Government Production Team

Parts of the Consolidated Report	Government department and official responsible for updates	Contact information
General questions. Parts I, XII and XIII	DWP (Brendan Donegan), Scottish Government (Iain Hunter), Welsh Government (Linda Davis)
Part II	DHSC (Cindy Blick), Scottish Government (Liam Kearney)
Part III	DWP (Brendan Donegan)
Part IV	DWP (Brendan Donegan)
Part V	DWP (Fuller Working Lives and State Pensions Briefing Team)
Part VI	DWP (Neil Walker)
Part VII	HMRC (Preema Shah) and DWP (Brendan Donegan)
Part X	DWP (Lisa Sutherland)
Part XI	DWP (Universal Credit Policy, Planning and Forecasting Analysis)

Consolidated Report on the application by the United Kingdom of ILO Conventions Nos 12, 17, 24, 25, 42, 102 & the European Code of Social Security, 2019

Consolidated information compiled from the following Government Reports on these instruments:

· Workmen's Compensation (Agriculture) Convention (Revised), 1934 (№12)

· Workmen’s Compensation (Accidents) Convention, 1925 (№17)

· Sickness Insurance (Industry) Convention, 1927 (№24)

· Sickness Insurance (Agriculture) Convention, 1927 (№25)

· Workmen’s Compensation (Occupational Diseases) Convention (Revised), 1934 (№42)

· Social Security (Minimum Standards) Convention, 1952 (№102)

· European Code of Social Security

Additional information compiled from the following sources:

· Database, MISSOC

· Official website of the Council of Europe

· Official website of the UK government

· 23^rd Biennial report on unratified parts of the European Code of Social Security made by the United Kingdom to the Council of Europe at Strasbourg for the period 1 July 2014 to 30 June 2016.

Ø Please enter any modifications or new information using TRACK CHANGES function in MICROSOFT WORD.

Ø Where the text of the corresponding provisions of the ECSS and C102 has the same wording, the wording of C102 is taken as the basis, with eventual changes in the ECSS reproduced in brackets.

Ø Questions of the Report Form on the European Code of Social Security (ECSS) or on ILO Conventions (e.g. RF/C102) for which information is lacking are reproduced in a box below the respective provisions.

Ø Replies to pending questions raised by the CEACR may be provided in a box below the CEACR comments.

Summary table

Category	Information available	Information missing / questions raised by the CEACR
Part II. Medical Care
II-1. Regulatory framework	Art.7 C102/ECSS
II-2. Contingencies covered	Art.8 C102/ECSS
II-3. Persons Protected	Art.9 C102/ECSS*
II-4. Types of Benefits	Art.10(1)C102/ECSS
II-5. Cost-sharing	Art.10(2) C102/ECSS
II-6. Objectives of Medical Care	Art.10(3) C102/ECSS
II-7. Promotion of the general health service	Art.10(4) C102/ECSS
II-8. Qualifying period	Art.11 C102/ECSS
II-9. Minimum duration of Benefit	Art.12 C102/ECSS
II-10. Suspension of Benefit		Art.69 C102 Art.68 ECSS
II-11. Right of complain and appeal	Art.70 C102 Art.69 ECSS
II-12. Financing and Administration	Art.71, 72 C102* Art.70, 71 ECSS*
Part III. Sickness Benefit
III-1. Regulatory framework	Art.13 C102/ECSS Art.1 C24/C25
III-2. Contingencies covered	Art.14 C102/ECSS Art.2(1) C24/C25
III-3. Persons Protected		Art.15 C102/ECSS*
III-4. Level and Calculation of Benefit		Art.16 C102/ECSS*
III-5. Qualifying period	Art.17 C102/ECSS Art.3(2) C24/C25
III-6. Minimum duration of Benefit	Art.3(1) C24/C25	Art.18 C102/ECSS
III-7. Medical Care	Art.4,5 C24/C25
III-8. Suspension of Benefit		Art.69 C102 Art.68 ECSS Art.3(3,4) C24/C25
III-9. Right of complaint and appeal		Art.70 C102, Art.69 ECSS Art.9 C24, Art.8 C25
III-10. Financing and Administration		Art.71, 72 C102* Art.70, 71 ECSS* Art.6,7 C24/C25
Part IV. Unemployment Benefit
IV-1. Regulatory framework	Art.19 C102/ECSS
IV-2. Contingency covered	Art.20 C102/ECSS
IV-3. Persons Protected		Art.21 C102/ECSS*
IV-4. Level and Calculation of Benefit		Art.22 C102/ECSS*
IV-5. Qualifying period	Art.23 C102/ECSS
IV-6. Minimum duration of Benefit and Waiting period		Art.24 C102/ECSS
IV-7. Suspension of Benefit		Art.69 C102, Art.68 ECSS
IV-8. Right of complaint and appeal		Art.70 C102, Art.69 ECSS
IV-9. Financing and Administration		Art.71, 72 C102* Art.70, 71 ECSS*
Part V. Old-Age Benefit
V-1. Regulatory framework	Art.25 C102/ECSS
V-2. Contingency covered		Art.26 C102/ECSS
V-3. Persons Protected	Art.27 C102/ECSS*
V-4. Level and Calculation of Benefit		Art.28 C102/ECSS*
V-5. Adjustment of Benefit	Art.65(10) C102/ECSS Art.66(8) C102/ECSS*
V-6. Qualifying period	Art.29 C102/ECSS
V-7. Duration of Benefit	Art.30 C102/ECSS
V-8. Suspension of Benefit	Art.69 C102, Art.68 ECSS
V-9. Right of complaint and appeal	Art.70 C102, Art.69 ECSS
V-10. Financing and Administration	Art.71, 72 C102* Art.70, 71 ECSS*
Part VI. Employment Injury Benefit
VI-1. Contingencies and regulatory framework	Art.1 C12, Art.1 C17 Art.1(1) C42
VI-2. Persons Protected	Art.2 C17
VI-3. Definition of Occupational diseases	Art.2 C42
VI-4. Benefits in cash	Art.5,7 C17, Art.1(2) C42
VI-5. Benefits in kind		Art.9, Art.10(1) C17
VI-6. Waiting period		Art.6 C17
VI-7. Insolvency of employer		Art.11 C17
VI-8. Financing and Administration	Art.8, 10(2) C17
Part VII. Family Benefit
VII-1. Regulatory framework	Art.39 C102/ECSS
VII-2. Contingency covered	Art.40 C102/ECSS
VII-3. Persons Protected	Art.41 C102/ECSS*
VII-4. Types of Benefits	Art.42 C102/ECSS
VII-5. Qualifying period	Art.43 C102/ECSS
VII-6. Level and Calculation of Benefit		Art.44 C102/ECSS*
VII-7. Duration of Benefit	Art.45 C102/ECSS
VII-8. Suspension of Benefit	Art.69 C102, Art.68 ECSS
VII-9. Right of complaint and appeal	Art.70 C102, Art.69 ECSS
VII-10. Financing and Administration	Art.71, 72 C102 Art.70, 71 ECSS
Part X. Survivors’ Benefit
X-1. Regulatory framework	Art.59 C102
X-2. Contingency covered	Art.60 C102
X-3. Persons Protected	Art.61 C102*
X-4. Level and Calculation of Benefit		Art.62 C102*
X-5. Adjustment of Benefit	Art.65(10) C102 Art.66 (8) C102*
X-6. Qualifying period		Art.63 C102
X-7. Duration of Benefit	Art.64 C102
X-8. Suspension of Benefit		Art.69 C102
X-9. Right of complaint and appeal	Art.70 C102
X-10. Financing and Administration	Art.71, 72 C102*
Part XI. Standards to be complied with by periodical payments		Art.67 C102/ECSS (Parts III-IV) Art.66 C102/ECSS (Parts V,VII,X)
Part XII. Equality of treatment of non-national residents		Art.68 C102

* Please update statistical data, in accordance with the Report form for C102/ECSS

Part I. General provisions

The Part I “General provisions” comprises the following explanatory and procedural clauses:

§ Articles 1-6 C102

§ Articles 1-6 ECSS

LEGISLATION

Great Britain and Northern Ireland: Separate, but corresponding, schemes of Social Security operate in Great Britain and Northern Ireland. Reciprocal arrangements between the two ensure that the schemes effectively operate as a single system. The law governing Social Security in Great Britain was amended during the reference period by the measures listed below. Corresponding legislation came into effect in Northern Ireland as listed after the GB measures. Benefit levels are maintained in parity with Great Britain and all rates quoted therefore apply equally.

Universal Credit Northern Ireland Flexibilities: During discussions on the implementation of UC in Northern Ireland, the then Minister for Social Development secured payment flexibilities under Universal Credit for NI claimants. It was agreed that: (1) twice monthly payments will be available to all households as the default, with monthly payments available on request; and (ii) managed payment of the housing element of Universal Credit direct to the landlord will be available to all, with a direct payment to the household available on request to those who meet the criteria.

Copies of the original text of Acts, Regulations and Orders can be viewed at the Government’s website[1]. Statutory Instruments (SIs) and Statutory Rules (SRs) can be traced by their year of publication and SI/SR Number quoted below. The complete Law on Social Security, as it currently applies in Great Britain, as amended and updated, is published as the “Blue Volumes” and is now available on line via the Department for Work and Pensions’ website[2]. Guidance on how to navigate the respective volumes is also available there. Corresponding Social Security legislation that has effect in Northern Ireland can be viewed at the Department for Communities website[3].

Scotland: Competence for the administration of eleven UK social security benefits, approximately 15 per cent of the UK’s total social security spending, was devolved to Scottish Ministers by the Scotland Act 2016. The Social Security (Scotland) Act 2018 (‘the Act’), received Royal Assent on 1 June 2018 and is the statutory framework under which regulations for each devolved form of assistance will be made. The Act also confers a power on Scottish Ministers to ‘top up’ benefits reserved to the UK. Details provided by the Scottish Government are included in Annex 4 of this report.

Wales: Social Security is not devolved to the Welsh Government.

