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The Universal Credit (Transitional Provisions) Regulations 2014

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Point in time view as at 11/04/2018.

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CHAPTER 3U.K.EFFECT OF TRANSITION TO UNIVERSAL CREDIT

Modification of Claims and Payments Regulations in relation to universal credit claimantsU.K.

15.—(1) Where a claim for universal credit is made by a person who was previously entitled to an existing benefit, regulation 26 of the Claims and Payments Regulations (time within which a claim for universal credit is to be made) applies in relation to that claim with the modification specified in paragraph (2).

(2) In paragraph (3) of regulation 26, after sub-paragraph (a) insert—

“(aa)the claimant was previously in receipt of an existing benefit (as defined in the Universal Credit (Transitional Provisions) Regulations 2014) and notification of expiry of entitlement to that benefit was not sent to the claimant before the date that the claimant's entitlement expired;”.

Persons unable to actU.K.

16.—(1) Paragraph (2) applies where—

(a)a person (“P2”) has been appointed, or treated as appointed, under regulation 33(1) of the Social Security (Claims and Payments) Regulations 1987 M1 (“the 1987 Regulations”) (persons unable to act) to exercise rights and to receive and deal with sums payable on behalf of a person who is unable to act (“P1”); or

(b)a person (“P2”) has been appointed under regulation 18(3) of the Tax Credits (Claims and Notifications) Regulations 2002 (“the 2002 Regulations”) (circumstances where one person may act for another in making a claim – other appointed persons) to act for a person who is unable to act (“P1”) in making a claim for a tax credit.

(2) Where this paragraph applies and P1 is, or may be, entitled to universal credit, the Secretary of State may, if P2 agrees, treat the appointment of P2 as if it were made under regulation 57(1) of the Claims and Payments Regulations (persons unable to act) and P2 may carry out the functions set out in regulation 57(4) of those Regulations in relation to P1.

(3) Paragraph (4) applies where a person (“P2”) was appointed, or treated as appointed, under regulation 57(1) of the Claims and Payments Regulations to carry out functions in relation to a person who is unable to act (“P1”) and who was, or might have been, entitled to universal credit, but who has ceased to be so entitled, or was not in fact so entitled.

(4) Where this paragraph applies—

(a)the Secretary of State may, if P2 agrees, treat the appointment of P2 as if it were made under regulation 33(1) of the 1987 Regulations and P2 may exercise rights and receive and deal with sums payable in respect of existing benefits on behalf of P1; and

(b)the Board (within the meaning of the 2002 Regulations) may, if P2 agrees, treat the appointment of P2 as if it were made under regulation 18(3) of the 2002 Regulations and P2 may act for P1 in making a claim for a tax credit.

Marginal Citations

M1Regulation 33(1) has been amended by S.I. 1999/2572, 2005/337 and 2007/2470.

Waiting daysU.K.

F116A.  . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Advance payments of universal creditU.K.

17.—(1) This regulation applies where—

(a)the Secretary of State is deciding a claim for universal credit, other than a claim which is treated as having been made, in accordance with regulation 9(8) of the Claims and Payments Regulations;

(b)the claimant is, or was previously, entitled to an existing benefit (“the earlier award”); and

(c)if the earlier award terminated before the date on which the claim for universal credit was made, the claim for universal credit was made during the period of one month starting with the date of termination.

(2) Where this regulation applies—

(a)a single claimant may request an advance payment of universal credit;

(b)joint claimants may jointly request such a payment,

at any time during the first assessment period for universal credit.

(3) Where a request has been made in accordance with this regulation, the Secretary of State may make an advance payment to the claimant, or joint claimants, of such amount in respect of universal credit as the Secretary of State considers appropriate.

(4) After an advance payment has been made under this regulation, payments of any award of universal credit to the claimant or, in the case of joint claimants, to either or both of them, may be reduced until the amount of the advance payment is repaid.

Deductions from benefitsU.K.

18.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who—

(i)was entitled to income-based jobseeker's allowance, income-related employment and support allowance or income support (a “relevant award”) on the date on which the claim for universal credit was made or treated as made;

(ii)is a new claimant partner who was, immediately before forming a couple with a person entitled to universal credit, the partner of a person (“P”) who was at that time entitled to a relevant award; or

(iii)is not a new claimant partner and was, immediately before making a claim for universal credit, the partner of a person (“P”) who was at that time entitled to a relevant award, where the award of universal credit is not a joint award to the claimant and P; and

(b)on the relevant date, deductions in respect of fuel costs or water charges were being made under regulation 35 of the Social Security (Claims and Payments) Regulations 1987, in accordance with Schedule 9 to those Regulations M2.

(2) In this regulation, the “relevant date” means—

(a)where paragraph (1)(a)(i) applies and the claimant is not a new claimant partner, the date on which the claim for universal credit was made;

(b)where paragraph (1)(a)(i) applies and the claimant is a new claimant partner, the date on which the claim for universal credit was treated as made;

(c)where paragraph (1)(a)(ii) or (iii) applies, the date on which the claimant ceased to be the partner of P.

(3) Where this regulation applies, deductions in respect of fuel costs or, as the case may be, water charges, may be made from the award of universal credit in accordance with Schedule 6 to the Claims and Payments Regulations, without the need for any consent which would otherwise be required under paragraph 3(3) of that Schedule.

(4) For the purposes of this regulation, a deduction is to be taken into account even if the relevant award subsequently terminated by virtue of an order made under section 150(3) of the Act, regulation 7 or, as the case may be, regulation 8, before the date on which the deduction was first applied.

Marginal Citations

M2Regulation 35 was substituted by S.I. 1988/522 and amended by S.I. 2001/18 and 2002/2441.

Transition from old style ESAU.K.

19.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was entitled to old style ESA on the date on which the claim for universal credit was made or treated as made (“the relevant date”); and

[F2(b)on or before the relevant date it had been determined that the claimant had limited capability for work or limited capability for work-related activity (within the meaning of Part 1 of the 2007 Act).]

(2) Where, on or before the relevant date, it had been determined that the claimant [F3had limited capability for work (within the meaning of Part 1 of the 2007 Act)]—

F4(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the claimant is to be treated as having limited capability for work for the purposes of F5... section 21(1)(a) of the Act.

F6(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Where, on or before the relevant date, it had been determined that the claimant [F7had limited capability for work-related activity (within the meaning of Part 1 of the 2007 Act) or was treated as having limited capability for work-related activity]—

(a)regulation 27(3) of the Universal Credit Regulations does not apply; and

(b)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of those Regulations and section 19(2)(a) of the Act.

