
2. behaved in such a way that it amounted to misconduct and
3. lost paid work or pay through the misconduct.
Note:
For guidance on what the DM should consider in misconduct cases see ADM
Chapter K3 (K3066 - K3191). The guidance for UC failures applies equally to failures
for JSA.

S5073

- S5080

S5081 Leaving paid work or losing pay voluntarily S5002

Legislation provides that a failure is a sanctionable failure where a claimant
voluntarily and without good reason
1. ceases paid work or
2. loses pay (1) (see S5002 2 2.5).
Note: For guidance on paid work see ADM Chapter R4 Claimant Responsibilities:
Work Requirements. For detailed guidance on good reason see ADM Chapter K2:
Good reason.

1 WR Act 12,s 6J (2)(d)

S5082

For detailed guidance on what the DM should consider where a claimant has left
paid work or loses pay voluntarily see ADM Chapter K3: Higher level sanctions
(K3203 - K3262).The guidance for UC failures applies equally to failures for JSA.