The Social Security (Incapacity Benefit Work-focused Interviews) Regulations 2003

Citation and commencement

1.  These Regulations may be cited as the Social Security (Incapacity Benefit Work-focused Interviews) Regulations 2003 and shall come into force on 27th October 2003.

Interpretation

2.  In these Regulations—

“benefit week” means any period of seven days corresponding to the week in respect of which the relevant specified benefit is due to be paid;

“interview” means a work-focused interview with a relevant person who has claimed a specified benefit and which is conducted for any or all of the following purposes—

(a)

assessing that relevant person’s prospects for existing or future employment (whether paid or voluntary);

(b)

assisting or encouraging that relevant person to enhance his prospects of such employment;

(c)

identifying activities which that relevant person may undertake to strengthen his existing or future prospects of employment;

(d)

identifying current or future employment, training or rehabilitation opportunities suitable to that relevant person’s needs;

(e)

identifying educational opportunities connected with the existing or future employment prospects or needs of that relevant person;

“officer” means a person who is an officer of, or who is providing services to or exercising functions of, the Secretary of State;

“personal capability assessment” means the assessment defined in Part III of the Social Security (Incapacity for Work) (General) Regulations 1995(1) (personal capability assessment);

“relevant decision” has the meaning given by section 2B(2) of the Social Security Administration Act 1992 (supplementary provisions relating to work-focused interviews);

“relevant person” means a person who resides in an area identified in—

(a)

Part 1 of the Schedule to these Regulations, and who makes a claim for a specified benefit on or after 27th October 2003; or

(b)

Part 2 of that Schedule, and who makes a claim for a specified benefit on or after 5th April 2004.

“specified benefit” means—

(a)

incapacity benefit;

(b)

income support where paragraph 7 (persons incapable of work) of Schedule 1B to the Income Support (General) Regulations 1987(2) applies;

(c)

income support where paragraph 24 or 25 (persons appealing against a decision which embodies a determination that they are not incapable of work) of Schedule 1B to the Income Support (General) Regulations 1987(3) applies to a person who has made a claim for a specified benefit referred to in sub-paragraph (a), (b) or (d) of this definition on or after—

(i)

27th October 2003 where that person resides in an area identified in Part 1 of the Schedule to these Regulations; or

(ii)

5th April 2004 where that person resides in an area identified in Part 2 of that Schedule; or

(d)

severe disablement allowance.

Requirement for a relevant person entitled to a specified benefit to take part in an interview

3.—(1) Subject to paragraph (2) below and regulations 6 and 7, a relevant person who—

(a) is entitled to a specified benefit; and

(b) on the day on which he makes his claim for that specified benefit, has attained the age of 18 but has not attained the age of 60,

shall be required to take part in an interview as a condition of his continuing to be entitled to the full amount of the specified benefit which is payable to him.

(2) A relevant person who—

(a) has taken part in an interview under paragraph (1) above by virtue of—

(i) being; or

(ii) having been,

entitled to a specified benefit; and

(b) becomes entitled to—

(i) another specified benefit; or

(ii) the same specified benefit where sub-paragraph (a)(ii) applies; and

(c) has not—

(i) been engaged in remunerative work; or

(ii) made a claim for a jobseeker’s allowance,

after having been entitled to the specified benefit referred to in sub-paragraph (a) above and before becoming entitled to the specified benefit referred to in sub-paragraph (b) above,

shall not be required to take part in a further interview under paragraph (1) above.

(3) An officer shall arrange for the interview referred to in paragraph (1) above to take place after the expiry of eight weeks after the date the claim for a specified benefit is made or as soon as is reasonably practicable thereafter.