(5) Unless the assessment phase applied and had not ended at the relevant date, in relation to a claimant who is treated as having limited capability for work and work-related activity under paragraph (4)(4)(b)—

(a)regulation 28 of the Universal Credit Regulations does not apply; and

(b)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

(6) For the purposes of this regulation, a determination that the claimant [F8had limited capability for work or, as the case may be, limited capability for work-related activity (within the meaning of Part 1 of the 2007 Act)], is to be taken into account even if the award of old style ESA subsequently terminated (in so far as it was an award of income-related employment and support allowance) before the date on which that determination was made, by virtue of an order made under section 150(3) of the Act.

(7) Where a claimant is treated, by virtue of this regulation, as having limited capability for work or, as the case may be, limited capability for work and work-related activity, the Secretary of State may at any time make a fresh determination as to these matters, in accordance with the Universal Credit Regulations.

(8) In this regulation and in regulations 20 to 27—

[F9“assessment phase” has the same meaning as in the 2007 Act M3;]

“incapacity benefit” and “severe disablement allowance” have the same meanings as in Schedule 4 to that Act;

[F10“LCWRA element” has the same meaning as in the Universal Credit Regulations M4.]

(9) For the purposes of this regulation and regulation 20, references to cases in which the assessment phase applied are references to cases in which sections 2(2)(a) [F11and 4(4)(a)] of the 2007 Act applied and references to cases in which the assessment phase did not apply are references to cases in which those sections did not apply M5.

[F12(10) For the purposes of this regulation, references to a determination that the claimant had limited capability for work do not include a determination made under regulation 30 of the Employment and Support Allowance Regulations 2008 (conditions for treating a claimant as having limited capability for work until a determination about limited capability for work has been made).]

Textual Amendments

Marginal Citations

M3See sections 2, 4 and 24(2).

M4See regulation 27.

M5For cases where those sections do not apply, see S.I. 2008/794, regulation 7, amended by S.I. 2008/3051, 2010/840 and 2012/874, 913 and 919.

Transition from old style ESA before the end of the assessment phaseU.K.

20.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was entitled to old style ESA on the date on which the claim for universal credit was made or treated as made (“the relevant date”); and

(b)on the relevant date, the assessment phase in relation to the claimant applied M6 and had lasted for less than 13 weeks.

(2) Where this regulation applies—

(a)regulation 28(2) of the Universal Credit Regulations (period for which the F13... LCWRA element is not to be included) does not apply; and

(b)for the purposes of regulation 28 of those Regulations, the relevant period is—

(i)the period of 13 weeks starting with the first day of the assessment phase; or

(ii)where regulation 5 of the Employment and Support Allowance Regulations 2008 (the assessment phase – previous claimants) applied to the claimant, the period which ends when the sum of the periods for which the claimant was previously entitled to old style ESA and the period for which the claimant is entitled to universal credit is 13 weeks.

(3) Where, on the relevant date, the assessment phase in relation to the claimant applied and had not ended and had lasted for more than 13 weeks—

(a)regulation 28 of the Universal Credit Regulations does not apply;

F14(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)if it is subsequently determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work and work-related activity the LCWRA element is (subject to the provisions of Part 4 of those Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

(4) For the purposes of this regulation, the fact that an assessment phase applied in relation to a claimant on the relevant date is to be taken into account even if the award of old style ESA subsequently terminated (in so far as it was an award of income-related employment and support allowance) before that date by virtue of an order made under section 150(3) of the Act.

Textual Amendments

Marginal Citations

M6See regulation 19(8).

[F15Transition from jobseeker’s allowance following an extended period of sicknessU.K.

20A.—(1) This regulation applies where—

(a)the claimant’s first day of entitlement to universal credit (“the relevant date”), immediately follows the claimant’s last day of entitlement to a jobseeker’s allowance; and

(b)immediately before the relevant date, the claimant was treated as capable of work or as not having limited capability for work under regulation 55ZA of the Jobseeker’s Allowance Regulations 1996 or regulation 46A of the Jobseeker’s Allowance Regulations 2013 (extended period of sickness).

(2) Where this regulation applies—

(a)regulation 28(2) of the Universal Credit Regulations (period for which F16... LCWRA element is not to be included) does not apply; and

(b)for the purposes of regulation 28 of those Regulations, the relevant period is the period starting with the first day of the period for which the claimant was treated as capable of work or as not having limited capability for work as specified in paragraph (1)(b).]

Textual Amendments

Other claimants with limited capability for work: credits only casesU.K.

21.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was entitled to be credited with earnings equal to the lower earnings limit then in force under regulation 8B(2)(iv), (iva) or (v) of the Social Security (Credits) Regulations 1975 M7 (“the 1975 Regulations”) on the date on which the claim for universal credit was made or treated as made (the “relevant date”); and

(b)neither regulation 19 nor regulation 20 applies to that claimant (whether or not, in the case of joint claimants, either of those regulations apply to the other claimant).

(2) Where, on or before the relevant date, it had been determined that the claimant would have limited capability for work (within the meaning of Part 1 of the 2007 Act) if he or she was entitled to old style ESA—

F17(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the claimant is to be treated as having limited capability for work for the purposes of F18... section 21(1)(a) of the Act.

F19(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4) Where, on or before the relevant date, it had been determined that the claimant would have limited capability for work-related activity (within the meaning of Part 1 of the 2007 Act) if he or she was entitled to old style ESA—

(a)regulation 27(3) of the Universal Credit Regulations does not apply; and

(b)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of those Regulations and section 19(2)(a) of the Act.

(5) Unless the notional assessment phase applied and had lasted for less than 13 weeks at the relevant date, in relation to a claimant who is treated as having limited capability for work and work-related activity under paragraph (4)—

(a)regulation 28 of the Universal Credit Regulations does not apply; and

(b)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

(6) Where, on the relevant date, the notional assessment phase in relation to the claimant to whom the award was made applied and had lasted for less than 13 weeks—

(a)regulation 28(2) of the Universal Credit Regulations does not apply; and

(b)for the purposes of regulation 28 of those Regulations, the relevant period is the period of 13 weeks starting with the first day of the notional assessment phase.

(7) Where, on the relevant date, the notional assessment phase in relation to the claimant applied and had not ended and had lasted for more than 13 weeks—

(a)regulation 28 of the Universal Credit Regulations does not apply;

F20(b). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(c)if it is subsequently determined in accordance with Part 5 of those Regulations that the claimant has limited capability for work and work-related activity, the LCWRA element is (subject to the provisions of Part 4 of those Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

(8) Where a claimant is treated, by virtue of this regulation, as having limited capability for work or, as the case may be, limited capability for work and work-related activity, the Secretary of State may at any time make a fresh determination as to these matters, in accordance with the Universal Credit Regulations.