Acts of Parliament

Primary legislation relevant to the benefits covered by the Report and introduced during the reference period includes:

2011

· Pensions Act 2011

http://www.legislation.gov.uk/ukpga/2011/19/pdfs/ukpga_20110019_en.pdf

2012

· Health and Social Care Act 2012

http://www.legislation.gov.uk/ukpga/2012/5/pdfs/ukpga_20120005_310516_en.pdf

· Welfare Reform Act 2012

http://www.legislation.gov.uk/ukpga/2012/5/pdfs/ukpga_20120005_310516_en.pdf

· Pensions Act (Northern Ireland) 2012

http://www.legislation.gov.uk/nia/2012/3/pdfs/nia_20120003_en.pdf

2013

· Enterprise and Regulatory Reform Act 2013, section 72 - abolition of the Agricultural Wages Board in England only (ceased to have effect after 30 September 2013).

http://www.legislation.gov.uk/ukpga/2012/5/pdfs/ukpga_20120005_310516_en.pdf

· Welfare Benefits Up-rating Act 2013

http://www.legislation.gov.uk/ukpga/2016/7/pdfs/ukpga_20160007_en.pdf

2014

· Agricultural Sector (Wales) Act

http://www.legislation.gov.uk/anaw/2014/6/pdfs/anaw_20140006_mi.pdf

· Pensions Act 2014

http://www.legislation.gov.uk/ukpga/2014/19/pdfs/ukpga_20140019_en.pdf

2015

Welfare Reform (Northern Ireland) Order 2015

http://www.legislation.gov.uk/nisi/2015/2006/pdfs/uksi_20152006_en.pdf

2016

Welfare Reform and Work Act 2016
http://www.legislation.gov.uk/ukpga/2016/7/pdfs/ukpga_20160007_en.pdf
Welfare Reform and Work (Northern Ireland) Order 2016

http://www.legislation.gov.uk/nisi/2016/999/pdfs/uksi_20160999_en.pdf

· Pensions Act (Northern Ireland) 2015

· http://www.legislation.gov.uk/nia/2015/5/pdfs/nia_20150005_en.pdf

· ~~Welfare Reform and Work Act 2016~~

~~http://www.legislation.gov.uk/ukpga/2016/7/pdfs/ukpga_20160007_en.pdf~~

Statutory Instruments

An alphabetical list of all current secondary legislation, i.e. Regulations and Orders in the form of Statutory Instruments, is available via the link below[4].

All secondary legislation introduced during the five years of the reporting period can be viewed via links in the chronological bookmarks in the left hand side-bar of the list.

The rates of Social Security benefits payable under the respective Parts of the Code were increased during the reference period by the following instruments:

2012

· The Social Security Benefits Up-rating Order 2012 (SI 2012 No 819, NI Equivalent SR 2012 No 116)

2013

· The Social Security Benefits Up-rating Order 2013 (SI 2013 No 574, NI Equivalent SR 2013 No 69)

2014

· The Welfare Benefits Up-rating Order 2014 (SI 2014 No 147, NI Equivalent SR 2014 No.80)

· The Social Security Benefits Up-rating Order 2014 (SI 2014 No 618, NI Equivalent SR 2014 No 78)

2015

· The Welfare Benefits Up-rating Order 2015 (SI 2015 No 124)

· The Social Security Benefits Up-rating Order 2015 (SI 2015 No 457, NI Equivalent SR 2015 No 124)

· Uprating orders Welfare Benefits Up-rating Order 2015 (SI 2015 No 30, NI Equivalent SR 2015 No 139)

· Agricultural Wages (Scotland) Order (SR 2015 No 63)

2016

· The Social Security Benefits Up-rating Order 2016 (SI 2016 No 246 NI Equivalent SR 2016 No 92)

The following instruments of relevance are also mentioned in the report:

2011

· Employment and Support Allowance (Limited Capability for Work and Limited Capability for Work-Related Activity) (Amendment) Regulations 2011(SI 2011 No 228, NI Equivalent SR 2011 No 76)

· Employment and Support Allowance (Work-Related Activity) Regulations 2011 (SI 2011 No 1349, NI Equivalent SR 2011 No 265)

2012

· Employment and Support Allowance (Amendment) Regulations 2012 (SI 2012 No 3096, NI Equivalent SR 2013 No 2)

· Employment and Support Allowance (Amendment of Linking Rules) Regulations 2012 (SI 2012 No 919, NI Equivalent SR 2016 No 176)

· Employment and Support Allowance (Sanctions) (Amendment) Regulations 2012 (SI 2012 No 2756, NI Equivalent SR 2016 No 240)

2013

· Jobs Seeker’s Allowance Regulations 2013 (2013 No 378)

· Employment and Support Allowance Regulations 2013 (SI 2013 No 379, NI Equivalent SR 2016 No 219)

· Universal Credit, Personal Independence Payment, Jobseeker’s Allowance and Employment and Support Allowance (Decisions and Appeals) Regulations 2013 (SI 2012 No 381, NI Equivalent SR 2016 No 221)

· Universal Credit, Personal Independence Payment, Jobseeker’s Allowance and Employment and Support Allowance (Claims and Payments) Regulations 2013 (SI 2012 No 381, NI Equivalent SR 2016 No 220)

2014

· Statutory Sick Pay (Maintenance of Records) (Revocation) Regulations 2014 (SI 2014 No 55)

· Statutory Sick Pay Percentage Threshold (Revocations, Transitional and Saving Provisions) (Great Britain and Northern Ireland) Order 2014 (SI 2014 No 897)

2015

· Employment and Support Allowance (repeat Assessments and Pending Appeal Awards) (Amendment) Regulations 2015 (SI 2015 No 437)

2016

· The Jobseeker’s Allowance Regulations (Northern Ireland) 2016 (SR 2016 No. 218)

2017

· The Social Security Benefits Up-rating Order (Northern Ireland) 2017 (SR 2017 No. 56)

2018

· The Social Security Benefits Up-rating Order (Northern Ireland) 2018 (SR 2018 No. 58)

· The Universal Credit and Jobseeker’s Allowance (Miscellaneous Amendments) Regulations (Northern Ireland) 2018 (S.R. 2018 No 187)

· The Housing Benefit and Universal Credit Housing Costs (Executive Determinations) (Amendment) Regulations (Northern Ireland) 2018 (S.R. 2018 No. 209)

~~2016~~

20196

· Agricultural Wages (Wales) Order ~~2016~~20196 (SI ~~2016~~ 2019 No ~~107~~)511 (W 118))

· The Universal Credit (Transitional Provisions) (SDP Gateway) (Amendment) Regulations (Northern Ireland) 2019 (SR 2019 No. 2)

· The Universal Credit (Restrictions on Amounts for Children and Qualifying Young Persons) (Transitional Provisions) (Amendment) Regulations (Northern Ireland) 2019 (SR 2019 No. 3)

· The Social Security Benefits Up-rating Order (Northern Ireland) 2019 (SR 2019 No. 58)

Part II. Medical Care

The United Kingdom has accepted the obligations resulting from Part II of C102 and Part II of the ECSS.

Category	Information available	Information missing / questions raised by the CEACR
II-1. Regulatory framework	Art.7 C102/ECSS
II-2. Contingencies covered	Art.8 C102/ECSS
II-3. Persons Protected	Art.9 C102/ECSS*
II-4. Types of Benefits	Art.10(1)C102/ECSS
II-5. Cost-sharing	Art.10(2) C102/ECSS
II-6. Objectives of Medical Care	Art.10(3) C102/ECSS
II-7. Promotion of the general health service	Art.10(4) C102/ECSS
II-8. Qualifying period	Art.11 C102/ECSS
II-9. Minimum duration of Benefit	Art.12 C102/ECSS
II-10. Suspension of Benefit		Art.69 C102 Art.68 ECSS
II-11. Right of complain and appeal	Art.70 C102 Art.69 ECSS
II-12. Financing and Administration	Art.71, 72 C102* Art.70, 71 ECSS*

* Please update statistical data, in accordance with the Report form for C102/ECSS

Information provided below applies across Great Britain and Northern Ireland, except in instances where it is indicated that Scotland has different legislation or policies in place. Information on all Scotland-specific provisions that relate to the Consolidated Report is included in annex 4 of this report.

List of applicable legislation

· Health and Social Care Act 2012^{^[5]}

· National Health Service Act 2006[6]

II – 1. Regulatory framework

Article 7. C102 and ECSS

Each Member (Contracting Party)[7] for which this Part of this Convention (Code) is in force shall secure to the persons protected the provision of benefit in respect of a condition requiring medical care of a preventive or curative nature in accordance with the following Articles of this Part.

Database of the MISSOC:

Basic principle: tax financed National Health Service for all residents.

National Health Service Reform

The Health and Social Care Act 2012^{^[8]} came into force on 1 April 2013 and brought major changes to the NHS in England. These changes will have an effect on who makes decisions about NHS services, how these services are now commissioned, and the way money is spent.

The process of reform that began in the previous year with the ‘clustering’ of Primary Care Trusts (PCTs) and Strategic Health Authorities (SHAs) led to the abolition of these organisations in April 2013.

The Health and Social Care Act 2012 established the following organisations:

NHS England^{^[9]}

Formerly established as the NHS Commissioning Board in October 2012, NHS England is an independent body, at arm’s length from the Government, and its main role is to improve health outcomes for people in England.

Clinical Commissioning Groups (CCGs)

On April 1 2013, PCTs were abolished and replaced with clinical commissioning groups (CCGs). CCGs have taken on many of the functions of PCTs and also some functions previously undertaken by the Department of Health and Social Care. CCGs can commission any service provider that meets NHS standards and costs. These service providers can be: NHS hospitals; social enterprises; charities; or private sector providers. However, they must be assured of the quality of services they commission, taking into account both National Institute for Health and Care Excellence (NICE) guidelines and the Care Quality Commission's (CQC) data about service providers. Both NHS England and CCGs have a duty to involve their patients, carers and the public in decisions about the services they commission.

Health and Wellbeing Boards^{^[10]}

Every 'upper tier'^{^[11]} local authority is establishing a health and wellbeing board to act as a forum where key leaders from across the NHS, social care, public health and other services work together to improve the health and wellbeing of their local population and reduce health inequalities. These boards will help give communities a greater say in understanding and addressing their local health and social care needs.

Public Health England^{^[12]}

Public Health England (PHE) was established to protect and improve the nation’s health and wellbeing and to reduce inequalities. It took up its full powers on 1 April 2013 and will provide national leadership and expert services to support public health and will also work with local government and the NHS to respond to emergencies.

Healthwatch^{^[13]}

‘Healthwatch’ is a new independent consumer champion, gathering and representing the views of the public about health and social care services in England. It operates both at a national and local level and ensures the views of the public and people who use services are taken into account.

Locally, Healthwatch will give patients and communities a voice in decisions that affect them, reporting their views, experiences and concerns to Healthwatch England. Healthwatch England will work as part of the CQC.

Health Education England

Health Education England (HEE) was established as a Special Health Authority in June 2012, taking on some functions from October 2012 before assuming full operational responsibilities from April 2013.

HEE will provide leadership for the new education and training system. It will ensure that the workforce has the right skills, behaviours and training, and is available in the right numbers, to support the delivery of excellent healthcare and drive improvements.

Further information can be viewed via the following link::

www.gov.uk/government/publications/care-act-2014-part-1-factsheets

Since April 2013, some elements of the regulation system have changed. Responsibility for regulating particular aspects of care is shared across a number of different bodies, such as:

o the CQC^{^[14]};

o Monitor^{^[15]} ;

o individual professional regulatory bodies, such as the General Medical Council, Nursing and Midwifery Council, General Dental Council and the Health and Care Professions Council; and

o other regulatory, audit and inspection bodies – some of which are related to healthcare and some specific to the NHS.

Following the abolition of SHAs, the NHS Trust Development Authority (NHS TDA)^{^[16]}, which became fully operational in April 2013, will now be responsible for overseeing the performance, management and governance of NHS Trusts, including clinical quality and also managing their progress towards foundation trust status. The NHS TDA has a range of powers, from appointing chairs and non-executive directors, to requiring a trust to seek external advice.