Continuing entitlement to a specified benefit dependent upon an interview

4.—(1) Subject to paragraph (2) below and regulations 6 to 8 a relevant person who—

(a) has taken part in an interview under regulation 3;

(b) is entitled to a specified benefit; and

(c) has not attained the age of 60,

shall be required to take part in five further interviews, each at, or as soon as is reasonably practicable after, the expiry of one month from the day he last took part in an interview, the day he was treated under regulation 6 as having complied with such a requirement to take part in an interview or, as the case may be, the day a relevant decision was made under regulation 9(4), as a condition of his continuing to be entitled to the full amount of the specified benefit which is payable to him.

(2) A relevant person who—

(a) has taken part in one or more interviews under paragraph (1) above by virtue of—

(i) being; or

(ii) having been,

entitled to a specified benefit; and

(b) becomes entitled to—

(i) another specified benefit; or

(ii) the same specified benefit where sub-paragraph (a)(ii) applies; and

(c) has not—

(i) been engaged in remunerative work; or

(ii) made a claim for a jobseeker’s allowance,

after having been entitled to the specified benefit referred to in sub-paragraph (a) above and before becoming entitled to the specified benefit referred to in sub-paragraph (b) above,

shall be required to continue to take part in the sequence of interviews in accordance with paragraph (1) until he has taken part in a total of five such interviews.

(3) Subject to regulations 6 and 7, where a relevant person—

(a) has taken part in the five further interviews referred to in paragraph (1) above;

(b) is entitled to a specified benefit; and

(c) has not attained the age of 60,

he shall be required to take part in an interview as a condition of his continuing to be entitled to the full amount of the specified benefit which is payable to him where any of the circumstances specified in paragraph (6) below apply or where paragraph (7) below applies.

(4) Subject to regulations 6 and 7, where a relevant person—

(a) has had the requirement to take part in all five interviews referred to in paragraph (1) above waived in accordance with regulation 6;

(b) is entitled to a specified benefit; and

(c) has not attained the age of 60,

he shall be required to take part in an interview as a condition of his continuing to be entitled to the full amount of the specified benefit which is payable to him where any of the circumstances specified in paragraph (6) below apply or where paragraph (7) below applies.

(5) Subject to regulations 6 and 7, where—

(a) regulation 8 applies to a relevant person;

(b) the relevant person is entitled to a specified benefit; and

(c) the relevant person has not attained the age of 60,

he shall be required to take part in an interview as a condition of his continuing to be entitled to the full amount of the specified benefit which is payable to him where any of the circumstances specified in paragraph (6) below apply or where paragraph (7) below applies.

(6) The circumstances specified in this paragraph are those where—

(a) it is determined in accordance with a personal capability assessment that a relevant person is incapable of work and therefore, continues to be entitled to a specified benefit;

(b) a relevant person’s entitlement to a carer’s allowance(4) ceases whilst his entitlement to a specified benefit continues;

(c) a relevant person becomes engaged or ceases to be engaged in part-time work; or

(d) a relevant person has been undergoing education, training or a rehabilitation programme arranged by an officer and that education, training or rehabilitation programme comes to an end.

(7) A requirement to take part in an interview arises under this paragraph where a relevant person has not been required to take part in an interview under paragraphs (3) to (5) above for at least 36 months from the date he last took part in an interview.

The interview

5.—(1) The officer shall inform a relevant person who is required to take part in an interview of the time and place of the interview.

(2) An officer shall conduct the interview.

(3) The officer may determine that an interview is to take place in the relevant person’s home where it would, in the officer’s opinion, be unreasonable to expect that relevant person to attend elsewhere because that relevant person’s personal circumstances are such that attending elsewhere would cause him undue inconvenience or endanger his health.

Waiver of requirement to take part in an interview

6.—(1) A requirement imposed by these Regulations to take part in an interview shall not apply where an officer determines that an interview would not be—

(a) of assistance to the relevant person concerned; or

(b) appropriate in the circumstances.

(2) A relevant person in relation to whom a requirement to take part in an interview has been waived under paragraph (1) above shall be treated for the purposes of—

(a) regulation 3 or 4; and

(b) entitlement to a specified benefit,

as having complied with that requirement in respect of that interview.