(9) For the purposes of this regulation—

(a)a determination that the claimant would have limited capability for work or, as the case may be, limited capability for work-related activity, if the claimant was entitled to old style ESA is to be taken into account even if the claimant subsequently ceased to be entitled as mentioned in paragraph (1)(a) before the date on which that determination was made because he or she became entitled to universal credit;

(b)the fact that a notional assessment phase applied in relation to a claimant on the relevant date is to be taken into account even if the claimant subsequently ceased to be entitled as mentioned in paragraph (1)(a) before that date because the claimant became entitled to universal credit.

(c)references to a determination that the claimant would have limited capability for work if the claimant was entitled to old style ESA do not include a determination made under regulation 30 of the Employment and Support Allowance Regulations 2008 M8 (conditions for treating a claimant as having limited capability for work until a determination about limited capability for work has been made);

(d)references to cases in which the notional assessment phase applied are references to cases in which sections 2(2)(a) [F21and 4(4)(a)] of the 2007 Act would have applied to the claimant if he or she had been entitled to old style ESA in addition to the entitlement mentioned in paragraph (1)(a), but do not include cases in which the claimant is entitled as mentioned in paragraph (1)(a) under regulation 8B(2)(iva) of the 1975 Regulations;

(e)subject to sub-paragraph (f), the “notional assessment phase” is the period of 13 weeks starting on the day on which the assessment phase would have started in relation to the claimant, if he or she had been entitled to old style ESA and sections 2(2)(a) [F22and 4(4)(a)] of the 2007 Act had applied;

(f)the notional assessment phase has not ended if, at the end of the 13 week period referred to in sub-paragraph (e), no determination has been made as to whether a claimant would have limited capability for work (within the meaning of Part 1 of the 2007 Act) if the claimant was entitled to old style ESA.

Textual Amendments

Marginal Citations

M7S.I. 1975/556. Regulation 8B was inserted by S.I. 1996/2367 and amended by S.I. 2000/3120, 2003/521, 2008/1554, 2010/385, 2012/913 and 2013/630. Sub-paragraph (a)(iva) was inserted by S.I. 2012/913.

M8Regulation 30 has been amended by S.I. 2010/840 and S.I. 2011/674.

Transition from income support payable on the grounds of incapacity for work or disability [F23and other incapacity benefits]U.K.

22.—(1) This regulation applies where an award of universal credit is made to a claimant [F24(other than a claimant to whom regulation 23 or 24 applies)] who was entitled to income support on the grounds of incapacity for work or disability on the date on which the claim for universal credit was made or treated as made [F25or is entitled to incapacity benefit or severe disablement allowance].

(2) Where this regulation applies—

(a)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work—

(i)the claimant is to be treated as having had limited capability for work for the purposes of regulation 27(1)(a) of the Universal Credit Regulations (award to include LCW and LCWRA elements) from the beginning of the first assessment period;

(ii)regulation 28 of those Regulations (period for which the LCW or LCWRA element is not to be included) does not apply; and

(iii)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award with effect from the beginning of the first assessment period;

(b)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work and work-related activity—

(i)the claimant is to be treated as having had limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of the Universal Credit Regulations from the beginning of the first assessment period;

(ii)regulation 28 of those Regulations does not apply; and

(iii)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

(3) In this regulation—

“income support on the grounds of incapacity for work or disability” means an award of income support which is an “existing award” within the meaning of Schedule 4 to the 2007 Act.

Textual Amendments

Transition from other incapacity benefits[F26: assessment under the 2010 Regulations] U.K.

23.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who is entitled to incapacity benefit or severe disablement allowance M9 [F27(“the relevant award”)]; and

[F28(b)on or before the date on which the claim for universal credit is made or treated as made, a notice has been issued to the claimant under regulation 4 of the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No.2) Regulations 2010 (“the 2010 Regulations”)M10 (notice commencing the conversion phase).]

[F29(1A) Where this regulation applies, regulations 27(3) (award to include LCW and LCWRA elements) and 38 (determination of limited capability for work and work-related activity) of the Universal Credit Regulations do not apply and the question whether a claimant has limited capability for work, or for work and work-related activity, is to be determined, for the purposes of the Act and the Universal Credit Regulations, in accordance with this regulation.]

(2) [F30Where it is determined in accordance with the 2010 Regulations that the relevant award qualifies for conversion into an award in accordance with regulation 7 of those Regulations (qualifying for conversion) and that award includes the work-related activity component]—

F31(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the claimant is to be treated as having had limited capability for work for the purposes of regulation 27(1)(a) of the Universal Credit Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of those Regulations (period for which LCW or LCWRA element is not to be included) does not apply;

(d)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work for the purposes of section 21(1)(a) of the Act.

(3) [F32Where it is determined in accordance with the 2010 Regulations that the relevant award qualifies for conversion into an award in accordance with regulation 7 of those Regulations and that award includes the support component]—

F33(a). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b)the claimant is to be treated as having had limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of the Universal Credit Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of those Regulations does not apply;

(d)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of section 19(2)(a) of the Act.

Textual Amendments

Marginal Citations

M9See regulation 19(8).

M10S.I. 2010/1907. Regulation 7 was amended by S.I. 2010/2430 and 2012/913.

Transition from other incapacity benefits: claimants approaching pensionable ageU.K.

24.—(1) This paragraph applies where—

(a)an award of universal credit is made to a claimant who is entitled to incapacity benefit or severe disablement allowance;

(b)no notice has been issued to the claimant under regulation 4 (notice commencing the conversion phase) of the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No.2) Regulations 2010 (“the 2010 Regulations”);

(c)the claimant will reach pensionable age (within the meaning of the 2010 Regulations M11) within the period of one year; and

(d)the claimant is also entitled to—

(i)personal independence payment, where neither the daily living component nor the mobility component is payable at the enhanced rate M12;

(ii)disability living allowance under section 71 of the Social Security Contributions and Benefits Act 1992 (“the 1992 Act”), where the care component is payable at the middle rate within the meaning of section 72(4) of that Act or the mobility component is payable at the lower rate within the meaning of section 73(11) of that Act (or both components are payable at those rates);

(iii)attendance allowance under section 64 of the 1992 Act, where the allowance is payable at the lower rate in accordance with section 65 of that Act;

(iv)an increase in the weekly rate of disablement pension under section 104 of the 1992 Act (increase where constant attendance needed), where the increase is of an amount which is equal to or less than the amount specified in paragraph 2(a) of Part V of Schedule 4 to that Act; or

(v)any payment based on the need for attendance which is paid as an addition to a war disablement pension (which means any retired pay or pension or allowance payable in respect of disablement under an instrument specified in section 639(2) of the Income Tax (Earnings and Pensions) Act 2003 M13), where the amount of that payment is equal to or less than the amount specified in paragraph 2(a) of Part V of Schedule 4 to the 1992 Act.

