Guidance

COVID-19 Chapter 10: Change of circumstances and notifications

Updated 15 December 2021

This guidance was withdrawn on 14 April 2022

This guidance is no longer current and is not being updated. Find the latest Work and Health Programme (including JETS) provider guidance’

Applies to England and Wales

This is Work and Health Programme Coronavirus (COVID-19) specific guidance, including Job Entry Targeted Support (JETS).

Due to measures and restrictions imposed during the Coronavirus (COVID-19) period, some elements of the Work and Health Programme have been varied. These variations also reflect the contract variations CV01, CV04 and CV05 & CV06.

The following temporary guidance is for use only during this COVID-19 period, as defined by the period contract variations are in place. Procedures and guidance will revert to pre-COVID-19 versions as these variations are revised or revoked. A full version of the original Work and Health Programme guidance remains in publication for reference.

Provider notifies DWP of Change of Circumstances WHP Core (Disengagement/Re-engagement)

1. There are two occasions where you must notify DWP of a change of circumstances whilst on the core Work and Health Programme (WHP). These are when a voluntary Participant in receipt of benefit has disengaged with you or when a Participant has re-engaged with you following a period of disengagement. This only applies to voluntary Participants in receipt of benefit – and there is no requirement to notify DWP of disengagement/re-engagement for a mandatory Participant or a voluntary Participant who is not in receipt of benefit.

Actions for WHP Core

• Notify Jobcentre Plus when the Participant disengages with you, as per the criteria stated in your tender using the change of circumstances notification form (WHP07) sent via unencrypted email
• Where a change in Participant circumstances has resulted in disengagement it is important that you identify any complex needs and/or additional support that they may require before undertaking re-engagement activity
• Continue to attempt to make contact and re-engage with the Participant pending the return of the CEPD1/UC78e from Jobcentre Plus as agreed in your tender for the duration of the programme (this could be up to 456 calendar days WHP) unless you have been informed that a voluntary Participant does not want any further contact
• Notify Jobcentre Plus when the Participant re-engages on the WHP07 notification form sent by unencrypted email.

Please Note: Further detail is provided on unencrypted email process in the detailed background and further information section.

Provider notifies DWP of Change of Circumstances WHP JETS (Disengagement/Re-engagement)

2. There are three occasions where you must notify DWP of a change of circumstances whilst on the Job Entry: Targeted Support (WHP JETS). These are:

• when a Participant after their start on the programme, has disengaged with you
• after having started on the programme when a Participant has re-engaged with you, following a period of disengagement
• after a change in the Participant’s circumstance and through discussions with them, you jointly identify that alternative provision may better support the Participant. This must be in agreement with Jobcentre Plus.

3. For WHP JETS, disengagement after starting on the programme is defined as a Participant failing to attend appointments, or complete activities (as agreed with the provider) and the provider has tried to re-engage with them at least three times within 10 working days from the date of the missed appointment. The first attempt being within two working days, or within any alternative contact arrangement period that they have agreed with the Participant. For example, if the agreed alternative contact agreement was for contact every 20 days, the attempts at contact before considering disengagement action would be three attempts at re-engagement within the 20 days.

4. Where an individual is mandated to attend and participate in the first appointment and fails to attend prior to starting on the programme you must notify DWP. Please see COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 3b Acknowledging referrals, initial Participant engagement and registering a start for further details.

Actions for WHP JETS

Disengagement Process after starting on WHP JETS

• You should notify Jobcentre Plus when the Participant disengages with you as defined on paragraphs 2 and 3 above using the change of circumstances notification form (WHP07) sent via unencrypted email
• If a Participant fails to attend an appointment or undertake agreed activities with you after they have attended the initial appointment /first appointment and started on WHP JETS, you must attempt to contact the Participant on 3 separate occasions within 10 working days (or alternative contact timescale if agreed). The first attempt being within two working days
• You must update your records for each attempt. If you fail to re-engage with the Participant within this timescale, you must notify Jobcentre Plus via a WHP07 of the Participants’ disengagement
• Once you have notified Jobcentre Plus of the Participant disengagement do not enter an early completer code into Provider Referral and Payment System (PRaP). The referral will remain open for the duration of the 182 calendar days’ time on the programme to enable re-engagement if appropriate.

Please Note: Further detail is provided on unencrypted email process in the detailed background and further information section.

Circumstances where a Participant disengages from the programme and you don’t need to notify DWP.

5. When, after starting on the programme, a WHP JETS Participant has informed you that they wish to disengage from the programme because they require no further support, you are not required to inform Jobcentre Plus of this.

6. You should attempt to discuss and agree a contact arrangement with the Participant for the remainder of their time on the programme to enable them to access any additional support they may require. You must record the outcome of this discussion in the Participant’s records. Do not enter an early completer code into PRaP.

7. The referral will remain open for the duration of the 182 calendar days’ time on the programme to enable re-engagement if appropriate.

Participant has a change in circumstances that affects their engagement on WHP JETS and WHP Core

8. Where a change in a Participant circumstance has resulted in disengagement it is important that you identify any complex needs and/or additional support that they may require. You should take any appropriate steps/action to support and encourage the Participants re engagement to enable them to continue their time on provision.

9. Further information regarding complex needs can be found in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 Working with Participants with complex needs and/or additional support requirements.

Please Note: All notifications for Special Customer Record (SCR) and Multi-Agency Public Protection Arrangements (MAPPA) Participants will remain clerical notifications.

Background

10. Further detail is provided in the Detailed background and further information section.

Jobcentre Plus contact following WHP Core Participant disengagement

11. Jobcentre Plus will attempt to contact the Participant after receiving the WHP07 notifying them of a voluntary Participant disengagement from the programme. They will try to find out why the Participant has disengaged and encourage them to re-engage.

Please Note: During the current Covid-19 situation the level of response will vary.

12. Where a Participant has been contacted and wishes to re-engage, Jobcentre Plus will notify you of the outcome on a CEPD1/UC78e change of circumstances form and signpost the Participant back to you

13. If Jobcentre Plus was unable to contact the Participant, they will notify you of the outcome on a CEPD1/UC78e form.

Actions

• On receipt of CEPD1/UC78e form update the Participants record with the outcome as notified to you. Where you have been notified that a Participant will be re-engaging with you arrange to contact them and continue to support them for the remainder of their time on the Programme
• Notify Jobcentre Plus when the Participant re-engages using the change of circumstances notification form (WHP07) sent via unencrypted email
• Where you have been notified that a Participant will not be re-engaging with you update your records with the reason for disengagement as notified to you
• Where Jobcentre Plus are unable to confirm the Participants status you will receive a notification on a CEPD1 or UC78e. You should attempt to make contact and re-engage with the Participant as agreed in your tender for the duration of the programme unless you have been informed that a voluntary Participant does not want any further contact.

14. Further detail is provided on unencrypted email process in the detailed background and further information section.

15. Please Note: The Participant may re-engage with you at any point and continue on the programme for the remainder of their allotted time (this could be up to 456 calendar days. (WHP Core).

Jobcentre Plus WHP JETS contact following Participant disengagement

16. Jobcentre Plus will attempt to contact the Participant after receiving the WHP07 notifying them of a Participant disengagement from the programme. They will try to find out why the Participant has disengaged from the programme and, if appropriate encourage them to re-engage.

Please Note: During the current Covid-19 situation the level of response will vary.

17. Where a Participant wishes to re-engage, Jobcentre Plus will notify you of the outcome on a CEPD1/UC78e change of circumstances form and signpost them back to you.