Deferment of requirement to take part in an interview

7.—(1) An officer may determine, in the case of a relevant person, that the requirement to take part in an interview shall be deferred at the time the requirement to take part in an interview arises or applies because an interview would not at that time be—

(a) of assistance to that relevant person; or

(b) appropriate in the circumstances.

(2) Where the officer determines in accordance with paragraph (1) above that the requirement to take part in an interview shall be deferred, he shall also determine when that determination is made, the time when the requirement to take part in an interview is to apply in the relevant person’s case.

(3) Where a requirement to take part in an interview has been deferred in accordance with paragraph (1) above, then until—

(a) a determination is made under regulation 6(1);

(b) the relevant person takes part in an interview; or

(c) a relevant decision has been made in relation to that relevant person in accordance with regulation 9(4),

that relevant person shall be treated for the purposes of entitlement to a specified benefit as having complied with that requirement.

Exemptions

8.  A relevant person, who on the day on which the requirement to take part in an interview under regulation 4(1) arises or applies is treated as incapable of work in accordance with the provisions of regulation 10 of the Social Security (Incapacity for Work) (General) Regulations 1995(5) (certain persons with a severe condition to be treated as incapable of work), shall be exempt from the requirement to take part in any interview under regulation 4(1).

Taking part in an interview

9.—(1) The officer shall determine whether a relevant person has taken part in an interview.

(2) A relevant person shall be regarded as having taken part in an interview referred to in regulation 3 if—

(a) he attends for the interview at the place and time notified to him by the officer;

(b) he participates in discussions with the officer in relation to the relevant person’s employability, including any action the relevant person and the officer agree is reasonable and they are willing to take in order to help the relevant person enhance his employment prospects;

(c) he provides answers (where asked) to questions and appropriate information about—

(i) details of and the level to which he has pursued any educational qualifications;

(ii) his employment history;

(iii) his aspirations for future employment;

(iv) any vocational training he has undertaken;

(v) any skills he has acquired which fit him for employment;

(vi) any vocational training or skills which he wishes to undertake or acquire;

(vii) any paid or unpaid employment he is engaged in;

(viii) the extent to which his medical condition, in his opinion, restricts his ability to obtain or puts him at a disadvantage in obtaining employment;

(ix) his work related abilities; and

(x) any caring or childcare responsibilities he has; and

(d) he assists the officer in the completion of an action plan which records the matters discussed in relation to sub-paragraph (b) above.

(3) A relevant person shall be regarded as having taken part in any one of the interviews referred to in regulation 4 if—

(a) he attends for the interview at the place and time notified to him by the officer;

(b) he participates in discussions with the officer—

(i) in relation to the relevant person’s employability or any progress he might have made towards obtaining employment;

(ii) about any action the relevant person or the officer might have taken as a result of the matters discussed in relation to paragraph (2)(b) above;

(iii) about how, if at all, the action plan referred to in paragraph (2)(d) above should be amended; and

(iv) in order to consider any of the programmes and support available to help the relevant person obtain employment;

(c) he provides answers (where asked) to questions and appropriate information about—

(i) the content of any report made following his personal capability assessment, insofar as that report relates to the relevant person’s capabilities and employability; and

(ii) his opinion as to the extent to which his medical condition restricts his ability to obtain employment; and

(d) he assists the officer in the completion of any amendment of the action plan referred to in paragraph (2)(d) above in light of the matters discussed in relation to sub-paragraph (b) above and the information provided in relation to sub-paragraph (c) above.

(4) Where an officer determines that a relevant person has failed to take part in an interview and good cause has not been shown for that failure within five working days of the day on which the interview was to take place, a relevant decision shall be made for the purposes of section 2B of the Social Security Administration Act 1992.

Failure to take part in an interview

10.—(1) A relevant person in respect of whom a relevant decision has been made in accordance with regulation 9(4) shall, subject to paragraph (12) below, suffer the consequences specified in paragraph (2) below.