(2) Where paragraph (1) applies and paragraph (3) does not apply—

(a)regulation 27(3) of the Universal Credit Regulations (award to include LCW and LCWRA elements) does not apply;

(b)the claimant is to be treated as having limited capability for work for the purposes of regulation 27(1)(a) of those Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of the Universal Credit Regulations (period for which LCW or LCWRA element is not to be included) does not apply;

(d)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work for the purposes of section 21(1)(a) of the Act.

(3) This paragraph applies where—

(a)an award of universal credit is made to a claimant who is entitled to incapacity benefit or severe disablement allowance;

(b)no notice has been issued to the claimant under regulation 4 of the 2010 Regulations;

(c)the claimant will reach pensionable age (within the meaning of the 2010 Regulations) within the period of one year; and

(d)the claimant is also entitled to—

(i)personal independence payment, where either the daily living component or the mobility component is (or both components are) payable at the enhanced rate;

(ii)disability living allowance under section 71 of the 1992 Act, where the care component is payable at the highest rate within the meaning of section 72(4) of that Act or the mobility component is payable at the higher rate within the meaning of section 73(11) of that Act (or both components are payable at those rates);

(iii)attendance allowance under section 64 of the 1992 Act, where the allowance is payable at the higher rate in accordance with section 65 of that Act;

(iv)armed forces independence payment under the Armed Forces and Reserve Forces (Compensation Scheme) Order 2011;

(v)an increase in the weekly rate of disablement pension under section 104 of the 1992 Act, where the increase is of an amount which is greater than the amount specified in paragraph 2(a) of Part V of Schedule 4 to that Act; or

(vi)any payment based on the need for attendance which is paid as an addition to a war disablement pension (which means any retired pay or pension or allowance payable in respect of disablement under an instrument specified in section 639(2) of the Income Tax (Earnings and Pensions) Act 2003), where the amount of that payment is greater than the amount specified in paragraph 2(a) of Part V of Schedule 4 to the 1992 Act.

(4) Where paragraph (3) applies (whether or not paragraph (1) also applies)—

(a)regulation 27(3) of the Universal Credit Regulations does not apply;

(b)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of those Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of the Universal Credit Regulations does not apply;

(d)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of section 19(2)(a) of the Act.

Marginal Citations

M11See regulation 2(1).

M12See the Act, sections 78-80.

Transition from other incapacity benefits: supplementaryU.K.

25.—(1) Where an award of universal credit is made to a claimant who is entitled to incapacity benefit or severe disablement allowance, regulation 66 of the Universal Credit Regulations (what is included in unearned income?) applies to the claimant as if incapacity benefit or, as the case may be, severe disablement allowance were added to the descriptions of unearned income in paragraph (1)(b) of that regulation.

(2) For the purposes of regulations [F3422,] 23 and 24 and this regulation only, incapacity benefit and severe disablement allowance are prescribed benefits under paragraph 1(2)(b) of Schedule 6 to the Act.

Textual Amendments

Other claimants with incapacity for work: credits only cases where claimant is approaching pensionable ageU.K.

26.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was entitled to be credited with earnings equal to the lower earnings limit then in force under regulation 8B(2)(a)(i), (ii) or (iii) of the Social Security (Credits) Regulations 1975 on the date on which the claim for universal credit was made or treated as made;

(b)the claimant will reach pensionable age within the meaning of the Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No.2) Regulations 2010 within the period of one year; and

(c)[F35none of regulations 22, 23 or 24 apply] to that claimant (whether or not, in the case of joint claimants, [F36any] of those regulations apply to the other claimant).

(2) Where the claimant is entitled to a payment, allowance or increased rate of pension specified in regulation 24(1)(d) and is not entitled to a payment, allowance or increased rate of pension specified in regulation 24(3)(d)—

(a)regulation 27(3) of the Universal Credit Regulations (award to include LCW and LCWRA elements) does not apply;

(b)the claimant is to be treated as having limited capability for work for the purposes of regulation 27(1)(a) of those Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of the Universal Credit Regulations (period for which the LCW or LCWRA element is not to be included) does not apply;

(d)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work for the purposes of section 21(1)(a) of the Act.

(3) Where the claimant is entitled to a payment, allowance or increased rate of pension specified in regulation 24(3)(d) (whether or not the claimant is also entitled to a payment, allowance or increased rate of pension specified in regulation 24(1)(d))—

(a)regulation 27(3) of the Universal Credit Regulations does not apply;

(b)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of those Regulations from the beginning of the first assessment period;

(c)regulation 28(1) of the Universal Credit Regulations does not apply;

(d)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period; and

(e)the claimant is to be treated as having limited capability for work and work-related activity for the purposes of section 19(2)(a) of the Act.

[F37(4) Where the claimant is not entitled to a payment, allowance or increased rate of pension specified in either regulation 24(1)(d) or regulation 24(3)(d)—

(a)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work—

(i)the claimant is to be treated as having had limited capability for work for the purposes of regulation 27(1)(a) of the Universal Credit Regulations from the beginning of the first assessment period;

(ii)regulation 28 of the Universal Credit Regulations does not apply; and

(iii)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award with effect from the beginning of the first assessment period; and

(b)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work and work-related activity—

(i)the claimant is to be treated as having had limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of the Universal Credit Regulations from the beginning of the first assessment period;

(ii)regulation 28 of the Universal Credit Regulations does not apply; and

(iii)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.]

Textual Amendments

Other claimants with incapacity for work: credits only casesU.K.

27.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was entitled to be credited with earnings equal to the lower earnings limit then in force under regulation 8B(2)(a)(i), (ii) or (iii) of the Social Security (Credits) Regulations 1975 on the date on which the claim for universal credit was made or treated as made; and

(b)none of regulations 22, 23, 24 or 26 apply to that claimant (whether or not, in the case of joint claimants, any of those regulations apply to the other claimant).