Actions

• On receipt of CEPD1/UC78e form update the Participants record with the outcome as notified to you. Where you have been notified that a Participant will be re-engaging with you, arrange to contact them and continue to support them for the remainder of their time on the programme
• Notify Jobcentre Plus when the Participant re-engages using the change of circumstances notification form (WHP07) sent via unencrypted email
• Where you have been notified that a Participant will not be re-engaging with you, update your records with the reason for disengagement as notified. You should not input a completer reason
• Where Jobcentre Plus are unable to confirm the Participants status you will receive a notification on a CEPD1 or UC78e. You should attempt to make contact and re-engage with the Participant as agreed in your tender, for the duration of the programme unless you have been informed that a voluntary Participant does not want any further contact.

Background

18. Further detail is provided in the Detailed background and further information section

Signposting to alternative provision for WHP JETS

19. There may be an occasion where after a change in the Participant’s circumstances and through discussions with the Participant, you jointly identify that alternative provision is required. In the first instance you should discuss and where appropriate refer to other suitable support accessible, via your programme, before considering other alternatives.

20. If following this discussion, there is no suitable non DWP provision you should signpost the Participant to their work coach to discuss their options, including alternative suitable support as outlined in the bullets below.

Actions for WHP JETS

• You must discuss the Participant’s requirements with them considering their change in circumstances and the support you can offer them
• You must discuss with the Participant any suitable support/non-contracted provision which may be appropriate to support them whilst they participate on WHP JETS, e.g. bereavement or debt counselling
• Where you jointly agree that an alternative suitable support/provision may be appropriate signpost the Participant back to their Work Coach to discuss
• You must notify the Work Coach of this via the WHP07 (sent by unencrypted email) annotated with the words “alternative support discussion”
• You must continue to support the Participant via WHP JETS as outlined in your tender
• On receipt of the WHP07, the Work Coach, if appropriate, will contact you to discuss whether a referral to an alternative DWP contracted provision is appropriate
• The Work Coach will contact the Participant to discuss and will update you of the outcome via the CEPD1/UC78e notification form
• Upon receipt of the CEPD1/UC78e notification form, you must take the most appropriate action immediately to either continue to support the Participant via WHP JETS or close the WHP JETS referral down by inputting completer reason ’46 exceptional circumstances’
• Failure to close down the line immediately may impact RTE tracking and may result in a performance outcome not being achieved

Please Note: For the purpose of ESF, Participants must not currently be on any other DWP ESF funded/match funded provision. It is therefore important that the line is closed immediately if requested by Jobcentre Plus.

21. Further information regarding completer action can be found in COVID-19 Work and Health Programme Provider Guidance including Job Entry: Targeted Support (JETS) Chapter 11.

Please Note: Further detail is provided on unencrypted email process in the detailed background and further information section.

Voluntary Participant reaches 24 month Unemployment and meets Long Term Unemployed (LTU) eligibility (Not applicable to WHP JETS)

22. When a voluntary Participant in receipt of benefit reaches the 24-month unemployed stage their participation on the WHP Core will remain voluntary unless they disengage from the programme.

23. If the Participant has disengaged, the Work Coach will explain to them that they are now required to participate on WHP Core for their remaining balance of time issue a revised mandatory referral letter to them and signpost them back to you. You will be notified of this change on a CEPD1 or UC78e change of circumstances form.

Please Note: For the Covid-19 period the Work Coach will annotate their records and encourage the Participant to re-engage on a voluntary basis.

Actions

• Update the Participants record to show that they have reached their 24 months unemployed period
• Contact the Participant and continue to support them for the remainder of their allotted time on the programme.

Consequence

Failure to update your records with a change notified to you may result in you providing inappropriate support for your Participants.

Please Note: This only applies to Participants on Jobseekers Allowance (JSA) when they meet the LTU eligibility criteria and Universal Credit (UC) Participants who start in the Intensive Work Search Regime (IWSR) and are in the IWSR when they reach 24 months.

Background

24. Further detail is provided in the Detailed background and further information section.

Participant notifies provider of change of circumstances (WHP Core & WHP JETS)

25. It is the responsibility of the Participant to notify Jobcentre Plus of any change in their circumstances that occur whilst attending WHP Core or WHP JETS.

Actions

• Where a Participant informs you of any change of circumstance you must direct them to report the change to Jobcentre Plus. Further information can be found at https://www.gov.uk/contact-jobcentre-plus
• It is important that you assess how this change affects your engagement, including where any complex needs/additional support is required
• Update your records to ensure you have the most up to date information for your Participants
• Keep in regular contact with the Participant to ensure you have the latest personal information.

26. Further information regarding complex needs and additional support can be found in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 - Working with Participants with complex needs and/or additional support requirements.

Consequence

Failure to update your records with a change notified to you may result in you providing inappropriate support for your Participants.

Please Note: In relation to bullet one above some Participants in receipt of UC have a journal, in these cases ask them to update their journal to report the change in circumstances rather than direct them to Jobcentre Plus.

Background

27. Further detail is provided in the Detailed background and further information section.

Jobcentre Plus notifies provider of a change of circumstances (WHP Core & WHP JETS)

28. It is essential that you are in regular contact with the Participant to ensure you have the latest personal information. However, Jobcentre Plus will also notify you of changes.

29. You may receive such notification of a Participant change of circumstance via a number of routes for example:

• Jobcentre Plus will usually notify you of a change in the Participant’s circumstances by unencrypted email to your designated inbox (CEPD1 for Jobseekers Allowance (JSA), Income Support (IS) and Employment and Support Allowance (ESA) Participants and a UC78e for UC Participants)
• Some clerical notifications of change of circumstances forms may be received by post.

Please Note:

• During the current Covid-19 situation the level of response will vary
• All notifications for Special Customer Record (SCR) and Multi-Agency Public Protection Arrangements (MAPPA) Participants will remain clerical notifications.

Action

• On receipt of the notification of a Participant’s change of circumstances you must ensure that the Participant has been referred to you or your sub-contractors
• If you are satisfied that the Participant has been referred to you or your sub-contractors, you must accept the notification and review the change of circumstances
• It is important that you assess how this change affects your engagement, including where any complex needs/additional support is required
• Update your records to ensure you have the most up to date information for your Participants.

30. Further information regarding complex needs and additional support can be found in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 Working with Participants with complex needs and/or additional support requirements.

Consequence

Failure to review a change of circumstances may result in you providing inappropriate support for your Participants.

Please Note: If you receive a change of circumstances for someone who is not your Participant you must notify DWP and destroy the notification. Further information regarding notification of Participant change of circumstances via unencrypted email can be found in the Notification of Participant change of circumstances via unencrypted email section

Background

31. Further detail is provided in the Detailed background and further information section.

Easement for Victims of Domestic Violence (WHP Core & WHP JETS)

32. Where a Participant notifies Jobcentre Plus that they have been a victim of actual or threatened domestic violence, the Jobcentre will send you a UC78e for UC Participants or a CEPD1 for Participants claiming JSA, IS and ESA via unencrypted email with the start date of the easement. When the easement ends, the Jobcentre will send you another confirming the end date so that you can resume engagement with the Participant.

Actions

• On receipt of notification that an easement applies, suspend your engagement with the Participant, unless otherwise stated by Jobcentre Plus
• On receipt of notification that the easement period has ended, resume your engagement with the Participant, unless otherwise stated by Jobcentre Plus.

Consequence

Failure to review and action a change may result in you providing inappropriate support for your Participants.

