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Chapter U4: ESA claimant responsibilities - work-related requirements groups

Contents
U4001:Introduction
U4002:The work-related requirements groups
U4003:What a work-related requirement is
U4030:Carers
U4031:Adopters
U4032:Close relative
U4035:Responsible carer
U4036:Responsible foster parent
Responsible carer and responsible foster parent - couples and nominations
U4037:
Claimants subject to no work-related requirements
U4050:Introduction
U4052:Claimants with LCWRA

Caring responsibilities
U4053:Severely disabled
U4058:Caring for a child under the age of one
U4061:Adopters
U4063:Foster parents
U4064:Pregnant claimants
U4070:Claimants in certain types of education
U4100:Claimants subject to a work-focused interview requirement only
U4101:What is a work-focused interview
U4103:Who is subject to a work-focused interview requirement only
Claimants subject to a work preparation requirement and work-focused
U4110:interview


Chapter U4: ESA claimant responsibilities - work-related requirements groups

U4001 Introduction

Depending on their circumstances, a claimant may fall into a particular work-related
group. These are also known as conditionality groups or work-related requirements
groups. The group that a claimant falls into will determine what is required of them in
relation to their award of ESA. ADM Chapter U5 provides guidance on the work-
related requirements in ESA.

U4002 The work-related requirement groups

The work-related requirements which can be imposed on a claimant depend upon
which group the claimant falls into (1). The groups for ESA are
1. no work-related requirements
2. work-focused interview requirement only
3. work-focused interview and work preparation requirements.
1 WR Act 07, s 11(3)

U4003 What a work-related requirement is

For ESA a work-related requirement means (1) a
1. work-focused interview requirement
2. work preparation requirement.

1 WR Act 07, s 11(2)

U4004

The Secretary of State can impose a work-related requirement on a claimant which
the claimant must comply with (1). If a claimant does not comply with a work-related
requirement then there may be a reduction in their award of ESA (2). ADM Chapter V7
provides guidance on reductions and sanctions.
1 WR Act 07, s 11(1); 2 s 11J

[U4005-U4029]

U4030 Carers

The requirements that a claimant may be subject to can be affected by their caring
responsibilities. In this guidance the following terms are defined.

U4031 Adopters

An adopter
means (1) a person who has been matched with a child for adoption who
is, or is intended to be, the responsible carer for the child. This does not include a
1. foster parent or
2. close relative
of the child. Note: A person is matched with a child for adoption when it is decided by an adoption agency that the person would be a suitable adoptive parent for the child (2). 1 ESA Regs 13, reg 47(5); 2 reg 47(5)

U4032 Close relative

A close relative in relation to a person means (1)
1. parent
2. parent-in-law
3. son
4. son-in-law
5. daughter
6. daughter-in-law
7. step-parent
8. step-son
9. step-daughter
10. brother
11. sister
12. where any of 1. - 11. is a member of a couple, the other member of the
couple.
1 ESA Regs 13, reg 2

U4033

-

U4034

Responsible carer

U4035 Deleted: [See Memo ADM

A claimant is a responsible carer where (1) they are
9/13]
1. the only person who is responsible for the child or
2. a member of a couple where
2.1 both members are responsible for the child and
2.2 the claimant has been nominated by the couple jointly as responsible
for the child.
1 ESA Regs 13, reg 41(1)

U4036 Responsible foster parent

In relation to a child, a responsible foster parent means (1)
1. a person who is the only foster parent of that child or
2. a person who is a member of a couple where
2.1
the couple are foster parents in relation to that child and
2.2 the person has been nominated by the couple jointly as the responsible
foster parent.
1 ESA Regs 13, reg 41(1)

U4037 Responsible carer and responsible foster parent - couples and nominations

Joint claimants can nominate (1) which one of them can be regarded as either the
1. responsible carer or
2. responsible foster parent.

1 ESA Regs 13, reg 41(2)

U4038

At any one time, only one person can be nominated as a responsible carer or a
responsible foster parent (1).

1 ESA Regs 13, reg 41(3)

U4039

Where there is more that one child, the nomination applies to all the children for
whom either of the joint claimants is responsible (1).