(2) Where this regulation applies—

(a)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work—

(i)the claimant is to be treated as having had limited capability for work for the purposes of regulation 27(1)(a) of the Universal Credit Regulations (award to include LCW and LCWRA elements) from the beginning of the first assessment period;

(ii)regulation 28 of the Universal Credit Regulations (period for which the LCW or LCWRA element is not to be included) does not apply; and

(iii)the LCW element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award with effect from the beginning of the first assessment period;

(b)if it is determined in accordance with Part 5 of the Universal Credit Regulations that the claimant has limited capability for work and work-related activity—

(i)the claimant is to be treated as having had limited capability for work and work-related activity for the purposes of regulation 27(1)(b) of the Universal Credit Regulations from the beginning of the first assessment period;

(ii)regulation 28 of the Universal Credit Regulations does not apply; and

(iii)the LCWRA element is (subject to the provisions of Part 4 of the Universal Credit Regulations) to be included in the award of universal credit with effect from the beginning of the first assessment period.

Meaning of “qualifying young person”U.K.

28.  Where a person who would (apart from the provision made by this regulation) be a “qualifying young person” within the meaning of regulation 5 of the Universal Credit Regulations is entitled to an existing benefit—

(a)that person is not a qualifying young person for the purposes of the Universal Credit Regulations; and

(b)regulation 5(5) of those Regulations applies as if, after “a person who is receiving” there were inserted “ an existing benefit (within the meaning of the Universal Credit (Transitional Provisions) Regulations 2014), ”.

Support for housing costsU.K.

29.—(1) Paragraph (3) applies where—

(a)an award of universal credit is made to a claimant who—

(i)was entitled to income-based jobseeker's allowance, income-related employment and support allowance or income support (a “relevant award”) at any time during the period of one month ending with the day on which the claim for universal credit was made or treated as made (or would have been so entitled were it not for termination of that award by virtue of an order made under section 150(3) of the Act or the effect of these Regulations); or

(ii)was at any time during the period of one month ending with the day on which the claim for universal credit was made or treated as made, the partner of a person (“P”) who was at that time entitled to a relevant award, where the award of universal credit is not a joint award to the claimant and P; and

(b)on the relevant date, the relevant award included an amount in respect of housing costs under—

(i)[F38paragraph 16 of Schedule 2] to the Jobseeker's Allowance Regulations 1996 M14 (“the 1996 Regulations”);

(ii)[F39paragraph 18 of Schedule 6] to the Employment and Support Allowance Regulations 2008 M15 (“the 2008 Regulations”); or, as the case may be,

(iii)[F40paragraph 17 of Schedule 3] to the Income Support (General) Regulations 1987 M16 (“the 1987 Regulations”).

(2) In this regulation, the “relevant date” means—

(a)where paragraph (1)(a)(i) applies and the claimant was not entitled to the relevant award on the date on which the claim for universal credit was made or treated as made, the date on which the relevant award terminated;

(b)where paragraph (1)(a)(i) applies, the claimant is not a new claimant partner and he or she was entitled to the relevant award on the date on which the claim for universal credit was made, that date;

(c)where paragraph (1)(a)(i) applies, the claimant is a new claimant partner and he or she was entitled to the relevant award on the date on which the claim for universal credit was treated as made, that date;

(d)where paragraph (1)(a)(ii) applies, the date on which the claimant ceased to be the partner of P or, if earlier, the date on which the relevant award terminated.

(3) Where this paragraph applies, paragraph 5 of Schedule 5 to the Universal Credit Regulations (no housing costs element under this Schedule for qualifying period) does not apply.

(4) Paragraph (5) applies where paragraph (1)(a) applies, but the relevant award did not include an amount in respect of housing costs because the claimant's entitlement (or, as the case may be, P's entitlement) was nil by virtue of—

(a)paragraph 6(1)(c) or 7(1)(b) of Schedule 2 to the 1996 Regulations;

(b)paragraph 8(1)(c) or 9(1)(b) of Schedule 6 to the 2008 Regulations; or, as the case may be,

(c)paragraph 6(1)(c) or 8(1)(b) of Schedule 3 M17 to the 1987 Regulations.

(5) Where this paragraph applies—

(a)paragraph 5(2) of Schedule 5 to the Universal Credit Regulations does not apply; and

(b)the “qualifying period” referred to in paragraph 5 of that Schedule is the period of [F41273] days starting with the first day on which the claimant (or, as the case may be, P) was entitled to the relevant award, taking into account any period which was treated as a period of continuing entitlement under—

(i)paragraph 13 of Schedule 2 to the 1996 Regulations M18;

(ii)paragraph 15 of Schedule 6 to the 2008 Regulations M19; or, as the case may be,

(iii)paragraph 14 of Schedule 3 to the 1987 Regulations M20,

provided that, throughout that part of the qualifying period after the award of universal credit is made, receipt of universal credit is continuous and the claimant otherwise qualifies for the inclusion of an amount calculated under Schedule 5 to the Universal Credit Regulations in their award.

(6) For the purposes of—

(a)paragraph (1)(b) of this regulation, inclusion of an amount in respect of housing costs in a relevant award is to be taken into account even if the relevant award subsequently terminated by virtue of an order made under section 150(3) of the Act, regulation 7 or, as the case may be, regulation 8, before the date on which that amount was included in the award;

(b)paragraph (5)(b) of this regulation, entitlement to a relevant award is to be treated as having continued until the relevant date even if the award subsequently terminated by virtue of an order made under section 150(3) of the Act, regulation 7 or, as the case may be, regulation 8, before that date.

Textual Amendments

F38Words in reg. 29(1)(b)(i) substituted (with effect in accordance with regs.19 - 21 of the amending S.I.) by The Loans for Mortgage Interest Regulations 2017 (S.I. 2017/725), reg. 1(2)(a), Sch. 5 para. 6(a)

F39Words in reg. 29(1)(b)(ii) substituted (with effect in accordance with regs.19 - 21 of the amending S.I.) by The Loans for Mortgage Interest Regulations 2017 (S.I. 2017/725), reg. 1(2)(a), Sch. 5 para. 6(b)

F40Words in reg. 29(1)(b)(iii) substituted (with effect in accordance with regs.19 - 21 of the amending S.I.) by The Loans for Mortgage Interest Regulations 2017 (S.I. 2017/725), reg. 1(2)(a), Sch. 5 para. 6(c)

Marginal Citations

M14S.I. 1996/207. Paragraph 15 was amended by S.I. 2008/2767; paragraph 16 was amended by S.I. 2006/217 and 2378. The Regulations have been modified in their application to certain claimants by S.I. 2008/3195, as amended by S.I. 2009/3257 and 2011/2425.

M15S.I. 2008/794. The Regulations have been modified in their application to certain claimants by S.I. 2008/3195, as amended by S.I. 2009/3257.

M16S.I. 1987/1967. Paragraph 16 was amended by S.I. 2008/2767; paragraph 17 was amended by S.I. 2006/217 and 2378. The Regulations have been modified in their application to certain claimants by S.I. 2008/3195, as amended by S.I. 2009/3257.