Background

33. Further detail is provided in the Detailed background and further information section.

Easement for Homeless Persons (WHP Core & WHP JETS)

34. Where a Participant informs Jobcentre Plus that they are homeless the Jobcentre may decide to invoke an easement. Where this is the case you will be sent a UC78e for UC Participants or a CEPD1 for Participants claiming JSA, IS and ESA.

Action

• On receipt of notification that an easement applies, adjust your engagement with the Participant accordingly. When you receive notification via change of circumstances form that the easement period has ended you should resume your engagement with the Participant.

Background

35. Further detail is provided in the Detailed background and further information section.

Easement for Participants who are members of the Territorial Army or Reserves Forces (WHP Core & WHP JETS)

36. A member of the Reserve Forces (including the Territorial Army) is treated as being available for work when engaged in annual continuous training for a maximum of 15 days per calendar year. Such persons are also treated as actively seeking employment for any period during any week in which they are engaged in annual continuous training for at least three days, again up to a maximum of 15 days per calendar year.

37. Accordingly, a member of the Reserve Forces must be excused attendance from WHP Core or WHP JETS for a maximum of 15 days in any calendar year, where they are attending their annual training camp.

Actions

• Where a Participant report that they are due to attend their annual training camp, you should advise them that they are required to report it as a change of circumstances to their local jobcentre office, before they attend the camp. Some Participants in receipt of UC have a journal, in these cases ask them to update their journal to report the change in circumstances rather than direct them to Jobcentre Plus
• On receipt of notification that an easement applies, suspend your engagement with the Participant
• When you receive notification that the easement period has ended you should resume your engagement with the Participant.

Background

38. Further detail is provided in the Detailed background and further information section.

Extended Period of Sickness (EPS) – JSA Participants only (WHP Core & WHP JETS)

39. A JSA Participant can have two periods of sickness of up to 14 days within a job seeking period. If a Participant suffers a third or longer period of sickness, they can volunteer to stay on JSA for up to 13 weeks in a rolling 12-month period on an EPS.

Please Note: A Participant’s conditionality may change during the EPS. The Jobcentre Plus Work Coach will notify you if the Participant’s conditionality changes during EPS on a CEPD1. The Jobcentre Plus Work Coach will notify you on form CEPD1 of:

• confirmation that the Participant has declared that they are unwell
• the start and end dates (if known) of the period of sickness
• if an EPS is appropriate, details of changes in the conditionality requirements
• the date from when those change apply from.

Action

• If a Participant has tailored conditionality you must consider adjusting your approach during this period taking account of their circumstances
• On receipt of the notification that the Participant is on a period of sickness you must consider the Participant’s conditionality if you engage with the Participant
• If the Participant has no conditionality you must not mandate the Participant to undertake any specified activities. However, you may continue to engage with the Participant during this period taking into account their circumstances
• If the Participant has limited conditionality you must contact the Participant to discuss revisions to their action plan and agree reasonable activities, you expect them to do for the time they are under limited conditionality.

Please note: You must not mandate WHP JETS Participants.

Consequence

Failure to update your records may result in you providing inappropriate support for your Participants.

Background

40. Further detail is provided in the Detailed background and further information section.

Informing Jobcentre Plus of an incident or accident on your premises (WHP Core & WHP JETS)

41. Any incidents or accidents which occur on your premises should be reported to your Jobcentre Plus contact immediately by telephone and followed up in writing.

Actions

• Contact Jobcentre Plus to report the incident/accident
• Ensure immediate action is taken to ensure the safety of Participants and prevent reoccurrence
• Record all accidents, including minor incidents in your accident book
• All accidents covered by the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) are reported to the appropriate enforcing authority
• An investigation must be carried out to assess whether any changes should be made to the workplace or procedures following the accident/incident
• Risk Assessment Control Measures must be reviewed and, if necessary, revised to ensure their effectiveness and that they remain suitable and sufficient.

42. Further Information can be found in Generic Provider Guidance Chapter 2 – Delivering Provision.

Detailed background and further information

Provider notifies DWP of Disengagement/Re-engagement

WHP Core Programme

Disengaged Process – No contact with Voluntary Participant in receipt of benefit

43. Disengagement is when a Participant is no longer interacting with you for a continued period as agreed in your tender; this may also be part of your agreed delivery model. The process applies only after a Participant has started on the programme. The purpose of this process is to assist you to re-engage with a Participant who you have been unable to contact by triggering an interaction with Jobcentre Plus to establish why they have disengaged.

44. You should notify Jobcentre Plus immediately when a voluntary Participant in receipt of benefit has met your disengagement criteria as set out in your tender and you have not been able to make contact. You should complete a WHP07 form and send by unencrypted email, advising of the last date the Participant engaged with you.

45. The disengagement process should be followed if you have:

• attempted to re-engage with the Participant in line with your tender and not been able to make contact
• not received any notification from Jobcentre Plus to inform you of a change of circumstances on a CEPD1 or UC78e.

46. You must notify Jobcentre Plus on the first day you deem a voluntary Participant to have disengaged from the programme and send one WHP07 per Participant by unencrypted email.

47. When notifying Jobcentre Plus of disengagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

• WHP Participant Disengagement or Engagement
• Participants surname
• last three digits of their National Insurance Number (NINO).

48. If a Special Customer Record (SCR) Participant has disengaged with you, your Nominated Officer should complete the change of circumstances form, ensure that it is marked clearly that the claimant is a SCR Participant and send it to the Nominated Officer in the relevant Jobcentre Plus office by a secure postal service. Further information may be found in Generic Provider Guidance Chapter 2 – Delivering Provision.

49. A Jobcentre Plus Work Coach will attempt to contact the Participant to discuss participation in WHP Core. The Jobcentre Plus Work Coach will notify you of the outcome of this interview on a CEPD1/UC78e change of circumstances form.

50. In cases where a change of circumstances may have contributed to the Participants disengagement it is important that you refer to COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 – Working with Participants with complex needs and /or additional support requirements and identify any complex needs and/or additional support they may require before undertaking re-engagement activity.

Disengaged Process – Contact with Voluntary Participant in receipt of benefit (WHP Core)

51. A WHP07 is still required to be completed even though there is contact with the Participant and the Participant has asked you not to contact them.

52. Where a Participant has asked you not to contact them. The Participants request should be adhered to and their file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file. In this scenario you should complete a WHP07 to inform Jobcentre Plus that the Participant has disengaged and wants no further contact.

Actions to take when a WHP07 has been sent (WHP Core)

53. Where you have sent the WHP07 to the Jobcentre to instigate contact with a Work Coach you have a responsibility to endeavour to contact and re-engage with the Participant as agreed in your tender for the duration of the programme (this could be up to 456 calendar days). This does not apply where a voluntary Participant has already advised that they do not want any further contact.

Please Note: During the current COVID-19 situation the level of response will vary.

54. Therefore, if you have still had no contact from the Participant, and not received a CEPD1/UC78e from Jobcentre Plus, then you must attempt to re-engage as per the re-engagement process in your tender.

55. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file.

56. If the Participant decides to re-engage at any point during the remainder of the 456 calendar days Jobcentre Plus will signpost the Participant back to you for the balance of time. If the Participant has notified you directly then you will complete a WHP07 to advise that Jobcentre Plus that they have re-engaged.