1 ESA Regs 13, reg 41(4)

U4040

The nomination of a responsible carer or responsible foster parent can change (1)
which member is nominated
1. once in a 12 month period starting from the date of the previous nomination
or
2. on any occasion where the Secretary of State considers that there has been a
change of circumstances which is relevant to the nomination.
1 ESA Regs 13, reg 41(2)

[U4041-U4049]

Claimants subject to no work-related requirements

U4050 Introduction

There are certain claimants who cannot have work-related requirements imposed on
them (1).

1 WR Act 07, s 11D(1)

U4051

The Secretary of State may not impose a work-related requirement on claimants (1) who
1. have LCW who also have LCWRA (2)
2. have regular and substantial caring responsibilities for a severely disabled
3 person
3. are the single person responsible for a child under the age of one (4)
4. have caring responsibilities for one or more severely disabled persons for at
least 35 hours a week but are not entitled to CA (5)
5. are the responsible foster parent of a child aged under one (6)
6. are adopters where
6.1 it is 12 months or less since the date that the child was placed with the
claimant (7) or
6.2 the claimant chose that the 12 months (referred to in 8.1) should run
from a date within 14 days before the child was expected to be placed
with them (8)
7. have enrolled on, been accepted for, or are undertaking, a full-time course of
study or training which is not a course of advanced education where they are
7.1 aged under 21 or are 21 and reached that age whilst undertaking the
course and
7.2 without parental support (9)
8. are entitled to ESA payable at nil rate (10)
9. are pregnant and it is 11 weeks or less before the expected week of
confinement (11)
10. were pregnant and it is 15 weeks or less since the date of confinement (12).
1 WR Act 07, s 11D(1); 2 s 11D(2)(a); 3 s 11D(2)(b); 4 s 11D(2)(c);
5 ESA Regs 13, reg 47(1)(a); 6 reg 47(1)(b); 7 reg 47(1)(c)(i); 8 reg 47(1)(c)(ii);
9 reg 47(1)(d); 10 reg 47(1)(e); 11 reg 47(1)(f); 12 reg 47(1)(g)

U4052 Claimants with LCWRA

A claimant who has LCWRA cannot have a work-related requirement imposed on
them (1).
1 WR Act 07, s 11D(2)(a)

Example

Mark has claimed ESA. When making his claim for ESA, he indicated that the state
of his health would limit his capability for work. The DM requires that Mark attend a
WCA in order to assess his capability for work. Following the WCA, the DM takes
into account the findings of the HCP and determines that Mark has LCWRA. Mark
cannot have any work-related requirement imposed on him.
Caring responsibilities

U4053 Severely disabled U4054

Where the claimant has
1. regular and
2. substantial
caring responsibilities for a severely disabled person then work-related requirements
cannot be imposed on them (1).

1 WR Act 07, s 11D(2)(b)

U4054

Regular and substantial caring responsibilities for a severely disabled person in U4053means (1) that the carer
1. satisfies the conditions of entitlement for CA or
2. would satisfy the conditions of entitlement for CA if their earnings did not
exceed the prescribed limit for CA.
This definition applies regardless of whether or not that the carer has made a claim
for CA (2). This definition does not apply to a person who derives earnings from those
caring responsibilities (3).
1 ESA Regs 13, reg 47(2); 2 reg 47(4); 3 reg 47(3)

Example

Kath has claimed ESA. She is the carer for her elderly father who is in receipt of AA.
Although Kath is caring for her father for at least 35 hours a week, she has not
claimed CA and does not want to. With regards to her award of ESA, Kath is placed
in the no work-related requirements group and this means that work-related
requirements cannot be imposed on her.

U4055 U4056

Where the claimant
1. has caring responsibilities for one or more severely disabled persons for at
least 35 hours a week and
2. does not satisfy the conditions of entitlement to CA then work-related requirements cannot be imposed on them (1).