NHS services will now be opened up to competition from providers that meet NHS standards on price, quality and safety and Monitor has expanded its role to regulate all providers of health and adult social care services with the aim to promote competition, regulate prices and ensure the continuity of services for NHS foundation trusts. Monitor also has a new duty to protect and promote the interests of patients and has an ongoing role in assessing NHS trusts for foundation trust status, as well as for ensuring that foundation trusts are well-led, in terms of both quality and finances. There is an expectation that the vast majority of hospitals and other NHS trusts will become foundation trusts by 2014.

Under this new system, most NHS providers will need to be registered with both the CQC and Monitor to be able to legally provide services. The CQC continues to regulate all health and adult social care services in England, including those provided by the NHS, local authorities, private companies and voluntary organisations.

NHS Constitution^{^[17]}

The NHS Constitution establishes the principles and values of the NHS in England. It sets out rights, to which patients, public and its staff are entitled, and pledges which the NHS is committed to achieve, together with responsibilities which the public, patients and staff owe to one another to ensure that the NHS operates fairly and effectively.

The Handbook on the NHS Constitution^{^[18]} sets out current guidance on the rights, pledges, duties and responsibilities established by the Constitution. These requirements are legally binding. They guarantee that the principles and values which underpin the NHS are subject to regular review and recommitment; and that any government, which seeks to alter the principles or values of the NHS, or the rights, pledges, duties and responsibilities set out in this Constitution, will have to engage in a full and transparent debate with the public, patients and staff.

The Health and Social Care Act 2012 includes provisions related to the NHS Constitution. These provisions came into force on 1 October 2012 and 1 April 2013 and place a statutory duty on:

o the Secretary of State for Health to have regard to the NHS Constitution; and

o NHS England and clinical commissioning groups to promote the NHS Constitution.

It also amends the Health Act 2009 so that:

o the new NHS bodies established by the Act must have regard to the NHS Constitution; and

o local authorities, when they are undertaking their public health functions, must have regard to the NHS Constitution.

Health Education England is also required to promote the NHS Constitution.

Since its publication in 2009, there have been three public consultations that have proposed adding new patient and staff rights and staff duties. In 2013, the NHS Constitution was further updated in relation to a number of key areas such as:

o patient involvement;

o feedback;

o duty of candour;

o end of life care;

o integrated care;

o complaints;

o patient information;

o staff rights,

o responsibilities and commitments; and

o dignity, respect and compassion.

The first, fourth, fifth and sixth guiding Principles of the NHS Constitution were also changed by regulations^{^[19]}.

Secretary of State

The Secretary of State for Health and Social Care has ultimate responsibility for the provision of a comprehensive health service in England and ensuring the whole system works together to respond to the priorities of communities and meet the needs of patients.

The Secretary of State works through the Department of Health and Social Care to provide strategic direction for the NHS and wider health and care system and holds all of the national bodies to account for their operational and financial performance, thereby ensuring that the different parts of the system work properly together.

The Secretary of State has to fulfil a number of duties that are set out in law, including; the promotion of a comprehensive health service; to have regard to the need to reduce health inequalities between the people of England, and to have regard to the NHS Constitution. These duties, and others, are fulfilled through relationships with other bodies and the Secretary of State’s performance with regard to his or her duties is covered in his annual report. The Secretary of State, and all public bodies in the healthcare system, must also comply with the public sector equality duty in the Equality Act 2010.

Department of Health and Social Care ^{^[20]}

The Department of ~~Health’s~~Health and Social Care’s purpose is to help people live better for longer. It leads, shapes and funds health and care in England, making sure people have the support, care and treatment they need, with the compassion and dignity they deserve. The Department, on behalf of the Secretary of State, acts as ‘system steward’ – it is the only body with oversight over the whole health and care system, and it works to ensure the health and care system operates effectively to meet the needs of people and their communities.

The Department of Health and Social Care will be responsible for strategic leadership of both the health and social care systems, but will no longer be the headquarters of the NHS, nor will it directly manage any NHS organisations.

The Care Act

The Care Act^{^[21]}, which received Royal Assent in May 2014, introduced changes in relation to:

· social care legislation - delivering the Dilnot funding reforms, which will come into force in April 2016, (introducing a cap on the costs individuals will have to pay for their care, introducing deferred payment agreements so that people won’t have to sell their homes to pay for care in their lifetimes), introducing a national eligibility threshold for care and support, prioritising people’s wellbeing and the outcomes they want to achieve, requiring local authorities to help prevent and reduce needs for care and support, introducing stronger rights for carers, and putting adult safeguarding arrangements on a statutory footing;

· the quality of care - helping deliver key elements of the Government’s response^{^[22]} to the Francis Report into events at Mid-Staffordshire NHS Foundation Trust, including a ratings system for hospitals and care homes, enabling failures in quality to be dealt with as effectively as financial failures, and creating a new offence for providing false or misleading information; and

· the integration of health and social care - the Act facilitates a fund and mandates shared budgets between local authorities and the local NHS for the purposes of integrated health and social care.

See Annex 1. Additional information reported on Part II. Medical Care and Part III. Sickness Benefit

II - 2. Contingencies covered

Article 8. C102 and ECSS

The contingencies covered shall include any morbid condition, whatever its cause, and pregnancy and confinement and their consequences.

In the 2012 Health and Care Act, the National Health Service (NHS) provides health care including the prevention, diagnosis and treatment of physical and mental illness (Section 1) and puts into legislation the importance of the NHS Constitution (See Chapter A1, Clause 13D of the Health and Social Care Act 2012). The NHS Constitution establishes the principles and values of the NHS, setting out rights which patients, public and staff are entitled to ensure that the NHS operates fairly and effectively. This means that any patient in need of medical care and attention receives this from the NHS regardless of the morbid condition such as self-inflicted incidents that led to the person seeking medical assistance in the first instance.

II - 3. Persons protected

§1(c) Article 1 C102, §1(f) Article 1 ECSS

The term wife means a wife who is maintained by her husband.

Article 9. C102 and ECSS

The persons protected shall comprise:

(a) prescribed classes of employees, constituting not less than 50 per cent of all employees, and also their wives and children; or

(b) prescribed classes of the economically active population, constituting not less than 20 per cent of all residents, and also their wives and children; or

(c) prescribed classes of residents, constituting not less than 50 per cent of all residents.

Resident population

ONS Population estimates[23] for mid -year ~~2015~~ 2018 - United Kingdom

All ages Persons 6566.~~1millions~~4 million

Males 32.1m8m

Female 33.0m6m

Definition of resident population:

The estimated resident population of an area includes all people who usually live there, whatever their nationality. People arriving into an area from outside the UK are only included in the population estimates if their total stay in the UK is 12 months or more. Visitors and short-term migrants (those who enter the UK for 3 to 12 months for certain purposes) are not included. Similarly, people who leave the UK are only excluded from the population estimates if they remain outside the UK for 12 months or more. This is consistent with the United Nations recommended definition of an international long-term migrant. Members of UK and non-UK armed forces stationed in the UK are included in the population and UK forces stationed outside the UK are excluded. Students are taken to be resident at their term time address.

II - 4. Types of Benefit

§1. Article 10. C102 and ECSS

The benefit shall include at least:

(a) in case of a morbid condition,

(i) general practitioner care, including domiciliary visiting;

(ii) specialist care at hospitals for in patients and out patients, and such specialist care as may be available outside hospitals;

(iii) the essential pharmaceutical supplies as prescribed by medical or other qualified practitioners; and

(iv) hospitalisation where necessary; and

(b) in case of pregnancy and confinement and their consequences,

(i) pre natal, confinement and post natal care either by medical practitioners or by qualified midwives; and

(ii) hospitalisation where necessary.

Updates on Department of Health and Social Care policies are available via the following links:

Department of Health and Social Care policies

· Cancer research and ~~treatment~~treatment

Statistics

Details of Statistics & data collections, during the reporting period, on the subjects set out below can be viewed via the following link:

https://digital.nhs.uk/data-and-information

~~http://www.ic.nhs.uk/statistics-and-data-collections~~

Audits and performance: (complaints; ambulance response times; quality and outcomes framework and clinical audits);

Health and lifestyles: (alcohol consumption, drug misuse, smoking, contraception, physical activity, diet, diabetes and mental health and other surveys).

Hospital care: (cancer, coronary heart disease and maternity and also hospital and outpatient activity).

Mental health: (NHS specialist mental health services, uses of the Mental Health Act 1983 and other related information).

Population, geography and international: (neighbourhood, international, public health and population statistics).

Primary care:(GPs, dentists, opticians, pharmacies and prescribed drugs, plus pay and expenses information).

Screening: (includes statistics on breast and cervical cancer screening).

Social care:(Adult social care, carer support, learning disability, older people, disability, children’s social services and user surveys).

Workforce: (information on the NHS and social care workforce including vacancies, turnover, sickness and absence).

2018 additional information

Domiciliary visiting

In England, GPs provide primary medical services under contracts with NHS England. Under these arrangements, GP practices are required to provide services to patients at their home where, in the GP’s opinion, the patient’s medical condition requires them to be seen by a GP and it would be inappropriate for the patient to go to the GP practice.

The practice also has the option of treating a patient at alternative premises, as have been agreed with NHS England, or another place in the practice area.

Further information can be found in Schedule 3 of The NHS (General Medical Services Contracts) Regulations 2015 – SI2015/1862 http://www.legislation.gov.uk/uksi/2015/1862/pdfs/uksi_20151862_en.pdf

Similar provisions are also contained in the regulations relating to the provision of primary medical services in Wales, Scotland and Northern Ireland – links to relevant legislation is included below for reference.

Links to regulations applying to the provisions in Wales, Scotland and Northern Ireland are:

Wales: Schedule 6, paragraph 3, of The National Health Service (General Medical Services Contracts) (Wales) Regulations 2004 – SI 2004/478 (W.48)

http://www.legislation.gov.uk/wsi/2004/478/pdfs/wsi_20040478_en.pdf

Scotland: Schedule 6, paragraph 4, of The National Health Service (General Medical Services Contracts (Scotland) Regulations 2018 – SI 2018/66

http://www.legislation.gov.uk/ssi/2018/66/pdfs/ssi_20180066_en.pdf

Northern Ireland: Schedule 5, paragraph 3, of The Health and Personal Social Services (General Medical Services Contracts) Regulations (Northern Ireland) – SI 2004/140

http://www.legislation.gov.uk/nisr/2004/140/pdfs/nisr_20040140_en.pdf

Essential pharmaceutical supplies

The UK does not have an Essential list of medicines and are unable to refer to any list. Additionally, the MHRA (Medicines and Healthcare products Regulatory Agency), which regulates medicines, medical devices and blood components for transfusion in the UK, are not aware of a readily available list which is considered as ‘essential pharmaceutical supplies’ or a list of this kind in the UK.

The Department of Health and Social Care (DHSC) advises that the UK does have an Essential Medicines Buffer Stockpile (EMBS). However, this stockpile list was drawn up with the primary purpose of supporting the NHS in the event of an influenza pandemic.