Circumstances that are not considered disengagement – WHP07 not required (WHP Core)

57. The disengagement process should not be followed and a WHP07 is not required to be completed in the following circumstances as there is contact with the Participant when you:

• make arrangements to tailor the level of engagement with a Participant who you are in contact with due to a change in circumstances, for example a Participant may have an operation and require two-weeks recovery

• receive a CEPD1/UC78e change of circumstances notification from Jobcentre Plus where you may be asked to suspend or reduce engagement due to an easement (usually for a finite period of time).

58. As per bullet one above, it is possible that a Participants participation will be affected by a change of circumstances or period of ill health. In these circumstances it may be appropriate to tailor engagement. Further information is held in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 – Working with Participants with complex needs and /or additional support requirements, provides details around complex needs and additional support - tailoring the level of engagement with a Participant forms part of this.

Re-engagement – Completion of WHP07 for Voluntary Participants in receipt of benefit (WHP Core)

59. You must notify Jobcentre Plus on the WHP07 change of circumstances notification form and send by unencrypted email when the Participant re-engages with you.

60. When notifying Jobcentre Plus of re-engagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

• WHP Participant Engagement
• Participants surname
• last three digits of their National Insurance Number (NINO)
• One notification form per email.

Voluntary Participant not in receipt of benefit stops engaging with you (WHP Core)

61. If a non-benefit claiming Participant disengages, you do not need to report this change to Jobcentre Plus. You have a responsibility to endeavour to make contact and re-engage with the Participant throughout this period as agreed in your tender.

62. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why if a reason is provided. If the Participant states that they do not want to participate anymore this is a sufficient reason to note on the file.

63. Where a change of circumstances may have contributed to the Participants disengagement it is important that you refer to COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 Working with Participants with complex needs and /or additional support requirements and identify any complex needs and/or additional support they may require before undertaking re-engagement activity and agree the appropriate level of interaction.

64. A non-benefit Participant referral will be identified on PRaP and it is your responsibility to maintain accurate records to ensure this information is up to date.

Participant receiving In-Work-Support (IWS) during extension period – WHP07 not required (WHP Core)

65. A Participant is on the WHP Core for up to 456 calendar days with a possibility of it extending to a maximum of 639 calendar days where they require IWS.

66. Where a Participant is receiving IWS and you have been unable to contact them a WHP07 should not be sent to Jobcentre Plus to notify of disengagement. In these circumstances you must still try and contact the Participant.

67. If the Participant contacts you and specifically requests that you do not contact them, their wishes should be adhered to and the file noted with the reasons why, if a reason is provided.

Provider notifies DWP of Disengagement/Re-engagement

WHP Job Entry Targeted Scheme (JETS)

Disengagement Process

68. Disengagement occurs when a Participant is no longer interacting with you for a continued period. The disengagement process for WHP JETS is different to that of WHP Core.

WHP JETS definition of Participant disengagement

69. When a Participant has started on the provision and fails to attend or hasn’t completed the activities that they have agreed to with you, or have told you that they consider that they have received all the support that they require. This might also include not attending appointments.

70. For Participant’s mandated to attend and participate in the first appointment, the definition for disengagement also includes the Participant not attending the first appointment you have asked them to attend. For further details regarding this and the activities you must complete in these circumstances please see Chapter 3b Acknowledging referrals, initial Participant engagement and registering a start.

Participant disengages after starting on the programme (WHP JETS)

71. If a WHP JETS Participant dis-engages with you after starting on the programme, you must try to re-engage with the Participant at least three times (within the 10 working day contact period). This will be from the date of the first missed appointment or activity (or within the alternative contact period that you have agreed with the Participant if appropriate).

72. If you cannot engage with the customer, you must send a WHP07 to Jobcentre Plus to notify them of the Participant disengagement.

73. The disengagement process should be followed if you have:

• attempted to re-engage with the Participant as detailed above and not been able to make contact
• not received any notification from Jobcentre Plus to inform you of a change of circumstances on a CEPD1 or UC78e.

74. You must notify Jobcentre Plus on the first day you deem a Participant to have disengaged from the programme and send one WHP07 per Participant by unencrypted email.

75. When notifying Jobcentre Plus of disengagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

• WHP JETS Participant disengagement
• Participants surname
• last three digits of their National Insurance Number (NINO)
• One notification form per email.

76. If a Special Customer Record (SCR) Participant has disengaged with you, your Nominated Officer should complete the change of circumstances form, ensure that it is marked clearly that the claimant is a SCR Participant and send it to the Nominated Officer in the relevant Jobcentre Plus office by a secure postal service. Further information may be found in Generic Provider Guidance Chapter 2 Delivering Provision.

77. A Jobcentre Plus Work Coach will attempt to contact the Participant to discuss participation in WHP JETS. The Jobcentre Plus Work Coach will notify you of the outcome of this interview on a CEPD1/UC78e change of circumstances form.

Participant requires no further support from you (WHP JETS)

78. When a Participant has informed you that they wish to disengage from the programme because they require no further support, you are not required to inform Jobcentre Plus of this. You should attempt to discuss and agree a contact arrangement with the Participant for the remainder of their time on programme to enable them to access any additional support they may require. You must record the outcome of this discussion in your records.

79. The PRaP line will not be closed and therefore should the customer decided to re-engage within the 182-day period they have the option of doing so.

Circumstances that are not considered disengagement – (WHP07 not required WHP JETS)

80. The disengagement process should not be followed and a WHP07 is not required to be completed in the following circumstances as there is contact with the Participant when you:

• make arrangements to tailor the level of engagement with a Participant who you are in contact with due to a change in circumstances, for example a Participant may have an operation and require two-weeks recovery
• receive a CEPD1/UC78e change of circumstances notification from Jobcentre Plus where you may be asked to suspend or reduce engagement due to an easement (usually for a finite period of time).

81. As per bullet one above it is possible that a Participants’ participation will be affected by a change of circumstances or period of ill health. In these circumstances it may be appropriate to tailor engagement. Further information is held in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 Working with Participants with complex needs and /or additional support requirements, provides details around complex needs and additional support - tailoring the level of engagement with a Participant forms part of this.

Re-engagement (Completion of WHP07 WHP JETS)

82. You must notify Jobcentre Plus on the WHP07 change of circumstances notification form and send by unencrypted email when the Participant re-engages with you.

83. When notifying Jobcentre Plus of re-engagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

• WHP JETS Participant Engagement
• Participants surname
• last three digits of their National Insurance Number (NINO)
• one notification form per email.

Compliance Checks (WHP Core & WHP JETS)

84. The DWP Performance and Compliance Officer (PCO) will review evidence of your disengagement/re-engagement process at regular intervals against what you agreed to deliver in your tender (WHP Core) and CSS’ for WHP JETS. However, DWP is aware that some Participants may not wish to receive continued support and engagement from Providers, and they may not be receptive to continuing attempts by Providers to keep in touch.

85. It is appropriate in these cases to support the needs of the Participant therefore you should ensure you annotate your records in the following circumstances:

• A voluntary Participant has asked you not to contact them (send WHP07 to Jobcentre Plus to inform them of disengagement but contact with the Participant should cease)
• You have agreed to suspend/reduce engagement due to a change of circumstances (usually for a finite period).

86. This evidence needs to be clearly documented in your internal systems.

Participant notifies provider of change of circumstances (WHP Core & WHP JETS)

87. Where a Participant informs you of a change of circumstances you should direct the Participant to report the change to Jobcentre Plus and update your records accordingly. Further information can be found here: https://www.gov.uk/contact-jobcentre-plus

88. It is the Participants responsibility to notify Jobcentre Plus of any change in their circumstances that occur whilst attending WHP Core or WHP JETS.

