DMA Labour Market Workbook Topic 12 - JSA Higher Level ...

DMA Labour Market Workbook Topic 12 - JSA Higher Level Sanctions

Date: June 2015

V8.0

DMA Labour Market Workbook Topic 12 – JSA Higher Level Sanctions

Timing It will take 30 minutes to complete this topic.

Learning Objectives When you complete this topic you will be able to correctly:

explain how higher level sanctions affect Jobseekers Allowance (JSA)

claims.

Learning Points This works covers the following areas:

Leaving Voluntary (LV) and Misconduct.

Refusal of Employment (RE).

Failure to Participate in Mandatory Work Activity.

Repeat Claims.

Topic 12 – JSA Higher Level Sanctions June 2015 V8.0 of 31


This topic is appropriate for all staff dealing with JSA.

LMDMs who do not deal with any of the Higher Level

Sanctionable Failures do not need to complete this topic.

Higher Level Sanctions

Most sanctions in the Sanction Regime higher level

sanctions apply to Jobseekers Allowance (JSA) claimants

who are 18 years old and over. However Misconduct and

Leaving voluntary sanctions can be applied to 16 and 17

year olds.

The length of the sanction depends on how many times a

claimant has committed a higher level sanctionable failure

before, and whether there was a higher level sanction in

the last 52 weeks.



Remember that if two or more higher level sanctionable

failures occur within two weeks of each other, only one of

them will cause further sanctions to escalate.

What are the lengths of sanctions imposed for first,

second and third or more sanctionable failures?

Compare your answer with the answer on the next page.



First failure – 13 weeks

Second failure – 26 weeks

Third or more failure – three years (156 weeks).

Technically the third or more sanctionable failure attracts

a 156 week sanction. This is approximately three years.

The first higher level sanctionable failure attracts a

sanction of 13 weeks. If the claimant commits another

higher level sanctionable failure within 52 weeks of the

first, the sanction will usually be for 26 weeks.

If a claimant commits further higher level sanctionable

failures within 52 weeks, the claimant may receive three

year sanctions.

Sanctionable failures that occur while the claimant is not

claiming benefit, do not count towards escalation. This

means that most LV, Misconduct, or Neglect to Avail

sanctions will not count towards escalation.



If a claimant signs-off JSA after a sanction and then

reclaims, any balance of the sanction will be imposed on

their new claim.

However, if a claimant receives a three year sanction and

then does paid work for 26 weeks or more (and does not

claim any income replacement benefit) the LMDM can

reconsider the sanction so that balance of the sanction will

not be imposed if they make a new claim.

There is more about lifting three year sanctions later in

this topic.



Leaving Voluntarily (LV) and Misconduct (Misc) Sanctions

The length of the sanction for LV or Misc will depend on

the following factors:

The number of times the claimant has committed a

higher level sanctionable failure.

Whether the LV or Misc falls within 52 weeks of

another higher level sanctionable failure.

Whether any of the higher level failures took place

before the Date of Claim.

Whether the employment was temporary.

Whether the claimant made their JSA claim

immediately after their job ended.

If the employment was temporary the sanction can be

shortened.

The LMDM must not impose a sanction that lasts longer

than the employment would have done.

The sanction will be reduced by time off benefit, or if the

claimant did not make a claim as soon as the job ended.



Most LV and Misc sanctionable failures occur before the

claim starts. This means that the sanction imposed does

not count towards escalation.

Date of Sanctionable Failure The date of sanctionable failure for LV or Misc cases is

always the date that the job ended.

It is not, for instance, the date the Misconduct took place.

Sanctionable Failures before the Date of

Claim The regulations state that sanctionable failures that occur

before the Date of Claim do not cause escalation.

This does not mean that sanctionable failures that

occurred during a previous claim do not count for

escalation. It means that sanctionable failures that occur

when the claimant is not claiming JSA do not count for

escalation.

Neglect to Avail is also sanctionable failure that occurs

before the date of claim, but as it is a rare doubt it is not

covered in this learning.



So if a claimant regularly claims benefit, finds work and

then loses their job through misconduct or LV, and re-

claims, they will only ever receive a 13 week sanction.

That is unless they receive sanctions for:

other High Level sanctionable failures during their

claim; or

receive a sanction for LV or Misconduct from a

subsidiary occupation (sub-occ).

Case Studies

Mrs Diana Shaw:

Mrs Diana Shaw makes a new claim for JSA on

23/10/2012.

She says that her last job ended on 22/10/2012 because

she walked out after a row with her employer. She had

worked for her employer for a year.

This is her first JSA claim.

The case is referred to the LMDM.

Mrs Shaw’s new claim is paid up until 12/11/2012.

The LMDM decides the claim should be sanctioned.