1 ESA Regs 13, reg 47(1)(a)

U4056

A severely disabled person in U4055 means (1) a person for whom
1. AA (2) or
2. the care component of DLA at the highest or middle rate (3) or
3. CAA payable as
3.1 an increase of IIDB (4) or
3.2 an increase of an old scheme allowance (5) or
3.3 an increase of WC (6) or
3.4 a WDisP (7)
is payable provided that it is payable at a weekly rate of at least that specified in legislation (8). Note:
The meaning of WDisP is prescribed (9). 1 ESA Regs 13, reg 47(5); 2 SS CB Act 92, s 70(2); 3 s 70(2); 4 SS (ICA) Regs, reg 3(1)(a); 5 reg 3(1)(b);
6 reg 3(1)(c); 7 reg 3(1)(d); 8 reg 3(1); SS CB Act 92, Sch 4, Part V, para 2(a);
9 SS (ICA) Regs, reg 3(2)

U4057

The conditions for entitlement to CA are that the claimant
1. is engaged in caring for a severely disabled person for any day (1) and
2. is regularly and substantially engaged in caring for that person (2) and
3. is not gainfully employed (3) and
4. is aged 16 or over (4) and
5. is not in FTE (5) and
6. satisfies prescribed conditions of residence or presence in GB (6). Note 1: The claimant does not have to be related to the severely disabled person (7). Note
2: DMG Chapter 60 provides guidance on CA. 1 SS CB Act 92, s 70(1); 2 s 70(1)(a); 3 s 70(1)(b); 4 s 70(3); 5 s 70(3); 6 s 70(4); 7 SS (ICA) Regs, reg 6

U4058 Caring for a child under the age of one

Where the claimant is the single responsible person for a child under the age of one
then no work-related requirements can be imposed on them (1).
1 WR Act 07, s 11D(2)(c)

[U4059-U4060]

U4061 Adopters

Work-related requirements cannot be placed on a claimant who is an adopter where
it is 12 months or less since the date that the child was placed with the claimant (1).

1 ESA Regs 13, reg 47(1)(c)(i)

U4062

Where a claimant who is an adopter chooses that the 12 month period should start
from a date within 14 days before the child was expected to be placed, then the 52
week period runs from that date (1).
1 ESA Regs 13, reg 47(1)(c)(ii)

Example

Cassie is in receipt of ESA. She is due to adopt a child on 2.12.13. She is aware
that her work-related requirements can be lifted for a period of 12 months. She asks
her adviser that she would like the 12 month period to run from 25.11.13 because
she needs to get things ready at home for when she adopts her child. Cassie is not
subject to work-related requirements for a period of 12 months from 25.11.13.

U4063 Foster parents

Work-related requirements cannot be placed on a claimant who is the responsible
foster parent of a child aged less than one year old (1).
1 ESA Regs 13, reg 47(1)(b)

U4064 Pregnant claimants

Work-related requirements cannot be placed on certain claimants who
1. are or
2. were pregnant.

U4065

A woman who is pregnant and it is 11 weeks or less before her expected week of
confinement cannot be subject to work-related requirements (1).

1 ESA Regs 13, reg 47(1)(f)

U4066

A woman who was pregnant and it is 15 weeks or less since the date of their
confinement cannot be subject to work-related requirements (1).
1 ESA Regs 13, reg 47(1)(g)

Example

Terri gave birth to her daughter on 18.11.13. She makes a successful claim for ESA
on 16.12.13. This means that work-related requirements cannot be placed on Terri
until 3.3.14.

U4067

-

U4069

U4070 Claimants in certain types of education U4071

A person who is receiving education who
1. is undertaking or enrolled on or been accepted for a full-time course of study
or training which is not a course of advanced education and
2. is under the age of 21 or is 21 and reached that age whilst undertaking the
course and
3. is without
parental
support cannot have work-related requirements placed on them (1). Note: ADM Chapter U1 provides guidance on ESA and education.