Essential Medicines Buffer Stockpile (EMBS)- Department of Health and Social Care (DHSC) stockpile

In the event of a pandemic or other health emergency it is likely that medicines supply may be disrupted. Supply disruptions could put an additional burden on the health system. As part of ongoing going strategic work to ensure the continuity of medicine supplies and to ensure that supplies of medicines are available within the UK to respond to supply disruptions caused by pandemics or other emergencies, DHSC owns an Essential Medicines Buffer Stockpile (EMBS), which was first set up in 2009. The purpose of the stockpile is to have medicines that are routinely used in the NHS, available for release into the UK supply chain in the event of pandemic or other health emergency. The current EMBS contract was finalised in November 2015 and runs for 4 year to November 2019.

What medicines are in the EMBS

The EMBS supports the NHS in the event of an influenza pandemic or other emergency by ensuring the continued availability of a large number of medicines to treat (1) conditions that are exacerbated by flu and (2) conditions that would lead to hospitalisations and deaths in case of major supply disruptions. The current list of medicines in the stockpile was based on the WHO essential medicines list, the Y2K list and was then customised with the help of National Clinical Directors and others to reflect NHS usage and to identify the key medicines required to keep people well and avoid hospitalisations or deaths during an influenza pandemic. These medicines cover a wide range of therapeutic areas including cardiovascular drugs, diabetes drugs, mental health drugs, pain killers and oncology drugs, but they do not include the clinical countermeasures, which are stocked in the pandemic influenza preparedness stockpile There are approximately 500 medicines listed and the volumes required are based on a three months provision for the UK.

Pre-natal, confinement and post-natal care

The National Health Service Act 2006(www.legislation.gov.uk/ukpga/2006/41/pdfs/ukpga_20060041_en.pdf)

The National Health Service Act 2006 placed a duty on the Secretary of State with regard to maternity care, this legislation covers pre-natal, confinement and postnatal care.

The following can be found on Page 2 of the NHS Act 2006:

(3)Secretary of State’s duty as to provision of certain services:

The Secretary of State must provide throughout England, to such extent as he considers necessary to meet all reasonable requirements—

(d) such other services or facilities for the care of pregnant women, women who are breastfeeding and young children as he considers are appropriate as part of the health service,

The provisions in the Health and Social care Act 2012 (http://www.legislation.gov.uk/ukpga/2012/7/pdfs/ukpga_20120007_en.pdf ) ensure that these functions continue. Clauses 9 and 10 are the provisions which ensure that the services and facilities for the care of pregnant women, breastfeeding women and young children required to be provided now in accordance with section 3(1)(d) of the 2006 Act, would continue to be provided as a part of the health service.

Midwifery and maternity services are regulated activities. Information on midwifery regulation is available from the Nursing and Midwifery Council https://www.nmc.org.uk/about-us/policy/projects-were-involved-in/changes-to-midwifery-regulation/

The Employment Rights Act 1996 covers legislation on the right to time off for antenatal care.

The Equality Act 2010 makes pregnancy and maternity discrimination unlawful. The charity, Birthrights (www.birthrights.org.uk ) may be helpful. They have resources that outline how the European Convention on Human Rights and other human rights based conventions and laws apply to pregnant women and maternity care.

Maternity Action has information on entitlement to free NHS maternity care for women from abroad and charging. https://www.maternityaction.org.uk/about-us/

II - 5. Cost-sharing

§2. Article 10. C102 and ECSS

The beneficiary or his breadwinner may be required to share in the cost of the medical care the beneficiary receives in respect of a morbid condition; the rules concerning such cost-sharing shall be so designed as to avoid hardship.

The National Health Service (NHS) is a comprehensive service available to all, free at the point of use and based on clinical need, not the ability to pay.

Database of the MISSOC:

~~Database of the MISSOC:~~

Payment of doctor

For hospital treatment:

Treatment is free to those people who are ordinarily resident in the UK or exempt from charges under the NHS (Charges to Overseas Visitors) Regulations 2011. Anyone else is liable for the full cost of any treatment provided.

Official website of the UK Government

Ordinarily resident

For the purpose of eligibility to free NHS hospital treatment, being Ordinarily ~~resident~~Residentmeans ~~you normally live~~:

· An individual living lawfully in the ~~UK,~~United Kingdom voluntarily and ~~plan to stay here~~for settled purposes as part of the regular order of their life for the time being~~. When the Tax Credit Office decides if you’re~~, whether of short or long duration. Non-EEA nationals who are subject to immigration control must additionally have indefinite leave to remain (ILR) in the UK in order to be ordinarily resident in the UK ~~they’ll look at things like:~~.

· ~~where your settled home is~~

· ~~where your close family live~~

· ~~why you came to the UK~~

· ~~if you plan to leave the UK permanently in the next 2 or 3 years~~

Patient charges

No charge to patients ordinarily resident in the UK or charge-exempt overseas visitors, except where the patient asks for special amenities or for extra treatment which is not clinically necessary.

Dental care

There are three standard ~~charges~~charging bands for NHS dental treatment ~~– GBP 18.80 (€25), GBP 51.30 (€~~in England delivered in primary care (high street dentists and community dental services) – Band A - £22.70), Band B - £62.10 or ~~GBP 222.50 (€301),~~Band C - £269.20 depending on treatment required.

There is no charge for: NHS dental treatment for:

· women who are pregnant, or who have had a baby in the preceding 12 months, when the course of treatment starts;

· people under 18; or those aged 19 or under and in full-time education

· ~~those aged 19 or under and in full-time education;~~

· people and their partners who are receiving Income-related Employment and Support Allowance (ESA), Income Support or Income-based ~~Jobseekers'~~Jobseeker’s’' Allowance, Universal Ccredit or Pension Credit Guarantee Credit;

· people named on ~~a Tax~~an NHS Tax Credit ~~NHS~~ Exemption Certificate or a valid HC2 certificate.

· ~~People~~Adults on a low income may be able to get help with the cost of treatment. through the NHS Low Income Scheme

~~Dental treatment in the hospital and Community Dental Services may incur a charge depending on the type of treatment carried out.~~

In patients receiving dental treatment in an NHS hospital from the hospital dentist are exempt from dental charges. Patients receiving outpatient care from a hospital dentist are exempt from the standard NHS dental charges but charges may be applied for dental appliances such as dentures.

Pharmaceutical products

Charge of GBP ~~8.05 (€11~~9.00 (€10.16) per prescribed item.

An annual (or 3 months) prescription prepayment certificate can be bought which offers considerable savings to those who need regular medication. The cost of the certificate is GBP 104.00 (€~~141~~117) (England) for one year and GBP 29.10 (€3932.85) (England) for 3 months.

There is no charge for ~~children~~the following exemption categories:

§ Age: A patient is entitled to a free NHS prescription if they are under 16, ~~people~~ aged 16-18 and ~~still~~ in full- time education, ~~people~~ aged 60 or over~~, pregnant women and women who have given birth in the last 12 months, War Pensioners (for their accepted disability), people and their partner receiving~~

§ Income ~~Support or income~~-based ~~Jobseekers' Allowance~~benefits: a patient is entitled to free NHS prescriptions if they are included in award for income support, income-based ~~Employment and Support Allowance,~~jobseeker’s allowance, income-related employment and support allowance. If a patient is receiving one of these benefits, their partner and any dependent young people under 20 are also entitled to free NHS prescriptions.

§ Pension Credits: A patient is entitled to free NHS prescriptions if they or their partner receives Pension Credit Guarantee Credit, or ~~Tax~~Pension Credit ~~(and named on a Tax~~Guarantee Credit ~~NHS Exemption Certificate),~~with Savings Credit.

§ Universal credit: To be entitled to claim help with their health costs, a patient must be receiving Universal Credit, either as a single person or ~~named on~~as a member of a couple, and:

a. for the last complete assessment period the patient and their partner (if they have one) had either no earnings or net earnings of £435.00 or less. Or;

for the last complete assessment period a patient and their partner (if they have one) had either no earnings or net earnings of £935.00 or less and had a child element included in their award or had limited capability for work. A patient would also be entitled if they were a dependent child or qualifying young person of someone who meets specified criteria.

§ Tax credits: A patient is entitled to free NHS prescriptions if their annual family income used to work out their tax credits is £15,276 or less and they receive either child tax credit, working tax credit and child tax credit paid together or working tax credit including a disability element.

§ Pregnant women and those who have had a baby in the past 12 months

§ Low income (including students and pensioners): A patient can get free NHS prescriptions if they have a valid HC2 certificate~~, some other people on low incomes, and people suffering from specified conditions.~~. These certificates are issued to people who qualify for full help with health costs through the NHS Low Income Scheme.

§ People who receive war pension scheme or Armed Forces Compensation Scheme payments: A patient can get free NHS prescriptions if they have a valid war pension exemption certificate and their prescription is for their accepted disability.

Prosthesis, spectacles, hearing-aids

Vouchers available to help with purchase of spectacles for certain groups: to children under 16 or under 19 and still in full-time education, or people (and their partner) getting iIncome-related Employment and Support Allowance (ESA) or Income Support or iIncome-based ~~Jobseekers'~~Jobseeker’s' Allowance or Pension Credit Guarantee Credit or receiving Universal Credit or Tax Credits and ~~meet~~meeting qualifying conditions, or those on a low income and named on a valid HC2 (full help) or HC3 (partial help) certificate and those who require complex lenses.

No charge for NHS sight tests for the above categories, plus people aged 60 or over, those registered blind or partially sighted, those diagnosed with diabetes or glaucoma, those aged 40 or over and the brother, sister, parent or child of a person diagnosed with glaucoma, and those advised by an ophthalmologist that they are at risk of glaucoma. Others pay privately. but may be entitled to help with costs if in receipt of a HC3 partial help certificate

Hospital Eye Service patients get free sight tests and possible help towards the cost of glasses or contact lenses. War Pensioners can claim back the cost of treatment (for their accepted disability).

Prosthesis, sight testing, spectacles and hearing aids. No charge for provision and fitting of National Health Service appliances.

II - 6. Objectives of Medical Care

§3. Article 10. C102 and ECSS

The benefit provided in accordance with this Article shall be afforded with a view to maintaining, restoring or improving the health of the person protected and his ability to work and to attend to his personal needs.

The National Health Service Reform (as mentioned above in the “Regulatory Framework”) is designed to help deliver the objective of a health service that achieves outcomes amongst the best in the world.

The reforms consist of three mutually-reinforcing parts:

• Putting patients at the heart of the NHS: transforming the relationship between citizen and service through the principle of no decision about me without me;

• Focusing on improving outcomes: orientating the NHS towards focusing on what matters most to patients – high quality care, not narrow processes;

• Empowering local organisations and professionals, with a principle of assumed liberty rather than earned autonomy, and making NHS services more directly accountable to patients and communities.

II - 7. Promotion of the general health service

§4. Article 10. C102 and ECSS

The institutions or Government departments administering the benefit shall, by such means as may be deemed appropriate, encourage the persons protected to avail themselves of the general health services placed at their disposal by the public authorities or by other bodies recognised by the public authorities.

See under Part II-1. Regulatory framework.

II - 8. Qualifying period

§1(f) Article 1 C102, §1(i) Article 1 ECSS

The term qualifying period means a period of contribution, or a period of employment, or a period of residence, or any combination thereof, as may be prescribed.