M17Paragraphs 6(1) and 8(1) were amended by S.I. 1995/2927.

M18Paragraph 13 was amended by S.I. 1996/1516, 1517 and 2538, 1997/827 and 2863, 1998/2231, 1999/714, 1921 and 2860, 2000/724 and 1978, 2001/488 and 1029, 2002/841 and 3019, 2005/2465, 2006/2378, 2008/698, 1554, 1826 and 2767, 2009/480 and 2011/674 and 2425. See also paragraph 18(1)(c) of Schedule 2.

M19Paragraph 15 was amended by S.I. 2008/2428, 2011/674, 2425 and 2428 and 2013/388 and 591. See also paragraph 20(1)(c) of Schedule 6.

M20Paragraph 14 was amended by S.I. 1995/2927, 1996/206 and 1944, 1997/2863, 1998/2231, 1999/714, 1921 and 3178, 2000/724 and 1981, 2001/488 and 1029, 2002/841 and 3019, 2005/2465, 2006/2378, 2008/698, 1554, 2428 and 2767 and 2011/674. See also S.I. 1996/206, regulation 32.

Sanctions: transition from old style ESAU.K.

30.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was previously entitled to old style ESA (“the ESA award”); and

(b)on the relevant date, payments in respect of the ESA award were reduced under regulation 63 of the Employment and Support Allowance Regulations 2008 M21 (“the 2008 Regulations”).

(2) In this regulation, the “relevant date” means—

(a)where the claimant was not entitled to old style ESA on the date on which the claim for universal credit was made or treated as made, the date on which the ESA award terminated;

(b)where the claimant is not a new claimant partner and was entitled to old style ESA on the date on which the claim for universal credit was made, that date;

(c)where the claimant is a new claimant partner and was entitled to old style ESA on the date on which the claim for universal credit was treated as made, that date.

(3) Where this regulation applies—

(a)the failure which led to reduction of the ESA award (“the ESA failure”) is to be treated, for the purposes of the Universal Credit Regulations, as a failure which is sanctionable under section 27 of the Act;

(b)the award of universal credit is to be reduced in relation to the ESA failure, in accordance with the provisions of this regulation and Chapter 2 of Part 8 of the Universal Credit Regulations (sanctions), as modified by this regulation; and

(c)the reduction is to be treated, for the purposes of the Universal Credit Regulations, as a reduction under section 27 of the Act.

(4) The reduction period for the purposes of the Universal Credit Regulations M22 is a period of the number of days which is equivalent to the length of the fixed period applicable to the person under regulation 63(7) of the 2008 Regulations in relation to the ESA failure, minus—

(a)the number of days (if any) in that period in respect of which the amount of old style ESA was reduced; and

(b)if the ESA award terminated before the first date of entitlement to universal credit in connection with the current award, the number of days (if any) in the period after termination of that award, before the start of the universal credit award.

(5) Accordingly, regulation 101 of the Universal Credit Regulations (general principles for calculating reduction periods) applies in relation to the ESA failure as if, in paragraphs (1) and (3), for “in accordance with regulations 102 to 105”, there were substituted “ in accordance with regulation 30 of the Universal Credit (Transitional Provisions) Regulations 2014 ”.

(6) For the purposes of this regulation, a determination that payments in respect of the ESA award are to be reduced under regulation 63 of the 2008 Regulations is to be taken into account even if the ESA award subsequently terminated (in so far as it was an award of income-related employment and support allowance) on a date before the date on which that determination was made, by virtue of an order made under section 150(3) of the Act.

Marginal Citations

M21Regulation 63 was amended by S.I. 2011/1349, 2012/2756 and 2013/630.

M22See regulation 101(1).

Escalation of sanctions: transition from old style ESAU.K.

31.—(1) This regulation applies where an award of universal credit is made to a claimant who was at any time previously entitled to old style ESA.

(2) Where this regulation applies, for the purposes of determining the reduction period under regulation 104 of the Universal Credit Regulations (low-level sanction) in relation to a sanctionable failure by the claimant, other than a failure which is treated as sanctionable by virtue of regulation 30—

(a)a reduction of universal credit in accordance with regulation 30; and

(b)any reduction of old style ESA under the Employment and Support Allowance Regulations 2008 (“the 2008 Regulations”) which did not result in a reduction under regulation 30,

is, subject to paragraph (3), to be treated as arising from a sanctionable failure for which the reduction period which applies is the number of days which is equivalent to the length of the fixed period which applied under regulation 63 of the 2008 Regulations.

(3) In determining a reduction period under regulation 104 of the Universal Credit Regulations in accordance with paragraph (2), no account is to be taken of—

(a)a reduction of universal credit in accordance with regulation 30 if, at any time after that reduction, the claimant was entitled to an existing benefit;

(b)a reduction of old style ESA under the 2008 Regulations if, at any time after that reduction, the claimant was entitled to universal credit, new style ESA or new style JSA, and was subsequently entitled to an existing benefit.

Sanctions: transition from old style JSAU.K.

32.—(1) This regulation applies where—

(a)an award of universal credit is made to a claimant who was previously entitled to old style JSA (“the JSA award”);

(b)on the relevant date, payments in respect of the JSA award were reduced under section 19 (as it applied either before or after substitution by the Act M23) or section 19A of the Jobseekers Act 1995 (“the 1995 Act”), or under regulation 69B of the Jobseeker's Allowance Regulations 1996 M24 (“the 1996 Regulations”); and

(c)if the JSA award was made to a joint-claim couple within the meaning of the 1995 Act and the reduction related to—

(i)in the case of a reduction under section 19 as it applied before substitution by the Act, circumstances relating to only one member of the couple; or,

(ii)in the case of a reduction under section 19 as it applied after substitution by the Act, a sanctionable failure by only one member of the couple,

the award of universal credit was made to that person.

(2) In this regulation, the “relevant date” means—

(a)where the claimant was not entitled to old style JSA on the date on which the claim for universal credit was made or treated as made, the date on which the JSA award terminated;

(b)where the claimant is not a new claimant partner and was entitled to old style JSA on the date on which the claim for universal credit was made, that date;

(c)where the claimant is a new claimant partner and was entitled to old style JSA on the date on which the claim for universal credit was treated as made, that date.