Remember that in every case of LV you must consider

whether Employment on Trial Applies.

For more about Employment on Trial see Topic 05 of this

Learning.

Read the case study for Mrs Diana Shaw and answer

the following questions:

1. Does Employment on Trial (EoT) apply?

2. What is the Date of Sanctionable Failure?

3. What length of sanction will be imposed on Mrs

Shaw’s claim?

4. What will be the start date of the sanction?

Compare your answers to those on the next page.



1. No, EoT does not apply. Mrs Shaw was working for

her last employer for too long.

2. The Date of Sanctionable Failure is the date she

left her job – 22/10/2012.

3. The sanction will be for 13 weeks.

4. The sanction will start on 13/11/2012 - the day after

Mrs Shaw was paid up to. Sanctions are not

imposed for periods which the claimant has already

been paid for.

Where possible JSA sanctions start from the first day of

the benefit week in which the sanctionable failure falls.

For LV and Misconduct cases this date will usually be

before the Date of Claim - so the earliest date the

sanction can start on is the Date of Claim.



However, sanctions are not imposed for periods for

which the claimant has already been paid. As payment is

not suspended for LV and Misconduct, the claimant will

often have been paid before the LMDM can impose the

sanction. The sanction will start from the day after the

date the claimant has been paid up to.

The sanction is for the full 13 weeks because Mrs Shaw

claimed as soon as her job ended.

There will be examples later in this learning where there is

a gap between the job ending and the claim being made.

Mrs Diana Shaw continued:

A sanction was imposed from 13/11/2012 to 11/02/2013

because she left her previous job voluntarily.

Mrs Shaw finds work and signs off 04/12/2012. However

she is dismissed for misconduct on 25/01/2013.

She makes a new claim on 26/01/2013.

1. Is this new sanctionable failure within 52 weeks of the

last one?

2. What is length sanction she will receive?



1. Yes. Both sanctionable failures are in the last 52

weeks.

2. 13 weeks, because both higher level sanctionable

failures occurred before the date of claim, even

though they both occurred in the last 52 weeks.

The first 13 week sanction remains in force. This means

Mrs Shaw will not be paid on her new claim. Therefore

the sanction can start from her Date of Claim.

Graphic showing Mrs Diana Shaw’s Second Sanction

13/11/2012 13 Week Sanction 11/02/2013

26/01/2013 13 Week Sanction

First Sanction

Second Sanction



In this case study, Mrs Shaw claimed JSA as soon as she

was dismissed.

This does not always happen. Sometimes the claimant

delays making a claim for a while after their job ended.

This might be because they hoped to get another job

quickly, or because they thought they might not be entitled

to benefit.

If there is a gap between the claimant’s job ending and

their claim starting, the 13 week sanction will be reduced

by the length of the gap.



Example

Mr Nigel Squire left his job 08/03/2013. This was the last day he worked.

He claimed JSA on 08/04/2013 - four weeks and two days after his job ended.

This is his first JSA claim.

He was paid up to 30/04/2013.

The LMDM decided that Mr Squire left his job voluntarily without good reason.

Mr Squire’s LV sanction will be:

13 weeks minus 4 weeks and 2 days = 8 weeks and 5 days.

Mr Squire will be sanctioned for 01/05/2013 to 30/06/2013.



Graphic Showing Mr Squire’s Sanction

Job Ended Date of Claim Paid to Sanctioned

YearMonth

Week NoSun 6 13 20 27 3 10 17 24 3 10 17 24 31 7 14 21 28 5 12 19 26 2 9 16 23 30 7 14 21 28 4Mon 7 14 21 28 4 11 18 25 4 11 18 25 1 8 15 22 29 6 13 20 27 3 10 17 24 1 8 15 22 29 5Tues 8 15 22 29 5 12 19 26 5 12 19 26 2 9 16 23 30 7 14 21 28 4 11 18 25 2 9 16 23 30 6Wed 9 16 23 30 6 13 20 27 6 13 20 27 3 10 17 24 1 8 15 22 29 5 12 19 26 3 10 17 24 31 7Thurs 10 17 24 31 7 14 21 28 7 14 21 28 4 11 18 25 2 9 16 23 30 6 13 20 27 4 11 18 25 1 8

Fri 11 18 25 1 8 15 22 1 8 15 22 29 5 12 19 26 3 10 17 24 31 7 14 21 28 5 12 19 26 2 9Sat 12 19 26 2 9 16 23 2 9 16 23 30 6 13 20 27 4 11 18 25 1 8 15 22 29 6 13 20 27 3 10

2013JAN FEB MAR APR JULMAY JUN

Multiple LV or Misconduct sanctionable failures before the Date of Claim

There are occasions where a claimant leaves a job either

voluntarily or through misconduct and gets another job

without claiming in between the two jobs.