Please Note: Some Participants in receipt of UC have a journal, in these cases ask them to update their journal to report the change in circumstances rather than direct them to Jobcentre Plus.

Participant Death (WHP Core & WHP JETS)

89. If the Participant’s representative notifies you that the Participant has died you must direct the Participant’s representative to Jobcentre Plus to report the change.

90. You should only note your records at this stage. Do not undertake any action to input an end date and completer reason until you receive confirmation of the Participant’s death from DWP.

DWP notifies provider of a change of circumstances (WHP Core & WHP JETS)

91. You should bear in mind that a Participant may be with you throughout the 456 calendar days duration of WHP Core or 182 calendar days duration of WHP JETS. It is essential that you are in contact with the Participant as outlined in the revised CSS in the Covid-19 period to ensure you have their latest personal information and that you endeavour to work with them while taking into consideration their circumstances.

92. However, DWP will also notify you of changes on a CEPD1 or UC78e change of circumstances form. It is important that you assess how this change affects your engagement, including where any complex needs/additional support is required. Further information can be found in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 6 Working with Participants with complex needs and /or additional support requirements.

93. The following sections detail changes that DWP may notify you of however this is not exhaustive.

Special Customer Records (WHP Core & WHP JETS)

94. Any notifications you receive from DWP about a SCR Participant should only be dealt with by your Nominated Officer. Further information may be found in Generic Provider Guidance Chapter 2 Delivering provision and in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 14 Validation.

95. All information on SCR Participants whether received from Jobcentre Plus or generated by yourselves must be stored securely at all times. Further information is contained in Generic Provider Guidance Chapter 8 Information Security.

Please Note: All notifications for Special Customer Record (SCR) and Multi-Agency Public Protection Arrangements (MAPPA) Participants will remain clerical notifications.

Participant referred as a mandatory Participant when they should be a voluntary Participant (WHP Core only)

96. If a voluntary Participant is incorrectly referred to WHP Core as a mandatory LTU Participant the Work Coach will contact you to explain the error. They will ask you to cease any further engagement with the Participant until further notice.

97. Following notification of the error Jobcentre Plus will contact the Participant and give them the option to remain on the programme or leave.

98. Should the Participant decide to remain on the programme a Jobcentre Plus Work Coach will notify you by email on a UC78e/CEPD1 to treat the Participant as voluntary. You should review any mandatory activities as they will no longer be appropriate.

99. If the Participant decides to leave the programme you will be notified on a UC78e/CEPD1 and you should take the appropriate action to cancel the referral as outlined in the COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 3 Acknowledging referrals, initial Participant engagement and registering a start.

Participant starts work (WHP Core & WHP JETS)

100. When a Participant starts work Jobcentre Plus will notify you if the Participant starts/ends work (including part time, voluntary, self-employed, permitted), lost work, change in hours worked.

Participant becomes sick (WHP Core & WHP JETS)

101. A Jobcentre Plus Work Coach will notify you when a Participant has a period of sickness. If a Participant is in receipt of JSA they can have two periods of sickness of up to 14 days within a job seeking period. For further information please refer to EPS section detailed in this chapter.

Participant Death (WHP Core & WHP JETS)

102. If you are notified of a Participants death by their representative direct the representative to notify Jobcentre Plus.

103. If Jobcentre Plus becomes aware that the Participant has died they will contact you immediately by telephone and also notify you by email on a UC78e for UC Participants or a CEPD1 for Participants claiming JSA, IS and ESA.

104. Once you receive the information from Jobcentre Plus you should update the PRaP system. The actual date of death must be recorded and not the date that the notification of the Participants death was received if you have not received confirmation from Jobcentre Plus after having being informed by the Participants representative.

105. You should contact your local Jobcentre Plus to request confirmation. If you are unable to obtain this through your usual points of contact, email the “DWP WHP enquiries inbox” requesting confirmation, providing them with the Participants name, NINO and DOB on one email per Participant.

106. For further information please refer to COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 11 Programme completers and early exits.

Participant moves to another geographical area (WHP Core & WHP JETS)

107. If a Participant changes address to one outside your contract package area they will remain your responsibility. It will be up to you to arrange appropriate support via yourselves and your strategic partners to deliver the service requirement until the end of their allotted time.

Please Note: For WHP Core if a mandatory Participant moves to Scotland, and whilst they remain in Scotland, they are no longer required to participate in the Programme on a mandatory basis. However, they may choose to continue participating on a voluntary basis.

Participant’s entitlement to benefit changes and/or Labour Market Regime Changes (WHP Core & WHP JETS)

108. Should a Participant’s entitlement to benefit/Labour Market Regime change during their time with you, Jobcentre Plus will notify you of changes in conditionality/ participation requirements.

109. It is important to bear in mind that the Participant may remain with you throughout the 456 calendar days allotted time on WHP Core or 182 calendar days allotted time on WHP JETS, unless they satisfy one of the early completer reason criteria (no matter what the change(s) in their circumstance).

Participant is imprisoned (WHP Core & WHP JETS)

110. Should the Participant become imprisoned, they will remain on WHP Core or WHP JETS for their allotted time.

111. It is important to review the change in circumstances and consider the impact of imprisonment on your engagement/support with the Participant.

Mandatory Participant on WHP Core changes from UC Intensive Work Search Regime to another regime (Not applicable to WHP JETS)

112. Where you are notified that a mandatory LTU Participant on UC in the Intensive Work Search Regime moves to another regime they remain attached with you and their participation requirements should be treated as the same as those of a Voluntary Participant.

Self-Employment whilst on UC

Please Note: For the period of COVID-19 Jobcentre Plus will not be completing the Self-employment gateway interviews, therefore you will not be notified of any outcome.

113. When a Participant report that they are self-employed, or a partner that is already self-employed joins an existing claim, a Jobcentre Plus Gateway Interview is needed to provide an assessment of whether the Participant and/or partner is in gainful self-employment for UC purposes. You should advise the Participant to telephone the UC Service Centre to arrange a Gateway Interview to disclose their self-employment.

114. Further information on the UC self-employment gateway interview can be found in the section covering Overview of the Self Employment Gateway Interview of this Chapter.

115. The requirements set out in the section covering Overview of the Self Employment Gateway Interview of this Chapter are for UC purposes only to advise you of what a Participant will need to do to meet the conditionality requirements of being self-employed whilst on UC.

116. It is for the Participant to meet the requirements for declaring as UC Self-employed, however it would be to your advantage to ensure they are complying with the requirements as DWP will access pertinent data within a Participants UC record to determine if they are gainfully self-employed.

117. For WHP Core or WHP JETS Self-Employed Outcome definition and validation requirements, please see the relevant contractual clauses and the additional information contained in COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 13 Funding Model and COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 14 Validation.

118. There are additional specific ESF Regulations for self-employed Participants for additional information please refer to COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 14 Validation.

119. The Jobcentre Plus Work Coach will notify the outcome of the interview on a UC78e change of circumstances form. If the Participant is gainfully self-employed and a start-up period is appropriate, they should also include the start and end dates.

120. If the Participant is treated as being gainfully self-employed, the Jobcentre Plus Work Coach will book a subsequent self-employed quarterly interview to take place at three, six and nine month stages. At the end of each quarterly interview (or at any other time when a change is reported), the Jobcentre Plus Work Coach will notify you if the Participant: any other time when a change is reported), the Jobcentre Plus Work Coach will notify you if the Participant:

• has ceased self-employment
• start-up period has come to an end
• is no longer gainfully self-employed
• remains gainfully self-employed, but have not taken sufficient steps to increase their earnings during a start-up period. Where the start-up period ends, the Participant’s Labour Market Regime will be amended to Working Enough Regime if they would otherwise fall within the Intensive Work Search Regime and their participation becomes voluntary.