(3) Where this regulation applies—

(a)the circumstances or failure which led to reduction of the JSA award (in either case, “the JSA failure”) is to be treated, for the purposes of the Universal Credit Regulations, as—

(i)a failure which is sanctionable under section 26 of the Act, where the reduction was under section 19 of the 1995 Act; or

(ii)a failure which is sanctionable under section 27 of the Act, where the reduction was under section 19A of the 1995 Act or regulation 69B of the 1996 Regulations;

(b)the award of universal credit is to be reduced in relation to the JSA failure, in accordance with the provisions of this regulation and Chapter 2 of Part 8 of the Universal Credit Regulations (sanctions), as modified by this regulation; and

(c)the reduction is to be treated, for the purposes of the Universal Credit Regulations, as a reduction under section 26 or, as the case may be, section 27 of the Act.

(4) The reduction period for the purposes of the Universal Credit Regulations is a period of the number of days which is equivalent to the length of the period of reduction which is applicable to the person under regulation 69, 69A or 69B of the 1996 Regulations, minus—

(a)the number of days (if any) in that period in respect of which the amount of old style JSA was reduced; and

(b)if the award of old style JSA terminated before the first date of entitlement to universal credit in connection with the current award, the number of days (if any) in the period after termination of that award, before the start of the universal credit award.

(5) Accordingly, regulation 101 of the Universal Credit Regulations applies in relation to the JSA failure as if, in paragraphs (1) and (3), for “in accordance with regulations 102 to 105”, there were substituted “ in accordance with regulation 32 of the Universal Credit (Transitional Provisions) Regulations 2014 ”.

(6) Where the JSA award was made to a joint-claim couple within the meaning of the 1995 Act and the JSA failure related to only one member of the couple, the daily reduction rate for the purposes of the Universal Credit Regulations M25 is the amount calculated in accordance with regulation 70(3) of the 1996 Regulations M26 in respect of the JSA award, divided by seven and rounded down to the nearest 10 pence, unless regulation 111(2) or (3) of the Universal Credit Regulations (daily reduction rate) applies.

(7) Where the daily reduction rate is to be determined in accordance with paragraph (6), regulation 111(1) of the Universal Credit Regulations applies in relation to the JSA failure as if, for the words from “an amount equal to” to the end there were substituted the words “ an amount determined in accordance with regulation 32 of the Universal Credit (Transitional Provisions) Regulations 2014 ”.

(8) For the purposes of this regulation, a determination that payments in respect of the JSA award are to be reduced under regulation 69, 69A or 69B of the 1996 Regulations is to be taken into account even if the JSA award subsequently terminated (in so far as it was an award of income-based jobseeker's allowance) on a date before the date on which that determination was made, by virtue of an order made under section 150(3) of the Act.

Marginal Citations

M23See section 46.

M24Regulation 69B was inserted by S.I. 2012/2568 and amended by S.I. 2013/443.

M25See regulation 111.

M26Regulation 70 was substituted by S.I. 2012/2568.

Escalation of sanctions: transition from old style JSAU.K.

33.—(1) This regulation applies where an award of universal credit is made to a claimant who was at any time previously entitled to old style JSA.

(2) Where this regulation applies, for the purposes of determining the applicable reduction period under regulation 102 (higher-level sanction), 103 (medium-level sanction) or 104 (low-level sanction) of the Universal Credit Regulations in relation to a sanctionable failure by the person, other than a failure which is treated as sanctionable by virtue of regulation 32—

(a)a reduction of universal credit in accordance with regulation 32; and

(b)any reduction of old style JSA under section 19 or 19A of the Jobseekers Act 1995 (“the 1995 Act”), or under regulation 69B of the 1996 Regulations which did not result in a reduction under regulation 32, is, subject to paragraph (3), to be treated as arising from a sanctionable failure for which the reduction period is the number of days which is equivalent to the length of the period which applied under regulation 69, 69A or 69B of the 1996 Regulations.

(3) In determining a reduction period under regulation 102, 103 or 104 of the Universal Credit Regulations in accordance with paragraph (2), no account is to be taken of—

(a)a reduction of universal credit in accordance with regulation 32 if, at any time after that reduction, the claimant was entitled to an existing benefit;

(b)a reduction of old style JSA under section 19 or 19A of the 1995 Act, or under regulation 69B of the 1996 Regulations if, at any time after that reduction, the claimant was entitled to universal credit, new style ESA or new style JSA, and was subsequently entitled to an existing benefit.

Sanctions: temporary return to certain existing benefitsU.K.

34.  If an award of universal credit terminates while there is an outstanding reduction period (within the meaning of regulation 107 of the Universal Credit Regulations) and the claimant becomes entitled to old style JSA, old style ESA or income support (“the relevant benefit”) during that period—

(a)regulation 107 of the Universal Credit Regulations (reduction period to continue where award terminates) ceases to apply; and

(b)the reduction period is to terminate on the first date of entitlement to the relevant benefit.

Loss of benefit penalties: transition from existing benefits other than tax creditsU.K.

35.—(1) Subject to paragraph (6), this regulation applies in the cases set out in paragraphs (2) to (4).

(2) The first case is where—

(a)an award of universal credit is made to a claimant who is an offender;

(b)the claimant was entitled to old style JSA, old style ESA, income support or housing benefit (“the earlier award”) at any time during the period of one month ending with the date on which the claim for universal credit was made or treated as made (or would have been so entitled were it not for termination of that award by virtue of an order made under section 150(3) of the Act or, as the case may be, the effect of these Regulations); and

(c)payments in respect of the earlier award were, on the relevant date, subject to a restriction under section 6B (loss of benefit in case of conviction, penalty or caution for benefit offence), 7 (repeated benefit fraud) or 8 (effect of offence on joint-claim jobseeker's allowance) of the 2001 Act.

(3) The second case is where—

(a)an award of universal credit is made to a claimant who is an offender;

(b)another person who was the offender's family member (but is no longer their family member) was entitled to old style JSA, old style ESA, income support or housing benefit (“the earlier award”) at any time during the period of one month ending with the date on which the claim for universal credit was made or treated as made; and

(c)payments in respect of the earlier award were, on the relevant date, subject to a restriction under section 9 (effect of offence on benefits for members of offender's family) of the 2001 Act.

(4) The third case is where—

(a)an award of universal credit is made to a claimant who is an offender's family member;

(b)the offender, or the claimant, was entitled to old style JSA, old style ESA, income support or housing benefit (“the earlier award”) at any time during the period of one month ending with the date on which the claim for universal credit was made or treated as made; and

(c)payments in respect of the earlier award were, on the relevant date, subject to a restriction under section 6B, 7, 8 or, as the case may be, 9 of the 2001 Act.

(5) Where this regulation applies—

(a)any subsequent payment of universal credit to the claimant in respect of an assessment period which falls wholly or partly within the remainder of the disqualification period applicable to the offender is to be reduced in accordance with regulation 36; and

(b)regulation 3ZB of the 2001 Regulations M27 does not apply.