Article 11. C102 and ECSS

The benefit specified in Article 10 shall, in a contingency covered, be secured at least to a person protected who has completed, or whose breadwinner has completed, such qualifying period as may be considered necessary to preclude abuse.

Residence requirements for access to healthcare

Eligibility for the free National Health Service is based on the concept named ‘ordinary residence’. This means that the person’s residence must be lawful, adopted voluntary, and for settled purposes as part of the regular order of their life for the time being, whether of short or long duration. Nationals of countries outside the European Economic Area must additionally have indefinite leave to remain in the UK to qualify as ordinarily resident. Nationals of EEA countries who are visiting the UK on a temporary basis or to pursue a course of study, and who are insured by their resident state, should present a valid European Health Insurance Card (EHIC) or a Provisional Replacement Certificate (PRC) from that country to access the free medically necessary treatment.

II - 9. Minimum duration of Benefit

Article 12. C102 and ECSS

The benefit specified in Article 10 shall be granted throughout the contingency covered, except that, in case of a morbid condition, its duration may be limited to 26 weeks in each case, but benefit shall not be suspended while a sickness benefit continues to be paid, and provision shall be made to enable the limit to be extended for prescribed diseases recognised as entailing prolonged care.

Database of the MISSOC: ~~Database of the MISSOC:~~ Duration of benefits: no specific limits.

NHS England advises that there is no time limit for which a patient can access NHS care in England. In exceptional circumstances a hospital may seek a court order to discharge a patient who does not want to be discharged, when they are medically fit. Such situations are very rare however, and this is handled on a case by case basis by the trust. Similarly there are no prescribed time limits for access to medical care in Wales. We have not received a response from Scotland or Northern Ireland yet. A further update will be provided when this information is received.

II - 10. Suspension of Benefit

Article 69. C102, Article 68. ECSS

A benefit to which a person protected would otherwise be entitled in compliance with any of Parts II to X of this Convention may be suspended to such extent as may be prescribed:

(a) as long as the person concerned is absent from the territory of the Member;

(b) as long as the person concerned is maintained at public expense, or at the expense of a social security institution or service, subject to any portion of the benefit in excess of the value of such maintenance being granted to the dependants of the beneficiary;

(c) as long as the person concerned is in receipt of another social security cash benefit, other than a family benefit, and during any period in respect of which he is indemnified for the contingency by a third party, subject to the part of the benefit which is suspended not exceeding the other benefit or the indemnity by a third party;

(d) where the person concerned has made a fraudulent claim;

(e) where the contingency has been caused by a criminal offence committed by the person concerned;

(f) where the contingency has been caused by the wilful misconduct of the person concerned;

(g) in appropriate cases, where the person concerned neglects to make use of the medical or rehabilitation services placed at his disposal or fails to comply with rules prescribed for verifying the occurrence or continuance of the contingency or for the conduct of beneficiaries;

Entitlement to NHS services is centred on the UK’s residency-based healthcare system. Both Ordinarily Resident and Non-Ordinarily Resident persons are able in law to access the NHS. Non-Ordinarily Resident visitors however ~~can~~will be subject to a charge for ~~using the~~ NHS secondary care services, unless an exemption from a charge category applies to them or the treatment accessed.. Where a charge applies, treatment that a clinician considers “non-urgent”, which means it should wait until the date at which the visitor can reasonably be expected to depart the UK, will be withheld unless payment is provided in full. Immediately necessary or urgent treatment which a clinician considers should not wait until the date the visitor can reasonably be expected to depart the UK will not be withheld even if payment is not provided. If an individual is entitled to NHS care, access to treatments will be subject to the treatments and services that are available locally as well as the eligibility criteria set for these services. In specific circumstances, NHS treatment can be suspended if the treating clinician believes it is medically inappropriate to continue treatment for a patient, this occurs on a case by case basis with decisions made on the basis of medical appropriateness.

RF/C102/ECSS: please indicate the provisions, if any, for the suspension of the medical benefits referred in Article 10, under each scheme or schemes concerned [more specifically points (e), (f), and (g) of Article 68 of the Code and Article 69 of C102]

UK response:

The UK system does not involve a periodical payment to cover treatment; treatment is free at the point of access. Furthermore, UK legislation does not make provision for suspension of medical services in the circumstances covered by the Code.

II - 11. Right of complaint and appeal

Article 70. C102, Article 69. ECSS

1. Every claimant shall have a right of appeal in case of refusal of the benefit or complaint as to its quality or quantity.

2. Where in the application of this Convention (Code) a government department responsible to a legislature is entrusted with the administration of medical care, the right of appeal provided for in paragraph 1 of this article may be replaced by a right to have a complaint concerning the refusal of medical care or the quality of the care received investigated by the appropriate authority.

3. Where a claim is settled by a special tribunal established to deal with social security questions and on which the persons protected are represented, no right of appeal shall be required.

Should a person wish to complain about any aspect of NHS care, treatment or services, they have the right to do this under the NHS constitution and can do so by following the complaints procedure at their local NHS (i.e. hospital, GP surgery, etc.).

II - 12. Financing and Administration

Article 71. C102, Article 70. ECSS

1. The cost of the benefits provided in compliance with this Convention (Code) and the cost of the administration of such benefits shall be borne collectively by way of insurance contributions or taxation or both in a manner which avoids hardship to persons of small means and takes into account the economic situation of the Member (Contracting Party) and of the classes of persons protected.

2. The total of the insurance contributions borne by the employees protected shall not exceed 50 per cent of the total of the financial resources allocated to the protection of employees and their wives and children. For the purpose of ascertaining whether this condition is fulfilled, all the benefits provided by the Member (Contracting Party) in compliance with this Convention (Code), except family benefit and, if provided by a special branch, employment injury benefit, may be taken together.

3. The Member (Contracting Party) shall accept general responsibility for the due provision of the benefits provided in compliance with this Convention (Code), and shall take all measures required for this purpose; it shall ensure, where appropriate, that the necessary actuarial studies and calculations concerning financial equilibrium are made periodically and, in any event, prior to any change in benefits, the rate of insurance contributions, or the taxes allocated to covering the contingencies in question.

Article 72. C102, Article 71. ECSS

1. The Member (Contracting Party) shall accept general responsibility for the proper administration of the institutions and services concerned in the application of the Convention (Code).

2. Where the administration is not entrusted [to an institution regulated by the public authorities or – C102] to a Government department responsible to a legislature, representatives of the persons protected shall participate in the management, or be associated therewith in a consultative capacity, under prescribed conditions; national laws or regulations may likewise decide as to the participation of representatives of employers and of the public authorities.

See under Part XIII-3-

Legislative Changes

2012

1. The Health and Social Care Act 2012 introduced a new structure to the NHS, including setting up the NHS Commissioning Board, known as NHS England.

2. From April 2013, NHS England became responsible for the commissioning of NHS primary medical services in England.

3. In October 2014, the NHS Five Year Forward View was published. This sets out a vision for the future of the NHS and included new models of care, setting out proposed models that reflect the different structures, populations and localities. This is important, as the diversity of the NHS will not lend itself to a “one size fits all” model. Government ~~is making~~made £200 million available to pilot some of the new models of care set out in the Five Year Forward View.

4. On 21st April 2016, NHS England published the GP Forward View, a package of support to help get general practice back on its feet, improve patient care and access, and invest in new ways of providing primary care.

5. The GP Forward View sets out that we are investing an extra £2.4 billion a year for general practice services by 2020/21 – this represents a 14% increase in real terms. The overall investment for general practice includes a £500 million national 'turnaround' package to support GP practices.

6. This is part of a wider package of support for general practice, which contains measures to help boost the workforce, drive efficiencies in workload and modernize primary care infrastructure and technology.

In January 2019, NHS England published its Long-Term Plan. This seeks to change the balance of how the NHS works by shifting more activity into primary and community care. Key points for general practice include guaranteed minimum investment of £4.5 billion extra per year for primary medical and community care by 2023/24 – meaning spending on these services will grow faster than the rising NHS budget. There is a strong emphasis on closer working between primary and community care.

Also published in January was the Five-year framework for GP contract reform - this takes forward in more detail the NHS Long Term Plan for general practice. A key feature is NHS England’s commitment to funding for up to 20,000 additional staff working in general practice as part of Primary Care Networks by 2023/24, comprising clinical pharmacists, social prescribing link workers, physician associates, first contact physiotherapists, and first contact community paramedics.

7. The table below shows investment in general practice in England from ~~2010/11~~2013/14 to ~~2014/15.~~2017/18:

~~Finance Monitoring: England~~	~~2010/11 Outturn £000s~~	~~2011~~~~/12 Outturn £000s~~	~~2012~~~~/13 Outturn £000s~~	~~2013/14 Outturn £000s~~	~~2014/15 Outturn £000s~~
~~Total payments for essential & additional services~~	~~4,372,287~~	~~4,366,855~~	~~4,370,320~~	~~4,478,229~~	~~4,792,294~~
~~Quality & Outcomes Framework~~	~~1,095,532~~	~~1,141,612~~	~~1,191,498~~	~~1,057,418~~	~~664,456~~
~~Total other payments~~	~~1,286,251~~	~~1,333,831~~	~~1,376,502~~	~~1,528,803~~	~~1,682,684~~
~~Total Enhanced Services~~	~~789,079~~	~~764,420~~	~~751,364~~	~~849,928~~	~~1,013,497~~
~~Total Net of Dispensing~~	~~7,543,149~~	~~7,606,718~~	~~7,689,684~~	~~7,914,378~~	~~8,152,931~~
~~Total Investment Excluding Reimbursement of Drugs~~	~~7,708,548~~	~~7,774,469~~	~~7,863,838~~	~~8,093,357~~	~~8,336,207~~
~~TOTAL NHS SPEND~~	~~8,349,528~~	~~8,397,044~~	~~8,459,261~~	~~8,689,883~~	~~8,938,743~~
~~TOTAL SPEND~~	~~8,349,528~~	~~8,397,044~~	~~8,459,261~~	~~8,766,110~~	~~9,001,046~~

Investment in general practice in England in real and cash terms excluding and including reimbursement of drugs dispensed in general practices (£ millions)

	Including Reimbursement of Drugs		Excluding Reimbursement of Drugs
	Cash Terms	Real Terms	Cash Terms	Real Terms
2013/14	8,830.54	9,374.21	8,234.01	8,740.95
2014/15	9,173.04	9,614.26	8,570.50	8,982.74
2015/16	9,696.56	10,082.37	9,088.46	9,450.08
2016/17	10,193.71	10,367.59	9,603.67	9,767.48
2017/18	10,879.18	10,879.18	10,197.17	10,197.17

9. Since 2013/14 Investment in Public Health by Local Authorities has moved from PCT to Local Authority control. NHS Health Checks for 40-70 year olds ~~were~~were~~have been~~ part of Local Authority Public Health responsibilities from 2013/14 onwards.

~~United Kingdom~~

11. The report ‘Investment in General Practice 2010/11 to 2014/15 for England, Wales, Northern Ireland and Scotland’5 sets out detail of investment in general practice throughout the whole of the United Kingdom and is available through the Information Centre for health and social care website.