121. The Jobcentre Plus Work Coach will inform you of any change to the Participant’s labour market regime and work search and work availability requirements.

122. Further information on self-employment can be found on the Self employment and Universal Credit website.

UC Participant / partner refuses to accept Claimant Commitment (WHP Core & WHP JETS)

123. As part of entitlement to UC the Participant will have a Claimant Commitment specifying the work related requirements they must complete. In the case of a couple, each will have their own Claimant Commitment. Jobcentre Plus is responsible for reviewing and updating the Participant’s Claimant Commitment to reflect any changes to the claim or their conditionality.

Please Note: UC claimants must accept their Claimant Commitment but there is no requirement for them to sign it.

124. If the Participant or, in the case of a household/joint claim, their partner refuses to accept the updated Claimant Commitment they will be given a ‘cooling off’ period of five working days. If either the Participant or partner refuses to accept the Claimant Commitment, their claim to UC will be closed.

125. Jobcentre Plus will notify you if the Participant (or partner) refuses to accept the updated Claimant Commitment by completing and sending a change of circumstances form.

126. If a Participant and/or partner refuse to accept an updated Claimant Commitment, they will still be attached to the programme on a voluntary basis. You will be notified of any further change in circumstances, such as reclaiming UC and accepting the Claimant Commitment, so you can re-engage with the Participant.

Easements for victims of domestic violence

127. JSA or ESA WRAG Participants subject to conditionality can have an easement when they have been a victim of actual or threatened domestic violence.

128. JSA Participants will be excused from meeting the labour market conditions: availability, actively seeking employment, requiring a Claimant Commitment (unless they already have one) in certain circumstances, if they tell Jobcentre Plus they have been subject to domestic violence in the previous 26 weeks.

129. A Participant can also be excused from attending Worksearch Reviews during any agreed easement period.

130. There are two elements to the new easement:

• an initial four-week period starting on the day the person notifies Jobcentre Plus that they have been threatened with or subject to actual domestic violence
• the facility to extend the initial easement to 13 weeks upon production to Jobcentre Plus of written evidence by the Participant during the initial four-week period. If the evidence is produced, the 13 week period will begin on the same date as the four-week period.

131. The purpose of the easement is to give the Participant time to resolve any immediate issues arising from the domestic violence, such as finding new accommodation, changing children’s schools or getting legal advice etc.

132. Anyone making a new claim or already receiving benefit who tells Jobcentre Plus that they have been a victim of actual or threatened domestic violence is eligible for the initial four-week easement as long as:

• the incident of domestic violence occurred within the previous 26 weeks
• it meets the definition of domestic violence
• they are not living at the same address as the abuser
• they have not previously had a period of domestic violence easement within the last 12 months.

133. A Participant stating that they are a victim of domestic violence will not be referred to WHP Core or WHP JETS until either the end of their 13-week easement period or after the end of the initial four-week notification period if they fail to provide supporting evidence within that period.

134. If you identify that Participants already on WHP Core or WHP JETS may be victims of domestic violence, you should advise the Participant to contact their Jobcentre Plus office straightaway.

135.Jobcentre Plus will consider the Participant’s eligibility and notify you in writing if the domestic violence easement applies using the CEPD1 change of circumstances form.

136. The Change of Circumstances form will state:

• whether the easement is for four or 13 weeks as appropriate
• start date of the easement
• anticipated end date of the easement
• reason for ending (that is, the easement reached full term, no evidence provided by the end of the fourth week, Participant no longer wishes to avail themselves of the easement
• the revised date, if the easement ended before the anticipated date.

137. A Participant does not have to use all of their 13 week easement in one go. If, before the end of the period, they feel that they are able to meet the benefit conditionality requirements, they can ‘bank’ any remaining weeks and apply to use them again provided that they are used up within 12 months of their first notification to Jobcentre Plus that they have been a victim of domestic violence.

Easement for Homeless Persons

138. An easement has been introduced to help support homeless persons in finding sustainable living accommodation which will help to remove a barrier into employment.

139. The Regulations allow Jobcentre Plus to treat certain homeless Participants as meeting the Jobseeker conditions for periods of time with no limit on the number of occasions on which it can be applied.

140. This will mean that for the period of the easement the Participant will not be required to participate in WHP Core or WHP JETS.

141. This is conditionality easement is dependent upon the Participant taking reasonable action to find living accommodation.

142. Participants who are suffering a domestic emergency as a result of recently becoming homeless can benefit from the easement. It is likely to be most suitable for the specific groups of homeless individuals mentioned below:

• rough sleepers
• those staying in direct hostels (that is, hostels designed to include short-stay residency options specifically for the homeless).

143. If an easement is applied, Jobcentre Plus will advise you of this by issuing you with a change of circumstances form.

144. The change of circumstances form will explain:

• that the Participant is currently unable to attend/take part in the provision
• the reason
• date of commencement of the easement
• that you will be notified when the circumstances change.

Duration and Frequency of the Easement

145. Regulations do not specify a duration for which an easement can be applied for a homeless Participant, nor set a limit on the number of occasions on which it can be applied.

146. It will be for Jobcentre Plus to decide whether a Participant’s homelessness constitutes a “domestic emergency” and the length of time for which the easement is to be applied.

147. It is not expected that a domestic emergency due to homelessness would last for more than four weeks, although Jobcentre Plus Work Coaches can extend the duration of the easement beyond four weeks if they decide that it is appropriate.

148. Jobcentre Plus will undertake a review with the Participant on a regular basis, at least fortnightly, to ensure that the continuation of the easement is still appropriate and that the Participant is taking the required actions to find sustainable accommodation.

149. Once the easement has been lifted you will be notified that the Participant can now attend/participate on WHP Core or WHP JETS and the date from which the easement has been lifted.

150. Where an easement period applies, participation on WHP Core or WHP JETS will be suspended for the duration of the easement. During this time, no contact with the Participant should be made and no sanction doubt should be raised if they fail to undertake a mandated activity, unless completion was expected before the easement was awarded.

151. When the easement period has finished, Jobcentre Plus will notify you using another change of circumstances form. You can then resume engagement with the Participant.

152. A Participant for whom an easement applies will not have their time on WHP Core or WHP JETS extended. It will remain at 456 calendar days for WHP Core and 182 calendar days for WHP JETS.

Easement for Participants who are members of the Territorial Army or Reserves Forces (WHP Core & WHP JETS)

153. A member of the Reserve Forces (including the Territorial Army) is treated as being available for work when engaged in annual continuous training for a maximum of 15 days per calendar year. Such persons are also treated as actively seeking employment for any period during any week in which they are engaged in annual continuous training for at least three days, up to a maximum of 15 days per calendar year.

154. The regulation states Territorial Army members or reserve forces can be deemed as available to attend training. The Territorial Army or Reserve Forces are:

• Royal Fleet Reserve
• Royal Naval Reserve
• Royal Marines Reserve
• Army Reserve
• Territorial Army
• Royal Air Force Reserve
• Royal Auxiliary Air Force
• Royal Irish Regiment.

155. A Participant who is a member of the Territorial Army or Reserve Forces will be excused attendance from the WHP Core or WHP JETS for a maximum of 15 days in any calendar year, where they are attending their annual training camp.