1 ESA Regs 13, reg 47(1)(d)

U4071

In
U4070 3. without parent support means (1) that the claimant is not being looked
after by the LA and
1. has no parent or
2. cannot live with their parent because the claimant is estranged from them or
there is a serious risk
2.1 to the claimant's physical or mental health or
2.2 the claimant would suffer significant harm if the claimant love with them
or
3. is living away from their parents and neither parent is able to financially
support the claimant because that parent
3.1 has a physical or mental impairment or
3.2 is detained in custody pending trial or sentence or is serving a
sentence or
3.3
is not allowed to enter or re-enter GB. Note: Parent includes any person acting in the place of a parent. 1 ESA Regs 13, reg 47(5)

[U4072-U4099]

U4100 Claimants subject to a work-focused interview requirement only

A work-focused interview requirement is a requirement that the claimant is required
to participate in one or more work-focused interviews (1).
1 WR Act 07, s 11B(1)

U4101 What is a work-focused interview

A work-focused interview is an interview which the claimant is required to participate
in which relates to work or work preparation (1). The Secretary of State may specify
1. how
2. when
and
3. where a work-focused interview is to take place (2).

1 WR Act 07, s 11B(2); 2 s 11B(4)

U4102

The
purposes (1) of a work-focused interview for a claimant are any or all of
1. assessing the claimant's prospects for remaining in or obtaining work
2. assisting or encouraging the claimant to remain in or obtain work
3. identifying activities that will make remaining in or obtaining work more likely
4. identifying
4.1 training or
4.2 educational or
4.3 rehabilitation
opportunities that may make it more likely to remain in or obtain work or be
able to do so
5. identifying current or future work opportunities that are relevant to the
claimant's needs and abilities
1 WR Act 07, s 11B(3); ESA Regs 13, reg 46
Who is subject to a work-focused interview requirement only

U4103 Deleted: [See Memo ADM U4104 U4105

Claimants who
9/13]
1. are the responsible carer for a child aged
1.1 at least one and
Deleted: five
1.2 under three (1) or
2. are the responsible foster parent of a child aged at least one (2) or
3. are the responsible foster parent of a qualifying young person and it would be
unreasonable for the claimant to comply with a work preparation requirement
because that young person has care needs (3) or
4. are a foster parent (but not the responsible foster parent) of a child or
qualifying young person and it would be unreasonable for the claimant to
comply with a work preparation requirement because that child or young
person has care needs (4) or
5. are a foster parent who
5.1 does not have a child or qualifying young person placed with them but
intend to and
5.2 are within eight weeks of having fallen within 2.5 or
6. have become a friend or family carer in relation to a child
6.1 within the last 12 months and
6.2
are the responsible carer for that child (6) are subject to a work-focused interview only (7). 1 WR Act 07, s 11E(1)(a); ESA Regs 13, reg 48(1); 2 reg 48(2)(a); 3 reg 48(2)(b); 4 reg 48(2)(c);
5 reg 48(2)(d); 6 reg 48(2)(e); 7 WR Act 07, s 11E(2)

Example

Jo was in the no work-related requirements group because she was the responsible
carer for a child aged under one. Her child has since had his first birthday. Jo is now
in the work-focused interview requirement only group and has to attend an interview
or otherwise face a reduction in her ESA. Jo's claimant commitment has been
amended to reflect this.

U4104

A friend or family carer in U4103 6. means a person caring for a child who
1. is responsible for the child but is not the child's parent or step-parent and
2. has undertaken to look after the child because the child
2.1 has no parents or has parents who are unable to care or
2.2 would likely be otherwise looked after by the LA because of concerns
about the child's welfare (1).

1 ESA Regs 13, reg 48(3)

U4105

Where a claimant falls into one or more of the categories in U4103 then a work
preparation requirement should not be imposed on them. Any previous work
preparation requirement ceases to have effect if the claimant is subject to a work-
focused interview requirement only (1).
1 WR Act 07, s 11E(3)

[U4106-U4109]

U4110 Claimants subject to a work preparation requirement and work-focused interview

Claimants who do not fall into the
1. no work-related requirements group or
2. work-focused interview requirement only group are subject to a work preparation requirement (1).

1 WR Act 07, s 11F(1)

U4111

A claimant in this group may have a work preparation requirement imposed on
them (1). They may also have a work-focused interview requirement imposed on them
2
too .
1 WR Act 07, s 11F(2)

[U4112-U4999]