~~12. For the period 2014/15~~

~~£9,001.0m in England, compared to £8,766.1m in~~ ~~2013/14 (an increase of 2.68 per cent).~~

~~£478.1m in Wales, compared to £475.7m in 2013/14 (an increase of 0.50 per cent).~~

~~£255.2m in Northern Ireland, compared to £249.9m in 2013/14 (an increase of 2.12 per cent).~~

~~£809.9m in Scotland, compared to £802.9m in 2013/14 (an increase of 0.88 per cent).~~

~~£10,544.3m in the UK, compared to £10,294.6m in 2013/14 (an increase of 2.43 per cent).~~

~~Default to digital~~

~~DWP is looking to ways of encouraging claimants and customers to make more use of online services; thereby freeing staff time for people who need it most.~~

The Department wants claimants and customers to use online services as a first choice. To help make this happen, DWP Online Services Division (OSD) has launched an Operational Channel Shift plan. This sets out the challenges of encouraging claimants and customers to make more use of online services and how staff can support them to go digital.

~~The plan sets out:~~

~~• the challenges faced in being an organisation that is ‘Digital by default’;~~

~~• how DWP aims to meet the challenges; and~~

~~• what every member of staff can do to support the aims.~~

This plan will be updated as DWP prepares for the introduction of Personal Independence Payment and Universal Credit. As more online services become available the plan will be updated to reflect this, so that DWP is ready and able to use those services as effectively as possible.

Part III. Sickness Benefit

The United Kingdom has accepted the obligations resulting from C24, C25, Part III of C102 and Part III of the ECSS.

Category	Information available	Information missing / questions raised by the CEACR
III-1. Regulatory framework	Art.13 C102/ECSS Art.1 C24/C25
III-2. Contingencies covered	Art.14 C102/ECSS Art.2(1) C24/C25
III-3. Persons Protected		Art.15 C102/ECSS*
III-4. Level and Calculation of Benefit		Art.16 C102/ECSS*
III-5. Qualifying period	Art.17 C102/ECSS Art.3(2) C24/C25
III-6. Minimum duration of Benefit	Art.3(1) C24/C25	Art.18 C102/ECSS
III-7. Medical Care	Art.4,5 C24/C25
III-8. Suspension of Benefit		Art.69 C102 Art.68 ECSS Art.3(3,4) C24/C25
III-9. Right of complaint and appeal		Art.70 C102, Art.69 ECSS Art.9 C24, Art.8 C25
III-10. Financing and Administration		Art.71, 72 C102* Art.70, 71 ECSS* Art.6,7 C24/C25

* Please update statistical data, in accordance with the Report form for C102/ECSS

List of applicable legislation

Universal Credit Regulations 2013 and ‘Welfare Reform and Work Act 2016 http://www.legislation.gov.uk/ukdsi/2013/9780111531938/contents http://www.legislation.gov.uk/ukpga/2016/7/contents/enacted

Universal Credit Regulations (Northern Ireland) 2016 and Welfare Reform and Work (Northern Ireland) Order 2016

http://www.legislation.gov.uk/nisr/2016/216/contents/made

http://www.legislation.gov.uk/nisi/2016/999/contents.

III - 1. Regulatory framework

Article 1. C24

Each Member of the International Labour Organisation which ratifies this Convention undertakes to set up a system of compulsory sickness insurance which shall be based on provisions at least equivalent to those contained in this Convention.

Article 1. C25

Each Member of the International Labour Organisation which ratifies this Convention undertakes to set up a system of compulsory sickness insurance for agricultural workers, which shall be based on provisions at least equivalent to those contained in this Convention.

Article 13. C102 and ECSS

Each Member (Contracting Party) for which this Part of this Convention (Code) is in force shall secure to the persons protected the provision of sickness benefit in accordance with the following Articles of this Part.

Universal Credit

The UK welfare system is made up of social security benefits and social assistance measures that together provide a welfare safety net protecting the most vulnerable in society. Universal Credit (UC) is a universal social assistance measure that supports those who can work into work by providing a minimum level of ~~subsistence~~income, and cares for those who cannot work, in line with the UK’s view that work is the most effective route out of poverty. For the purposes of the Code it is considered a social assistance benefit. UC replaces the previous complex system of six main benefits (Income-based Jobseeker’s Allowance, Income-related~~based~~ Employment and Support Allowance, Income Support, Working Tax Credit, Child Tax Credit, Housing Benefit) with one simple monthly payment, the same way that many working people are paid.

Universal Credit supports people who are on a low income or out of work and helps to ensure that they are better off in work than on benefits. It provides claimants with the support they need to prepare for work, move into work, or to earn more if already in work. In return, claimants ~~need to accept~~ make a Claimant Commitment following a conversation with their work coach. The Claimant Commitment sets out what the claimant has agreed to do to prepare for and look for work, or to increase their earnings if already employed. It is based on the claimant's personal circumstances and is reviewed and updated on a regular basis.

Universal Credit Northern Ireland

Section 87 of the Northern Ireland Act 1998 (“the 1998” Act”) places a places a statutory duty on the Minister for Communities and the Secretary of State for Work and Pensions to consult with one another with a view to securing a single social security system for the United Kingdom. Section 88 of the 1998 Act makes provision for financial adjustments to support the maintenance of these parity arrangements.

Underpinning the parity principle is the argument that, as people in Northern Ireland pay the same rates of income tax and National Insurance contributions as people in Great Britain, they are entitled to the same rights and benefits paid at the same rate.

2018 CEACR’s conclusions - Pending

Parts III (Sickness benefit) and IV (Unemployment benefit) of the Code. (a) Benefits to be taken into account. Universal credit. With reference to its previous conclusions, the Committee notes, from the report, that the benefits provided in compliance with the Code henceforth comprise the Universal Credit (UC), which is a social assistance benefit available to those of limited means, who may be at risk of falling into poverty, including in the event of sickness and unemployment. For the purposes of the Code the UC is considered as a benefit provided for all residents whose means during the contingency do not exceed prescribed limits. and who meet conditions of entitlement. The UC replaces the previous complex system of six main benefits (Income-based Jobseeker’s Allowance, Income-related~~based~~ Employment and Support Allowance, Income Support, Working Tax Credit, Child Tax Credit, Housing Benefit) with one simple monthly payment. The Committee welcomes the decision of the Government to include the UC under the scope of the Code which opens the possibility to assess the overall level of protection ensured by the national social security system representing a complex combination of contribution-based and income-based social security benefits, as well as various tax credits and other means-tested social assistance benefits, which offer additional protection against poverty. The Committee notes that it is the first time that the Government reports on the UC (means-tested benefit) to demonstrate compliance with Parts III and IV of the Code, previously applied through contributory, earning-related, benefits which have been found too low over the last years to meet the requirements of the Code. The Committee also notes that the Government has requested the ILO’s assistance for reporting purposes.

Please provide a reply to the Committee’s conclusion.

UK response:

The UK proposes a small amendment to the paragraph above. In all other respects, this paragraph presents an accurate summary of UC.

III - 2. Contingency covered

Article 14. C102 and ECSS

The contingency covered shall include incapacity for work resulting from a morbid condition and involving suspension of earnings, as defined by national laws or regulations.

Universal Credit

Universal Credit (UC) is a universal social assistance measure that supports those who can work into work, and cares for those who cannot work by providing a minimum level of ~~subsistence~~income, in line with the UK’s view that work is the most effective route out of poverty. There are five basic conditions of entitlement to Universal Credit: to be 18 years or over (with some exceptions); to be under Pension Credit age (with some exceptions); to be a resident of Great Britain; to not be in full-time education (with some exceptions); and to have accepted a claimant commitment.

Lower age limit

~~As in the current system of benefits and tax credits, t~~The lower age limit for entitlement to Universal Credit is usually 18 years. This is because 16 and 17 year olds should usually be in education or training and be supported by their parents. Where appropriate, Universal Credit provides financial support for most 16 and 17 year-olds via the child element awarded to their parents. ~~As in the current system~~However, there are exceptional circumstances where 16 and 17 year olds can claim Universal Credit in their own right. There is no direct entitlement to Universal Credit for children under the age of 16. If one member of a couple is ineligible for Universal Credit because they are under the age of 18 years, then they are not included in the calculation of entitlement. However, any capital, income or earnings that they have is still taken into account.

Upper age limit

The upper age limit for Universal Credit is the qualifying age for Pension Credit. The qualifying age for Pension Credit is linked to the ~~women’s~~ State Pension age for women. As the State Pension age for men and women equalised in December 2018, Pension Credit qualifying age is now the same for both genders. ~~is currently different: the ages will be equalised by 2018.~~ The Pension Credit qualifying age will continue to rise in line with the further~~women’s~~ State Pension age increases.

~~Until~~Before 15 May 2019, Ccouples~~. Couples~~ with one person ~~over~~ above and one person below Pension Credit qualifying age ~~can currentlywill be~~(“mixed age couples”) were able to choose to claim either Pension Credit (and/or Housing Benefit for pensioners) or ~~Universal Credit~~the appropriate working-age income-related benefit. From May 2019 new claims for Pensions Credit and Housing Benefit for pensioners are ~~will be~~ ~~We plan to~~ restricted to couples where both members are above the Pension Credit qualifying age. ~~Existing~~Mixed age couples who awere already claiming Pension Credit and/or Housing Benefit for pensioners are~~will~~ not be affected for as long as they remain entitled to either benefit~~and will continue on that benefit while their circumstances remain the same~~. eAccordingly, eEntitlement to Pension Credit may also still be granted to these couples if they are in receipt of pension age Housing Benefit and vice versa.

Those couples not eligible for these pensioner benefits may qualify for Universal Credit, subject to satisfying the capital, income and other entitlement conditions. The upper age limit for Universal Credit will in such cases therefore be attained once both members of the couple have reached the qualifying age for Pension Credit.~~before May 2019, otherwise their~~ ~~support will be provided through Universal Creditrestrict entitlement~~ ~~to Pension Credit to take effect when Universal Credit is available nationally for all new claims.~~ This will ensure that the working age partner receives the right support and incentives to move into work and where appropriate they are required to meet work related conditions. ~~Existing couples who are already claiming Pension Credit are not affected and will continue on that benefit while their circumstances remain the same.~~

Mixed age couples are now able to qualify for Universal Credit if they meet the capital, income and other entitlement conditions. Universal Credit is designed to incentivise and reward paid work. Any Universal Credit work-related requirements will only apply to the partner below State pension age.

The change to the eligibility conditions for mixed-age couples was enacted by paragraph 64 of Schedule 2 to the Welfare Reform Act 2012, and brought into force with effect from 15 May 2019 by the Welfare Reform Act 2012 (Commencement No. 31 and Savings and Transitional Provisions and Commencement No. 21 and 23 and Transitional and Transitory Provisions (Amendment)) Order 2019 (Statutory Instrument 2019 no. 37).

Corresponding Northern Ireland legislation is paragraph 53 of Schedule 2 to the Welfare Reform (Northern Ireland) Order 2015 and the Welfare Reform (Northern Ireland) Order 2015 (Commencement No. 13 and Savings and Transitional Provisions and Commencement No. 8 and Transitional and Transitory Provisions (Amendment)) Order 2019 (SR 2019 No. 4).