156. Where a Participant report that they are due to attend their annual training camp, you should advise them that they are required to report it as a change of circumstances to their local Jobcentre Plus office, before they attend the camp.

157. The Jobcentre will confirm the Participant’s attendance on the training course by sending you a change of circumstances form.

158. On receipt of the change of circumstances form stating that the Participant is taking part in annual continuous training, participation in WHP Core or WHP JETS will be suspended for the duration of the training period and no contact should be made with the Participant.

159. You can resume engagement with the Participant once the end date of the annual training period has passed.

160. A Participant for whom this easement applies will not have their time on the WHP Core extended it will remain as 456 days.

161. A Participant for whom this easement applies will not have their time on WHP JETS extended it will remain as 182 days.

Extended periods of sickness (EPS) – JSA Participants only (WHP Core & WHP JETS)

162. A JSA Participant can have two periods of sickness of up to 14 days within a job seeking period. If they suffer a third or a longer period of sickness, they can volunteer to stay on JSA for up to 13 weeks in a rolling 12-month period on an EPS.

163. The EPS is one continuous period of 13 weeks or less and cannot be split into separate periods. The 12 month rolling period is calculated from the first date of the EPS.

164. If the Participant volunteers to continue on JSA during the EPS, they are able to stay close to the labour market with personalised conditionality and support tailored to their illness or health condition.

165. The EPS period may be covered by form JSA28 for up to 14 days. From day 15 or day eight, if the period of sickness was expected to last longer than two weeks, the Participant must provide supporting medical evidence, for example, a fit note or Statement of Fitness or Work (SoFFW).

166. If supporting medical evidence is not provided the Participant will be expected to be available for and actively seeking work to stay on JSA. Supporting medical evidence will be retained by the Jobcentre and the detail relating to a Participant’s conditionality will be recorded and notified to you on a change of circumstances form.

167. Once the Participant decides to remain on JSA, the Jobcentre Plus Work Coach will interview them to agree their temporary conditionality. It may be that the Jobcentre Plus Work Coach allows them to be treated as actively seeking work, for a short period of time at the beginning of the period, but they will be expected to increase their activity as they recover.

Health condition likely to last longer than 13 weeks (WHP Core & WHP JETS)

168. At the point the health condition or illness looks likely to last more than 13 weeks the Participant will be advised to claim ESA by the Jobcentre Plus Work Coach.

169. Where this is the case the Jobcentre Plus Work Coach will advise you by issuing a change of circumstances form. You should take the usual action to engage with the Participant on a change in their conditionality. If the Participant claims ESA they become a voluntary Participant so any subsequent Failure to Attend would not result in a sanctions referral.

Participant no longer sick (WHP Core & WHP JETS)

170. If the Participant does not supply a further Fit Note, the Jobcentre Plus Work Coach will notify you on a change of circumstances form that the Participant is no longer sick and has returned to their original conditionality. You may contact the Participant to discuss their on-going support.

Notification of Participant change of circumstances via unencrypted email (WHP Core & WHP JETS)

171. You must notify Jobcentre Plus on the first day you deem a voluntary Participant to have disengaged from the programme and send one WHP07 per Participant by unencrypted email.

172. When notifying Jobcentre Plus of disengagement the WHP07 change of circumstances form must include details of the referring office and Work Coach. The email subject field must contain the following:

• WHP Participant Disengagement or Engagement
• Participants surname
• last three digits of their National Insurance Number (NINO)
• one notification form per unencrypted email.

Participant who has been mandated to attend and participate in their first appointment with you and attends (WHP JETS)

173. For individuals who have attended and participated in their first appointment and informed you that they do not wish to participate on the programme, you should input a Did Not Start (DNS) into PRaP by the 15th working day of receiving the referral. You should complete a WHP07 to notify the Work Coach that the participant attended and participated in the first appointment and refer the individual back to Jobcentre Plus.

174. When notifying Jobcentre Plus of attendance the WHP07 change of circumstances form must include details of the referring office and Work Coach.

175. On the WHP07 note the date the Participant attended and participated in the meeting.

176. The email subject field must contain the following:

• WHP JETS Participant “appointment attended”
• Participants surname
• last three digits of their National Insurance Number (NINO)
• one notification form per unencrypted email.

Circumstances when a Change of Circumstances Notification is required for WHP JETS

177. There are three occasions where you must notify DWP of a change of circumstances whilst on WHP JETS these are:

• when a Participant after their start on the programme, has disengaged with you
• has re-engaged with you following a period of disengagement after having started on the programme
• after a change in the Participant’s circumstance and through discussions with the Participant, you jointly identify that alternative provision may better support the Participant. This must be in agreement with Jobcentre Plus.

178. You must notify Jobcentre Plus of these changes via the WHP07 form to notify the Work Coach.

179. When notifying Jobcentre Plus of disengagement/re engagement or signposting to alternative provision you must complete the WHP07 change of circumstances form, you must include details of the referring office and Work Coach.

180. On the WHP07 note the date the Participant either disengaged or re engaged and for those Participants who you are proposing to signpost to alternative provision note todays date and the words “alternative support discussion”

181. The email subject field must contain the following:

• WHP JETS Participant disengaged or re engaged or
• WHP JETS Participant “alternative support discussion (for those proposing to move to an alternative provision)”
• Participants surname
• last three digits of their National Insurance Number (NINO).
• One notification form per unencrypted email.

182. It is the responsibility of the Participant to notify Jobcentre Plus of any change in their circumstances that occur whilst attending WHP Core or WHP JETS. Where a Participant informs you of a change of circumstances, you are to direct them to report the change to Jobcentre Plus.

Please Note: Some Participants in receipt of UC have a journal, in these cases ask them to update their journal to report the change in circumstances rather than direct them to Jobcentre Plus.

183. For Participants claiming JSA, IS and ESA you will be notified of any changes that impact participation via unencrypted email using the CEPD1 form.

184. For Participants claiming UC you will be notified of any changes that impact participation via unencrypted email using the UC78e form.

185. On receipt of the notification of Participant change of circumstances: ensure that the Participant has been referred to you or your sub-contractors.

186. If referred by email, check that only one change of circumstances form has been attached to the email.

187. If you have received a change of circumstances form for an individual who has not been referred to you or your sub-contractors, or an email containing more than one claimant record, or an email sent to an address other than your designated inbox you must notify DWP.

188. To mitigate the risk of data being lost, DWP Operational Security has restricted the number of client records that may be transmitted via the unencrypted email process to a maximum of one client record on a CEPD1/UC78e form per email. If more than one client record per email is sent via the unencrypted email process, this will constitute a security breach and must be reported to DWP as per current instructions (see Generic Provider Guidance, Chapter 8 Information Security).

189. If you receive more than one CEPD1/UC78e form in an email and you are satisfied that the Participants are attached to you or your sub-contractors, you may process the change as normal as well as reporting this as a security incident to DWP Operational Security (see Generic Provider Guidance, Chapter 8 – Information Security).

190. If you receive a CEPD1/UC78e form for an individual who is not attached to you or your sub-contractors, you must report the security incident (see Generic Provider Guidance, Chapter 8 Information Security) and then delete the email and CEPD1/UC78e form(s).