(2) The consequences specified in this paragraph are, subject to paragraphs (3) and (4) below, that the relevant person’s benefit shall be reduced as from the first day of the next benefit week following the day a relevant decision was made, by a sum equal to 20 per cent. of the amount applicable on the date the first reduction commences in respect of a single claimant for income support aged not less than 25.

(3) Benefit reduced in accordance with paragraph (2) above shall not be reduced below ten pence per week.

(4) Where two or more specified benefits are in payment to a relevant person, a reduction made in accordance with paragraph (2) above shall be applied, except in a case to which paragraph (5) below applies, to the specified benefits in the following order of priority—

(a) income support;

(b) incapacity benefit;

(c) severe disablement allowance.

(5) Where the amount of the reduction is greater than some, but not all, of the specified benefits listed in paragraph (4) above, the reduction shall be made against the first benefit in that list which is the same as, or greater than, the amount of the reduction.

(6) For the purpose of determining whether a specified benefit is the same as, or greater than, the amount of the reduction for the purposes of paragraph (5) above, ten pence shall be added to the amount of the reduction.

(7) In a case where the whole of the reduction cannot be applied against any one specified benefit because the amount of no one benefit is the same as, or greater than, the amount of the reduction, the reduction shall be applied against the first benefit in payment in the list of priorities in paragraph (4) above and so on against each benefit in turn until the whole of the reduction is exhausted or, if this is not possible, the whole of the specified benefits are exhausted, subject in each case to ten pence remaining in payment.

(8) Where the rate of any specified benefit payable to a relevant person changes, the rules set out above for a reduction in the benefit payable shall be applied to the new rates and any adjustments to the benefits against which the reductions are made shall take effect from the beginning of the first benefit week to commence for that relevant person following the change.

(9) Paragraph (1) above shall apply to a relevant person each time a relevant decision is made in accordance with regulation 9(4) in respect of him.

(10) Where a relevant person whose benefit has been reduced in accordance with paragraph (2) above subsequently takes part in an interview, the whole of the reduction shall cease to have effect on the first day of the benefit week in which the requirement to take part in an interview was met.

(11) For the purposes of determining the amount of any benefit payable, a relevant person shall be treated as receiving the amount of any specified benefit which would have been payable but for a reduction made in accordance with paragraph (2) above.

(12) The consequences specified in paragraph (2) above shall not apply to a person who—

(a) brings new facts to the notice of the Secretary of State within one month of the date on which a relevant decision was notified to him and—

(i) those facts could not reasonably have been brought to the Secretary of State’s notice within five working days of the day on which the interview was to take place; and

(ii) those facts show that he had good cause for his failure to take part in the interview;

(b) is no longer required to take part in an interview as a condition for continuing to be entitled to the full amount of the specified benefit which is payable to him apart from these Regulations; or

(c) attains the age of 60.

Good cause

11.  Matters to be taken into account in determining whether a relevant person has shown good cause for his failure to take part in an interview include—

(a) that the relevant person misunderstood the requirement to take part in the interview due to any learning, language or literacy difficulties of the relevant person or any misleading information given to the relevant person by the officer;

(b) that the relevant person was attending a medical or dental appointment, or accompanying a person for whom the relevant person has caring responsibilities to such an appointment, and that it would have been unreasonable, in the circumstances, to rearrange the appointment;

(c) that the relevant person had difficulties with his normal mode of transport and that no reasonable alternative was available;

(d) that the established customs and practices of the religion to which the relevant person belongs prevented him from attending on the day or at the time fixed for the interview;

(e) that the relevant person was attending an interview with an employer with a view to obtaining employment;

(f) that the relevant person was pursuing employment opportunities as a self-employed earner;

(g) that the relevant person or a dependant of his or a person for whom he provides care suffered an accident, sudden illness or relapse of a physical or mental health condition;

(h) that the relevant person was attending the funeral of a relative or close friend on the day fixed for the interview;

(i) that a disability from which the relevant person suffers made it impossible for him to attend at the time fixed for the interview.