Resident in Great Britain

Universal Credit is ~~paid only~~intended for people who are living in Great Britain. A person meets the entitlement condition if they are: present in Great Britain; have a qualifying right to reside; and are factually habitually resident in the United Kingdom, the Channel Islands, Isle of Man, or the Republic of Ireland (known as the ‘Common Travel Area’).

In certain circumstances, an adult whose particular form of employment means they are ~~temporarily absent from Great Britain~~working abroad, is to be treated as still resident for Universal Credit purposes. This includes ‘Crown Servants’ (UK Government workers)~~mariners and people working on continental shelf operations. It also includes~~ and members of the armed forces ~~on active service~~who are posted to work outside Great Britain, provided they were habitually resident in the UK before they were posted abroad.

Where a claimant has an award of Universal Credit, we allow a temporary period of absence abroad of up to one month for any reason. We also allow a longer period of up to six months temporary absence abroad for reasons of medical treatment or in the case of mariners and people working on continental shelf operations. During this time Universal Credit is payable as normal.

If one member of a couple is ineligible for Universal Credit because their immigration status means they cannot claim public funds~~y are not resident in Great Britain~~ then they are not included in the calculation of entitlement. However, any capital, income or earnings that they have is still taken into account.

Education: Exclusions and Exemptions

The majority of people in full-time education are not entitled to Universal Credit. However, exceptions are made where students have additional needs that are not met through the student support system. Treatment of student income under Universal Credit broadly mirrors that in income- related Employment and Support Allowance, Housing Benefit, Income Support and income-based Jobseeker’s Allowance which safeguards fairness whilst also ensuring simplification of the benefit system.

A person in full time education can claim Universal Credit if they are:

• living with their partner and the partner is eligible for UC

• responsible for a child, either as a single person or as a couple if both are students.

• disabled and entitled to Attendance Allowance (AA) Disability Living Allowance (DLA), Personal Independence Payment (PIP) or Armed Forces Independence Payment (AFIP) and have limited capability for work

• in ‘non-advanced education’ (for example studying for A levels or a BTEC National Diploma), are 21 or under and don’t have parental support

Any student loan paid to meet living costs is subject to a £110 disregard in each Assessment Period, equivalent to that provided under Legacy Benefits. Any reduction is only for living costs as loans or grants for other things, such as tuition fees or books, are fully disregarded. As in the current benefit system, the majority of people in full-time education are not entitled to Universal Credit. There are a number of exceptions which are broadly similar to the current rules in the income-related benefits and tax credits. Universal Credit provides support for young people in full-time non-advanced education through the child element paid to their parents. This can continue to be paid up to the August following their 19th birthday. These arrangements are the same as those that currently apply in Child Tax Credit. For non-advanced education only, a young person without parental support is able to qualify for Universal Credit up to the age of 21 years or the end of the academic year in which they reach the age of 21 years. Primary financial support for students comes from the student support system, which is designed for their needs, unlike the social security system. It is important that Universal Credit does not duplicate this support and that is why students cannot normally satisfy the conditions of entitlement.

An exception is made for students with children because the student support system has no equivalent of the child element in Universal Credit, in recognition of the fact that they currently get help through Child Tax Credit and Housing Benefit both of which will be abolished when Universal Credit is introduced. Students who are foster parents are also entitled to Universal Credit.

~~Other exceptions provide help with specific circumstances also not covered by the student support system or avoid anomalies in cases where one member of a couple is a student.~~

~~The other exceptions specified in Regulations are:~~

· ~~disabled students who are entitled to Disability Living Allowance or Personal Independence Payment and have limited capability for work;~~

· ~~students who have reached the qualifying age for Pension Credit or where their partner is under that age.~~

Any grant or loan income received is taken into account in the calculation of the Universal Credit award. Where students are not eligible for a grant or loan, conditionality requirements are usually not relaxed unless the course is accepted as meeting their work preparation requirements.

Claimant Commitment

All claimants ~~must accept~~ make a Claimant Commitment as a condition of entitlement. Couples living in the same household make a joint claim for Universal Credit and each have their own Claimant Commitment. Where a claimant is physically or mentally unable to accept a Claimant Commitment and this is unlikely to change, or it would be unreasonable to expect them to do so due to terminal illness, we will waive the requirement to accept a Claimant Commitment.

~~Other~~ Restrictions on Entitlement

~~Even if the normal entitlement conditions are met t~~There is no entitlement to Universal Credit where a person is:

· a member of a religious order fully maintained by their order;

· a prisoner (except to the extent that support is provided for a temporary period for housing costs where period in custody is likely to be less than six months); and

· serving a sentence of imprisonment and detained in hospital.

These exclusions apply because these categories of people are maintained from other sources and therefore have no need to rely on benefits. These rules broadly mirror current rules in the income-related benefits.

Apprenticeships

People aged 18 or over on apprenticeships will be eligible for Universal Credit if they satisfy the normal conditions of entitlement. Young people aged 16 and 17 will not normally be able to claim Universal Credit, but there are some limited exceptional circumstances where they may do so, for example where they themselves are responsible for a child, have limited capability for work or are without parental support.

III - 3. Persons protected

§1. Article 2. C24

The compulsory sickness insurance system shall apply to manual and non-manual workers, including apprentices, employed by industrial undertakings and commercial undertakings, out-workers and domestic servants.

§1. Article 2. C25

The compulsory sickness insurance system shall apply to manual and non-manual workers, including apprentices, employed by agricultural undertakings.

Article 15. C102 and ECSS

The persons protected shall comprise:

(a) prescribed classes of employees, constituting not less than 50 per cent of all employees; or

(b) prescribed classes of the economically active population, constituting not less than 20 per cent of all residents; or

(c) all residents whose means during the contingency do not exceed limits prescribed in such a manner as to comply with the requirements of Article 67.

See under Part III - 2. Contingency covered

2018 CEACR’s conclusions - Pending

Articles 15 and 21 of the Code. Persons protected. Rolling out the UC. According to the National Audit Office Report of 2018 (NAO report), the Department for Work and Pensions (DWP) started working on the establishment of the UC in 2010 with an original completion date of October 2017. The Committee notes that the scheme is currently being phased on the United Kingdom territory but that its full implementation is now foreseen by the DWP for March 2023. The Committee recalls that Articles 15(c) and 21(c) of the Code require that all residents whose means during the respective contingency, namely sickness and unemployment, do not exceed a prescribed limit, to be protected. Given that the UC is not yet fully implemented, the Committee requests the Government to explain how the protection against contingencies under Parts III and IV of the Code is ensured for persons protected not covered by the UC and to demonstrate how these measures, where they exist, comply with the requirements of Parts III and IV of the Code.

Please provide a reply to the Committee’s conclusion.

Explanatory Note:

Based on discussions with the International Labour Organisation Office, the UK understands it is obliged to explain how the protection against contingencies under Parts III and IV of the Code is ensured for persons protected not yet covered by~~the~~ UC. The UK understands that the basis for this obligation is that (a) the UK regards UC as social assistance, (b) the UK is reporting on the Code under Article 67, which caters for social assistance measures, and (c) the coverage requirements under Article 67 is all residents whose means during the respective contingency, namely sickness and unemployment, do not exceed a prescribed limit. The UK notes that this differs from reporting under Articles 65 or 66, where the coverage requirements are at least 50% of all employees, or classes of the economically active population constituting no less than 20 per cent of all residents.

Until 2017, the UK reported on legacy benefits in its annual report on the Code, and did not report on UC. In 2018, the UK reported on UC and not on legacy benefits. In this report 2019, the UK will report on both. In this report, UC is presented as the main element in the cash-benefits part of the UK’s social protection system (see annex 3 of this report for a summary of how the UK conceptualises its social protection system). Legacy benefits covered in 2017 are reported on exclusively in terms of updates or changes that have occurred since the end of the reference period of the 2017 report. The reference period of the 2017 report was 1 July 2016 to 30 June 2017.

UK response:

One of the main elements of the Welfare Reform Act 2012 was the introduction of Universal Credit (UC). The amount of UC depends on the level of income and other family circumstances. It has a simple structure designed to provide a basic income, with additional elements for children, disability, housing and caring. It is payable both in and out of work, and is replacing the following “existing/legacy benefits”: Working Tax Credit, Child Tax Credit, working-age Housing Benefit, Income Support, income-based Jobseeker’s Allowance (JSA) and income-related Employment and Support Allowance (ESA).

From 12 December 2018, following the roll-out of UC Full Service across Great Britain, the majority of claimants have been unable to make new claims for any of the benefits UC is replacing. Instead, if claimants want to access means-tested financial support, they normally have to make a claim for UC.

The following exceptions apply:

(a) before 1 February 2019, UC wasn’t available where a person wished to claim benefits for more than 2 children;

(b) no claim may be made for UC on or after 16 January 2019 by a single claimant who, or joint claimants either of whom (i) is, or has been within the past month, entitled to an award of an existing benefit that includes a severe disability premium, and (ii) in a case where the award ended during that month, has continued to satisfy the conditions for eligibility for a severe disability premium; and

(c) neither the legislation nor the UC platform currently permit claims from people who do not have a GB postcode, so if a “frontier worker” (i.e. a person who works in GB but lives in another country) attempts to claim UC, they are signposted to claim a legacy benefit instead.

People in receipt of income-related ESA or income-based JSA at any time before UC became available in their particular area, will remain in receipt of these ‘legacy’ benefits, as long as they continue to meet the relevant conditions of entitlement, until their awards migrate to UC.

UC is not replacing two ‘legacy’ benefits: contribution-based JSA or contributory ESA. These remain and can be paid alongside UC where appropriate.

The following table summarises which claimant categories are eligible for which benefits:

Claimant category	Legacy (non-UC) or UC?	Legacy housing benefit or UC?
Above working age	N/A	Legacy housing benefit
Working age since before UC	Income-related ESA+JSA	Legacy housing benefit
Working age since start of UC	Contrib. ESA+JSA	UC
Working age since start of UC	UC	UC
Working age in temporary/ supported accommodation	UC	Legacy housing benefit

~~People who became been entitled to old style ESA or old style JSA~~ ~~at any time~~ ~~UC bec~~a~~me available~~ ~~in the~~ir ~~particular~~ ~~area~~, ~~are able to stay on their legacy~~ ~~benefits (as long as they continue~~ to ~~meet the relevant conditions of~~ ~~entitlement)~~ ~~until their awards migrate to~~ ~~UC.~~ ~~Once UC became available in any particular area, people living in that area~~ ~~have~~, ~~normally~~, ~~only~~ ~~been~~ ~~to claim~~ ~~new style~~ ~~and (see paragraph XX f~~o~~r the exceptional circumstances where UC, new style ESA and new style JSA~~ ~~cannot be claimed~~, ~~and~~ ~~where~~ ~~old style ESA and old style JSA remain~~ ~~available).~~

Legacy benefit changes (updates) since 1 July 2017:

Severe Disability Premium

The severe disability premium (SDP) is an additional component in legacy benefits (Income Support, income-based Jobseeker’s Allowance, Housing Benefit and income-related Employment and Support Allowance) to a claimant who is living alone (or treated as living alone), in receipt of one of the care-related benefits (Attendance Allowance, Disability Living Allowance, Personal Independence Payment, Armed Forces Independence Payment) and in the circumstances where no-one is in receipt of Carer’s Allowance (or the carer element in UC) for looking after them.