191. The notification will be sent on a CEPD1/UC78e form from individual Jobcentre Plus email inbox addresses. The format of the Jobcentre Plus email addresses will be ‘firstname.lastname@dwp.gov.uk’

192. To mitigate the risk of information other than that permitted by DWP security, each email sent by Jobcentre Plus will adhere to the standard email protocols listed below:

• You will receive only one CEPD1/UC78e form per e mail
• The standard wording displayed in the email “Subject Box” will be:
  • CEPD1/UC78e_ Programme name CPA_Participants surname¬ _last three digits of Participants NINO

For example:
CEPD1__ Programme name _ CPA1 Sample_56_C
UC78e¬ Programme name _CPA1_Sample_56_C

Please Note: All notifications for Special Customer Record (SCR) Participants will remain clerical notifications and will not be sent via email. Further information regarding SCR cases and what action you need to take please refer to Generic Provider Guidance Chapter 2 Delivering Provision.

Forwarding emails to your sub-contractors (WHP Core & WHP JETS)

193. You may forward UC78e or CEPD1 change of circumstances forms received by unencrypted email to DWP approved sub-contractors and inboxes within your organisation provided that:

• no more than one Participant record at a time is emailed
• a business need to share the information exists
• the recipient is legitimately entitled to receive the information (emails must not be automatically forwarded without ensuring this).

Please Note: You must keep a record of where and when you sent the notification form for three months.

Standard unencrypted Email Content

194. Each email must never contain more than one referral form per email.

195. Each email must contain only the following standard content:

196. Standard wording to be displayed in email ‘Subject Box’:

• Name of referral form
• Participant’s surname
• National Insurance Number – only last three characters

197. Standard wording to be displayed in email ‘Narrative Box’: Sender contact details.

198. Email attachment: Completed referral form.

Contingency process (WHP Core & WHP JETS)

199. There may be occasions when due to circumstances such as IT failure you are temporarily unable to receive change of circumstances via unencrypted email from Jobcentre Plus offices.

200. In these circumstances you must ensure that your DWP District Third Party Provision Manager (TPPM) is kept informed of the situation and how long you anticipate it lasting.

201. The TPPM will inform Jobcentre Plus colleagues of the situation and they will temporarily suspend the use of unencrypted email.

202. If you anticipate the situation will continue for 48 hours or longer you must revert to the change of circumstances clerical contingency of receiving the CEPD1/UC78e through the post until the problem is resolved and you are able to use the unencrypted email again.

203. Your TPPM should be kept updated and prior to you starting to use the contingency arrangements you must inform the TPPM when these arrangements will start. Also before you begin to use the unencrypted email process again you must notify the TPPM.

204. If Jobcentre Plus have an IT failure, your TPPM will notify you if the problem will last for longer than 48 hours and that Jobcentre Plus will revert to the contingency arrangements of sending the CEPD1/UC78e form through the post.

205. Once resolved, your TPPM will notify you when you can expect to start receiving electronic change of circumstances forms again.

Should you require a copy of any of the forms mentioned in this chapter, please email: WHP.ENQUIRIES@DWP.GOV.UK

Overview of the Self Employment Gateway Interview

For the Period of COVID-19 the Self Employment Gateway interview is not happening.

Please Note: These requirements set out in this section of the Chapter are for UC purposes only to advise you of what a Participant will need to do to meet the conditionality requirements of being Self-Employed whilst on UC, this will be for the Participant to meet these requirements, however it would be to your advantage to ensure the Participant is complying with the requirements for declaring as UC self-employed Participant as DWP will access pertinent data within a Participants UC record to determine if the Participant is gainfully self-employed. For meeting the Work and Health Programme Self-employed outcome definition and validation requirements, please see the relevant contractual clauses and the additional information COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 13 Funding Model and COVID-19 Work and Health Programme including Job Entry: Target Support (JETS) Provider Guidance Chapter 14 Validation.

A.01. When a Participant who is claiming Universal Credit (UC), and is in the All Work Related Requirements group (Intensive Work Search regime), reports to Jobcentre Plus that they are self-employed they will be required to attend a Gateway Interview with a Jobcentre Plus Work Coach to decide whether they are gainfully self-employed.

A.02 The Participant will be required to bring a completed Self-Employed Declaration

and as much evidence as possible of their self-employed business.

For example:

• their unique tax reference

• list of customers, suppliers, invoices and receipts

• previous tax returns

• previous declarations of income for tax credits

• business account bank details and statements

• trading accounts from the previous year

• name, address and telephone number of their accountant

• a diary of appointments, business meetings,

• business plans and or marketing material

This list is not exhaustive and the Participant does not need to provide all of them.

Gainfully Self-employed

A.03 For UC purposes, to be gainfully self-employed the following criteria must be

satisfied:

• activity is carried out on a self-employed rather than an employed basis

• self-employment is the Participant’s main employment

• self-employment is regular, organised, developed and carried out in expectation of profit.

A.04 The Jobcentre Plus Work Coach will consider a person is probably self-

employed if they meet some or all of the following:

• run their own business and take responsibility for its success or failure

• usually have several customers at the same time

• decide how, when and where they do their work

• can hire, at their expense, people to do the work for them or help them do it

• provide the main items of equipment needed to do their work

• whether the activity is undertaken for financial gain

• the number of hours spent each week on the work

• any business plan or steps taken to increase income from the activity

• how HM Revenue and Customs (HMRC) regard the activity

• how much work is in the pipeline

• whether the Participant is actively marketing or advertising for work

A.05 If the Participant’s earnings are derived from employment under a contract of

service, or in an office or other ‘casual’ paid work they are not self-employed.

A.06 At the end of the Gateway Interview, the Jobcentre Plus Work Coach will issue

a decision letter to the Participant.

Start-Up Period

A.07 To support them while they grow their business, Participants who have been

assessed as Gainfully Self-Employed may get a Start-Up Period during which they can continue to claim UC without any requirement to look for alternative work. A Start-Up Period will be available to self-employed Participants who:

• are gainfully self-employed for UC purposes

• haven’t been undertaking the self-employed activity for more than 12 months before the start of the UC assessment period in which the Gateway Interview takes place

• haven’t had a start-up period in the last five years

• are taking appropriate steps to increase their earnings with the aim of ultimately increasing earnings to the level of their conditionality earnings threshold

A.08 The Start-Up Period runs from the beginning of the UC assessment period in which the Jobcentre Plus Work Coach agrees the Start-Up Period is applicable and ends after one year unless the Participant fails to continue to satisfy the criteria.

A.09 During the start-up period the Participant must attend quarterly interviews with a Jobcentre Plus Work Coach in order to meet their conditionality requirements. At the interviews the Participant must show that they remain gainfully self-employed and that they have been taking steps to increase their earnings, with the ultimate aim of increasing earnings to the level of their individual conditionality earnings threshold.

A.10 The Participant will indicate the steps they plan to take at the Gateway Interview and subsequent quarterly interviews, and if the Jobcentre Plus Work Coach agrees they are appropriate they will be set out in their Claimant Commitment.

Minimum Income Floor

A.11 The Minimum Income Floor (MIF) is applied to Participants who are assessed as Gainfully Self Employed and would otherwise fall in the Intensive Work Search regime, where the Start-Up Period is not applicable.

A.12 The MIF is an assumed level of net earnings for a self-employed Participant that matches the work expectations of any other Participant with similar circumstances. The MIF is a monthly amount calculated on the basis of working up to a maximum of 35 hours per week and multiplied by the National Minimum Wage for their age group minus tax and National Insurance Contributions.

A.13 If the Participant’s actual earnings are below the MIF, their UC award will be calculated using the MIF. If declared earnings exceed the MIF, actual earnings will be used to calculate the UC award. Participants who have the MIF applied are placed in the Working Enough regime.