Appeals

12.—(1) This regulation applies to any relevant decision under regulation 9(4) or any decision made under section 10 of the Social Security Act 1998(6) (decisions superseding earlier decisions) superseding such a relevant decision.

(2) This regulation applies whether the decision is as originally made or as revised under section 9 of the Social Security Act 1998 (revision of decisions).

(3) In the case of a decision to which this regulation applies, the relevant person in respect of whom the decision was made shall have a right of appeal under section 12 of the Social Security Act 1998(7) (appeal to appeal tribunal) to an appeal tribunal.

Amendment of the Income Support (General) Regulations 1987

13.  In the Income Support (General) Regulations 1987(8)—

(a) after paragraph 77(9) of Schedule 9 (sums to be disregarded in the calculation of income other than earnings) there shall be added the following paragraph—

“78.   Any payment made to a claimant’s partner in respect of the partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973(10) (functions of the Secretary of State).”; and

(b) after paragraph 69(11) of Schedule 10 (capital to be disregarded) there shall be added the following paragraph—

“70.   Any payment made to a claimant’s partner in respect of the partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”.

Amendment of the Housing Benefit (General) Regulations 1987

14.  In the Housing Benefit (General) Regulations 1987(12)—

(a) after paragraph 76(13) of Schedule 4 (sums to be disregarded in the calculation of income other than earnings) there shall be added the following paragraph—

“77.   Any payment made to a claimant or his partner in respect of the claimant’s or, as the case may be, his partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”; and

(b) after paragraph 71(14) of Schedule 5 (capital to be disregarded) there shall be added the following paragraph—

“72.   Any payment made to a claimant or his partner in respect of the claimant’s or, as the case may be, his partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”.

Amendment of the Council Tax Benefit (General) Regulations 1992

15.  In the Council Tax Benefit (General) Regulations 1992(15)—

(a) after paragraph 75(16) of Schedule 4 (sums to be disregarded in the calculation of income other than earnings) there shall be added the following paragraph—

“76.   Any payment made to a claimant or his partner in respect of the claimant’s or, as the case may be, his partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”; and

(b) after paragraph 71(17) of Schedule 5 (capital to be disregarded) there shall be added the following paragraph—

“72.   Any payment made to a claimant or his partner in respect of the claimant’s or, as the case may be, his partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”.

Amendment of the Jobseeker’s Allowance Regulations 1996

16.  In the Jobseeker’s Allowance Regulations 1996(18)—

(a) after paragraph 73(19) of Schedule 7 (sums to be disregarded in the calculation of income other than earnings) there shall be added the following paragraph—

“74.   Any payment made to a claimant’s partner in respect of the partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”; and

(b) after paragraph 62(20) of Schedule 8 (capital to be disregarded) there shall be added the following paragraph—

“63.   Any payment made to a claimant’s partner in respect of the partner’s participation in the Return to Work Credit Scheme pursuant to section 2 of the Employment and Training Act 1973.”.

Amendment of the Social Security (Jobcentre Plus Interviews) Regulations 2002

17.  At the end of regulation 8 of the Social Security (Jobcentre Plus Interviews) Regulations 2002(21) (exemptions) there shall be added the following paragraph—

“(3) A person who, on the day on which the claim for a specified benefit is made or the requirement to take part in an interview under regulation 4 or 7(2) arises or applies is—

(a) required to take part in an interview; or

(b) not required to take part in an interview by virtue of—

(i) a waiver of a requirement; or

(ii) a deferment of an interview,

under the Social Security (Incapacity Benefit Work-focused Interviews) Regulations 2003 shall be exempt from the requirement to take part in an interview.”.

Signed by authority of the Secretary of State for Work and Pensions.

P. Hollis

Parliamentary Under-Secretary of State,

Department for Work and Pensions

20th September 2003