In these circumstances only consider the reason the last job ended. Legally LV and Misc sanctions can only be

imposed for failures immediately preceding the JSA claim.



Refusal of Employment (RE)

Remember that before referring a claim on RE you must

check whether an RE discretion applies.

Guidance on RE discretions can be found at:

DWP Homepage >> Operational Guidance >> Labour

Market >> Labour Market Conditions Guide >> Refusal

and failure to apply for or accept employment >> Refusal

of Employment Discretions.

As with LV and Misc, the sanction length is set as 13

weeks for the first sanctionable failure. Unlike LV or Misc,

RE failures are likely to occur during the life of the claim.

Therefore they are more likely to escalate to 26 weeks, or

three years (156 weeks) depending on the number of

times the claimant has committed a higher level

sanctionable failure.

As with a claimant who fails to attend an interview the

reason for RE could highlight an availability doubt.



Date of sanctionable failure The date of sanctionable failure for RE will depend on the

exact circumstances of the case.

Sometimes we need to wait until the vacancy closes.

If the vacancy has not closed and the claimant is willing to

apply for it, then they should be allowed to do so.

For instance, a claimant was referred to an advertised

vacancy by their Work Coach but forgot to apply. If the

closing date has not past and the claimant is willing to

apply, there is no sanctionable failure - yet. If the vacancy

closes and the claimant still has not applied then there will

be a sanctionable failure.

The date of sanctionable failure in these cases will be the date the vacancy closed.

However, if the claimant refuses to apply for a job

vacancy, the Work Coach should refer to the case for the

LMDM immediately.

The date of sanctionable failure is the date the claimant said they would not apply.

However if the claimant changes their mind and applies

for the vacancy before the closing date, the LMDM can

reconsider the sanction.



Case Study – Mr Ali Yusef

Mr Ali Yusef was officially notified of a suitable job

vacancy on 05/11/2012.

Deadline for applications was 22/11/2012. Mr Yusef

applied on 08/11/2012.

On 27/11/2012 he was invited to an interview on

29/11/2012. He did not attend because he did not fancy

the work.

The vacancy closed on 06/12/2012.

1. What will be his date of sanctionable failure?

2. If Mr Yusef continues to claim JSA, and again Refuses

Employment, with a Date of sanctionable failure of 17

June 2013, how may weeks would he be sanctioned for?

Compare you answers with those on the next page.



1. 29/11/2012 - the date of the interview he should

have attended.

2. 26 weeks; this is the second higher level sanction

Failure within 52 weeks.

The 52 weeks would start from 18 June 2012, however

note that this is before the Sanction Regime started.

Again, the sanction starts from the first day of the benefit

week the sanctionable failure occurred in, unless the

claimant was paid past that date. If they have been paid

past that date the sanction starts from the day after they

have been paid up to.

If the Work Coach refers the claimant for multiple jobs

within a short period, the claimant may go from a first, 13

week sanction to a three year sanction in a matter of a

few weeks. (Assuming the failures are more than two

weeks apart).



Failure to Participate in Mandatory Work Activity (MWA)

Topic 08 gives an explanation of what MWA is and how

Failing to Participate in MWA is identified.

JSA Claimants who are referred for MWA are sanctioned if

they do not attend or participate.

The length of the sanction for failing to participate in MWA

will depend whether there have been other higher level

sanctions within 52 weeks. As always sanctionable failures

that occur within two weeks of another sanctionable failure

of the same level do not escalate.

A claimant was sanctioned for the first time on

30/10/2012 for RE. The date of sanctionable failure was

30/10/2012. The same claimant then had another RE

sanctionable failure on 10/03/2013, and is again

sanctioned.

If the claimant Fails to Participate in MWA and their

sanctionable failure date is 11/02/2014, how long will the

MWA sanction be for?

Compare your answer with the one on the next page.



The MWA sanction will be for three years (156 weeks).

The first RE sanctionable failure attracts a sanction of 13

weeks as it is the claimant’s first higher level sanction.

The second RE sanctionable failure attracts a 26 weeks

sanction as it occurs within 52 weeks (but not within two

weeks) of the previous sanction.

So the MWA sanction will be for three years as it occurs

within 52 weeks of a sanctionable failure that attracted a

26 week sanction (but not within two weeks of it).

These sanctions remain on the claim even if the claimant

goes on to attend MWA. The sanction does not end. This

means that a claimant could be sanctioned for three

years for failing to attend a four week course.

For more information about MWA see guidance on the

intranet:

DWP Homepage >> Operational Guidance >> full list of

all DWP Operations Guidance >> M >> Mandatory Work

Activity.