(6) This regulation does not apply if the earlier award was a joint-claim jobseeker's allowance and—

(a)payments in respect of the award were, on the relevant date, subject to a restriction under section 8(2) of the 2001 Act; or

(b)the award of universal credit is not made to joint claimants who were, on the relevant date, both entitled to the joint-claim jobseeker's allowance.

(7) In this regulation and in regulation 36—

“the 2001 Act” means the Social Security Fraud Act 2001 M28;

“the 2001 Regulations” means the Social Security (Loss of Benefit) Regulations 2001 M29;

“disqualification period” has the meaning given in the 2001 Act M30, interpreted in accordance with the 2001 Regulations M31;

“earlier award” is to be interpreted in accordance with paragraph (2)(b), (3)(b) or, as the case may be, (4)(b) and, for the purposes of regulation 36, where there is more than one earlier award, the term refers to the award to which the claimant became entitled most recently;

“offender” means an offender within the meaning of the 2001 Act M32;

“offender's family member” has the same meaning as in the 2001 Act M33;

“the relevant date” means—

(a)

in relation to the first case—

(i)

where the claimant was not entitled to the earlier award on the date on which the claim for universal credit was made or treated as made, the date on which the earlier award terminated;

(ii)

where the claimant is not a new claimant partner and was entitled to the earlier award on the date on which the claim for universal credit was made, that date;

(iii)

where the claimant is a new claimant partner and was entitled to the earlier award on the date on which the claim for universal credit was treated as made, that date;

(b)

in relation to the second case, the date on which the person entitled to the earlier award ceased to be the offender's family member or, if the award terminated before that date, the date on which the earlier award terminated;

(c)

in relation to the third case—

(i)

where the claimant was entitled to the earlier award but that entitlement terminated before the date on which the claim for universal credit was made or treated as made, the date on which the earlier award terminated;

(ii)

where the claimant is not a new claimant partner and was entitled to the earlier award on the date on which the claim for universal credit was made, that date;

(iii)

where the claimant is a new claimant partner and was entitled to the earlier award on the date on which the claim for universal credit was treated as made, that date;

(iv)

where the offender's family member was entitled to the earlier award, the date on which that person ceased to be the offender's family member or, if earlier, the date on which the earlier award terminated.

(8) For the purposes of this regulation, the fact that payments in respect of an earlier award were subject to a restriction is to be taken into account, even if the earlier award subsequently terminated before the date on which payments became subject to a restriction by virtue of an order made under section 150(3) of the Act (in so far as it was an award of income-based jobseeker's allowance or income-related employment and support allowance), regulation 7 or, as the case may be, regulation 8.

Marginal Citations

M27Regulation 3ZB was inserted by S.I. 2013/385.

M282001 c.11. See sections 6B and 7.

M30See sections 6B and 7.

M31See regulations 1A and 2 which were substituted by S.I. 2010/1260 and amended by S.I. 2013/385.

M32See sections 6B(1), 7(1) and 9(2)(c).

M33See section 9(2)(a).

Loss of benefit penalties: reduction of universal creditU.K.

36.—(1) Subject to paragraph (6) [F42and to regulation 38] , where regulation 35 applies, the amount of a reduction of universal credit in respect of an assessment period is to be calculated by multiplying the daily reduction rate by the number of days in the assessment period, unless paragraph (2) applies.

(2) Where the disqualification period ends during an assessment period, the amount of the reduction for that assessment period is (subject to paragraph (6)) to be calculated by multiplying the daily reduction rate by the number of days in the assessment period which are within the disqualification period.

(3) Subject to paragraphs (4) and (5), the daily reduction rate where regulation 35 applies is an amount which is equal to—

(a)the monetary amount by which payments in respect of the earlier award were reduced in accordance with section 6B or 7 of the 2001 Act or, as the case may be, regulation 3, 3ZA M34 or 17 of the 2001 Regulations in respect of the last complete week before the relevant date (within the meaning of regulation 35);

(b)multiplied by 52;

(c)divided by 365; and

(d)rounded down to the nearest 10 pence.

(4) Where the monetary amount by which payments in respect of the earlier award would have been reduced would, if the claimant had remained entitled to the earlier award, have changed during the disqualification period because of an order made under section 150 of the Social Security Administration Act 1992 (annual up-rating of benefits)—

(a)the daily reduction rate is to be calculated in accordance with paragraph (3), but on the basis of the new amount by which payments would have been reduced; and

(b)any adjustment to the reduction of universal credit is to take effect from the first day of the first assessment period to start after the date of the change.

(5) Where the earlier award was a joint-claim jobseeker's allowance, the daily reduction rate is an amount which is equal to—

(a)the amount of the standard allowance M35 applicable to the joint claimants under regulation 36 of the Universal Credit Regulations (table showing amounts of elements);

(b)multiplied by 12;

(c)divided by 365;

(d)reduced by 60%; and

(e)rounded down to the nearest 10 pence.

(6) The amount of the reduction under this regulation in respect of any assessment period is not to exceed the amount of the standard allowance which is applicable to the claimant in respect of that period.

Textual Amendments

Marginal Citations

M34Regulation 3ZA was inserted by S.I. 2013/385.

M35See section 9 of the Act.

[F43Loss of benefit penalties: transition from working tax creditU.K.

37.—(1) This regulation applies where an award of universal credit is made to a claimant who—

(a)was previously entitled to working tax credit; and

(b)is an offender, within the meaning of the 2002 Act.

(2) Where this regulation applies, the Social Security (Loss of Benefit) Regulations 2001 apply as if in regulation 3ZB of those Regulations—

(a)in paragraph (1) at the beginning there were inserted “Subject to regulation 38 of the Universal Credit (Transitional Provisions) Regulations 2014,”;

(b)“disqualification period” includes a disqualification period within the meaning of the 2002 Act;

(c)“offender” includes an offender within the meaning of the 2002 Act; and

(d)“offender’s family member” includes a person who is a member of the family (within the meaning of section 137(1) of the Social Security Contributions and Benefits Act 1992) of a person who is an offender within the meaning of the 2002 Act.

Textual Amendments

Loss of benefit penalties: maximum total reductionU.K.

38.  Where regulations 35 and 37 both apply to a claimant, the total amount of a reduction of universal credit in respect of any assessment period under—

(a)regulation 36; and

(b)regulation 3ZB of the Social Security (Loss of Benefit) Regulations 2001,

must not exceed the amount of the standard allowance which is applicable to the claimant in respect of that period.]

Textual Amendments

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