Further LV and Misc after other High Level Sanctions

For LV and Misc sanctions to escalate beyond 13 weeks,

other higher level sanctions must have occurred - or the

LV or Misc must occur during the life of the claim (in other

words when a sub-occ ends). This is a very rare

circumstance.

Most LV and Misc sanctionable failures do not occur

while the claimant is claiming and therefore do not cause

escalation.



Case Study: Mrs Diana Shaw – further LV and Misc

Claim sanctioned for LV from 13/11/2012 to 11/02/2013

and on Misc from 26/01/2013 to 26/04/2013.

Mrs Shaw is then sanctioned on RE from 29/01/2013.

Mrs Shaw finds work, signs off and then is dismissed for

Misconduct on 24/05/2013.

She makes a new claim from 25/05/2013.

1. How long will Mrs Shaw’s RE sanction be for?

2. What length of sanction will be imposed for her new

Misconduct failure?

Compare your answer to the one on the next page.



1. The RE sanction will be for 13 weeks. Her previous

LV and Misc sanctions occurred before the Date of

Claim and therefore do not count towards

escalations.

2. Her new Misconduct Sanction will be for 26 weeks.

Although the previous LV and Misconduct

sanctions do not count for escalation, the RE

sanction does.

Repeat Claims

If a sanction on a previous claim has not expired, the

sanction will appear on the new claim and prevent benefit

payment.

However, there is one circumstance when previous higher

level sanctions can be lifted on new claims.

What is this circumstance?

Compare your answer with the one on the next page.



When a claimant has received a three year (156 week)

sanction, and then signs-off. If the claimant has been in

employment for 26 weeks or more, and has not been

receiving income replacement benefits, the remainder of

the sanction can be lifted on the new claim.

Lifting Three Year Sanctions The 26 weeks work does not necessarily need to be full-

time or for an employer. The work can be part-time, self-

employment or done abroad - as long as the claimant was

not claiming or receiving Income Support, JSA or ESA

whilst working.

The work does not have to be for 26 consecutive weeks.

The 26 weeks off income replacement benefit do not have

to be consecutive either.

The regulations state that only work since the claimant’s

last higher level sanctionable failure counts towards the

26 weeks.

However, the regulations also state that a sanctionable

failure only exists once a decision to sanction the claim

has been made.



Consider the following scenarios in the following table

and decide whether the three year sanction would be

lifted.

In each case the claim received a three year sanction

and signed-off JSA immediately.

Remember that the 26 weeks employment do not have to

be consecutive. Claimants can have claims for ESA or

JSA between the preriods of work.

Mr Joe Powell, after signing-off JSA:

Was Self-

Employed for ten

weeks.

Claimed ESA for

ten weeks.

Worked for an

employer for

twenty weeks

Was made

redundant and

claimed JSA

Mr John Hudson, after signing-off JSA:

Was self-

employed for 30

weeks.

Worked abroad

for six weeks.

Worked in UK

for an

employer for

52 weeks.

Left Voluntarily

and claimed

JSA.

Compare your answers with those on the next page.



Mr Joe Powell’s three year sanction can be lifted. His

combined work after his three year sanction lasted 30

weeks. It does not matter that some of the work was self-

employment or that he claimed ESA for a while.

Mr John Hudson’s three year sanction can be lifted. He

left his last job voluntarily but this does not count as a

sanctionable failure until a decision to sanction his claim

is made.

If the LMDM decides to impose a sanction on Mr

Hudson’s claim because of leaving his last job

voluntarily, how long will the sanction be for?

Compare your answer to the one on the next page.



13 weeks. As Mr Hudson has been working for 52 weeks

so this higher level failure does not fall within 52 weeks of

another higher level failure.

The three year sanction is not re-imposed.

It is up to the LMDM to decide whether the three year

sanction can be lifted. The LMDM will need to make a

reconsideration on the decision.

When they make a new JSA claim, the claimant will be

asked to sign a statement (known as the ‘customer

statement’) to declare that they have worked for 26 weeks

or more, since their last claim.

The Work Coach checks the Customer Information System

(CIS) to make sure that the claimant was not receiving an

income replacement benefit during those 26 weeks.

The case must then be sent to the LMDM who then

reconsiders the three year sanction.



The Sanctions Regime encourages claimants to find

work. Therefore claimants need to be aware of the rule

that reduces 156 week sanctions if they have been in

paid work.

Work Coachs are expected to take the claimant’s word.

They are not expected to investigate the claimant’s work

or gather further proof from the employer. The statement

from the claimant will be accepted.

Even if a three year sanction is lifted because the

claimant has worked for 26 weeks or more, it will still

count for escalation purposes.



Summary In this topic you have covered the following:

Leaving Voluntary and Misconduct.

Refusal of Employment.

Failure to Participate in Mandatory Work Activity.

Repeat Claims.

End of Topic 12


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