The SDP and other disability premiums have traditionally been poorly understood or targeted, and therefore, these were not replicated in UC as a basic design principle of UC is to be simpler than the benefits system it replaces. The funds that previously were allocated for these disability premium payments were instead recycled into an increased component for those who are determined to have Limited Capability for Work and Work related Activity (LCWRA) in UC as compared the legacy equivalent.

As part of this redistribution, roughly one third of claimants gain on UC compared to legacy; however, a third, namely those who were in receipt of the SDP, are likely to lose upon a move to UC.

In recognition of this, those who are entitled the SDP in the month preceding a UC claim, and continue to be entitled to it, have been unable to make a claim to UC since 16 January 2019. This restriction is called the SDP gateway. These claimants will remain on legacy benefits and continue to receive the SDP (where eligible).

Following a High Court judgment in May 2019, the SDP gateway will be removed from January 2021 in order to remove the differential treatment this has created.

In recognition of the likely losses former SDP recipients experience on UC, the Secretary of State for Work and Pensions has decided to offer SDP transitional payments to those who move to UC (from a legacy award of Income Support, income-based Jobseekers Allowance, or income related Employment and Support Allowance). and still meet the SDP qualifying criteria. These payments consist of a one off lump sum for the period since they moved to UC, as well as monthly ongoing payments up to £405 per month depending on their circumstances. The Department began the process of making these payments to eligible claimants in July 2019.

Corresponding NI legislation: the Universal Credit (Transitional Provisions) (SDP Gateway) (Amendment) Regulations (Northern Ireland) 2019 (SR 2019 No. 2.)

Income-related ESA

Changes to legislation since 1 July 2017

The Social Security (Treatment of Arrears of Benefit) Regulations 2018[24]. These Regulations expanded the existing capital disregards in legacy income-related benefits that currently apply to benefit arrears amounting to £5,000 or more which are paid as a result of official error, to apply equally where the arrears are paid as a result of an error on a point of law. This would mean that the arrears in question could be disregarded for the life of the benefit award rather than for the current maximum of 52 weeks. The regulations also apply the extended capital disregards for arrears as a result of official error or error on a point of law to Universal Credit (UC) during the period of migration of legacy benefit claimants to UC, thereby ensuring consistency of approach across the benefits. These provisions came into force on 11 September 2018.

The Social Security (Infected Blood and Thalidomide) Regulations 2017[25]. These Regulations amended certain income-related and recovery of benefits Regulations to provide for an income and capital disregard for payments from certain trusts or schemes which provide assistance to individuals contaminated with Infected Blood or whose disabilities were caused by the fact that during their pregnancy their mothers had taken the drug known as Thalidomide

· The new disregard will enable payments from a number of new infected blood schemes which came into force in England, Wales and Northern Ireland in late 2017 and which have been established for the purpose of providing financial assistance to those who have been infected from contaminated blood products, and which have been approved by the Secretary of State. Payments will be disregarded in the same way as payments from the former UK-wide infected blood schemes.

· These Regulations also amended the same Regulations so as to indefinitely disregard capital payments from trusts, such as the Thalidomide Trust, which have been established for the purpose of giving relief and assistance to disabled persons whose disabilities were caused by the fact that during their pregnancy their mothers had taken the drug known as Thalidomide and which have been approved by the Secretary of State.

Income payments can be disregarded under existing Regulations and therefore a specific income disregard is not required.

Planned changes to legislation before June 2020

We are planning to bring into force on 19 December 2019, subject to Parliamentary approval, the Social Security (Employment and Support Allowance Transitional Provisions) (Amendment) Regulations 2019. DWP introduced ESA for new claimants with a health condition or disability from 27 October 2008. Migration of the existing awards of incapacity benefits (Incapacity Benefit, Severe Disablement Allowance and Income Support on disability grounds) to ESA began in April 2011. Claimants whose award of ESA was lower than their previous award when converted to ESA, were awarded a Transitional Addition (TA)equal to that difference. Current legislation provides for termination of TAs when the amount is reduced to nil, when the person ceases to be entitled to ESA or 5 April 2020 (whichever occurs first). The proposed amendment will maintain the policy position in respect of TAs, which is that cases converted to ESA are transitionally protected. Rather than make further assumptions as to when TAs will be eroded to nil, we propose removing the end date for TAs. TAs will continue to be terminated when they are reduced to nil or when the person ceases to be entitled to an ESA. In the case of income-related ESA, TAs will also terminate when the case is migrated to Universal Credit. Claimants will have their existing rate of income-related ESA, including any TA in payment, protected when migrated to UC.

Policy changes since 1 July 2017

Severe and lifelong health conditions or disabilities

From 29 September 2017 those placed in ESA’s Support Group and the UC equivalent who have the most severe and lifelong health conditions or disabilities, whose level of function would always mean that they would have Limited Capability for Work and Work-Related Activity, and be unlikely ever to be able to move into work, are no longer routinely reassessed.

Mixed Age Couples

A mixed age couple (MAC) (where one partner has not yet reached State Pension age) could previously claim income-related ESA (ESA(IR)) via a claim from one partner in the couple - the “lead claimant” - who fulfils the conditions of entitlement, and claims for their partner as a dependent.

Due to a policy change which took effect from 15 May 2019, MACs will no longer be able to claim Pension Credit until both members of the couple have reached State Pension age. This means they will be able to claim the appropriate working age benefit instead, usually Universal Credit (UC), where eligible. However, if the claimant’s ESA(IR) award includes the Severe Disability Premium (SDP), then the SDP Gateway Regulations (introduced from 16 January 2019) will prevent them from claiming UC for one month. This could leave these claimants with no access to any benefit for one month. This situation could occur until Managed Migration (MM) to UC is completed (currently scheduled for end 2023). Affected claimants will be able to remain on or reclaim ESA(IR) and continue to receive an SDP until the point in time where they are moved to UC by the Department, at which point they will be eligible for Transitional Protection (or both members of the couple reach pension age and go on to claim pension age benefits).

To address this, article 8(2)(a)(iii) of the Welfare Reform Act 2012 (Commencement No. 31 and Savings and Transitional Provisions and Commencement No. 21 and 23 and Transitional and Transitory Provisions (Amendment)) Order 2019, as inserted by article 2(4) of the Welfare Reform Act 2012 (Commencement No. 31 and Savings and Transitional Provisions (Amendment)) Order 2019 (S.I. 2019/935), extended the eligibility of the older member of a mixed age couple for ESA(IR) – but only in these limited circumstances – beyond State Pension age, and until both members of the couple are of pensionable age or they undergo managed migration to UC (MM), whichever occurs first.

Income-based JSA

A mixed age couple (MAC) (where one partner has not yet reached State Pension age could previously claim income-based JSA (JSA(IB)) via a claim from one partner in the couple - the “lead claimant” - who fulfils the conditions of entitlement, and claims for their partner as a dependent.

Due to a policy change which took effect from 15 May 2019, MACs will no longer be able to claim Pension Credit until both members of the couple have reached State Pension age. This means they will be able to claim the appropriate working age benefit instead, usually UC, where eligible. However, if the claimant’s JSA(IB) award includes the Severe Disability Premium (SDP), then the SDP Gateway Regulations (introduced from 16 January 2019) will prevent them from claiming UC for one month. This could leave these claimants with no access to any benefit for one month. This situation could occur until Managed Migration (MM) to UC is completed (currently scheduled for end 2023). Affected claimants will be able to remain on or reclaim JSA(IB) and continue to receive an SDP until the point in time where they are moved to UC by the Department, at which point they will be eligible for Transitional Protection (or both members of the couple reach pension age and go on to claim pension age benefits).

To address this, article 8(2)(a)(ii) of the Welfare Reform Act 2012 (Commencement No. 31 and Savings and Transitional Provisions and Commencement No. 21 and 23 and Transitional and Transitory Provisions (Amendment)) Order 2019, as inserted by article 2(4) of the Welfare Reform Act 2012 (Commencement No. 31 and Savings and Transitional Provisions (Amendment)) Order 2019 (S.I. 2019/935), extended the eligibility of the older member of a mixed age couple for JSA(IB) – but only in these limited circumstances - beyond State Pension age, and until both members of the couple are of pensionable age or they undergo managed migration to UC (MM), whichever occurs first.

Corresponding NI legislation: the Welfare Reform (Northern Ireland) Order 2015 (Commencement No. 13 and Savings and Transitional Provisions and Commencement No. 8 and Transitional and Transitory Provisions (Amendment)) Order 2019 (SR 2019 No. 4 (c. 1)) and the Welfare Reform (Northern Ireland) Order 2015 (Commencement No. 13 and Savings and Transitional Provisions (Amendment)) Order 2019 (SR 2019 No. 107 (c. 4)).

Contributory ESA

No changes.

Contribution-based JSA

No changes.

Legacy housing benefit

Housing costs for those individuals in Supported Housing or Temporary Accommodation where the relevant criteria set out in legislation is met, will continue to be funded through Housing Benefit. There have not been any changes to Housing Benefit regulations in respect of either Supported Housing or Temporary Accommodation since July 2017.

Tax credits

See part VII for details related to Working Tax Credit and Child Tax Credit.

Timetable for the move to UC (from legacy):

Regulations to commence the move to UC of existing benefit claimants who have had no change in circumstances came into force in July 2019. Initially we will be conducting a pilot of up to 10,000 claimants that will be moved to UC. The pilot began in Harrogate on 24^th July 2019. The pilot will last for at least a year after which it will be evaluated. The government will report on its findings to Parliament and bring forward legislation for the wider roll out of managed migration. It has been announced that the move to Universal Credit of all existing claimants will be completed by the end of 2023.

The Government has given a commitment that no one who is moved to UC as part of the managed migration process will have a lower level of entitlement to UC than had been the total level of their entitlement to their existing benefits at the point that they move. Where necessary we will provide Transitional protection as part of the UC award to ensure that this is the case.

III - 4. Level and Calculation of Benefit

Article 16. C102 and ECSS

1. Where classes of employees or classes of the economically active population are protected, the benefit shall be a periodical payment calculated in such a manner as to comply either with the requirements of Article 65 or with the requirements of Article 66[26].

2. Where all residents whose means during the contingency do not exceed prescribed limits are protected, the benefit shall be a periodical payment calculated in such a manner as to comply with the requirements of Article 67; [provided that a prescribed benefit shall be guaranteed, without means test, to the prescribed classes of persons determined in accordance with Article 15. a or b - ECSS].

Universal Credit

Universal Credit is social assistance provided for those who ~~do not~~ have ~~assets available to meet their basic needs~~limited means. While it is important to protect the incentive to save for claimants on low earnings, people with substantial capital must take responsibility for their own support. All income, savings and capital either in the UK or abroad of the individual or couple, must be taken into account when calculating the adjusted award for UC. UC broadly follows the capital rules from legacy means-tested benefits e.g. Income Support and extends them to the customer group who would previously have claimed Tax Credits. People with capital of £16,000 or more who are entitled to Tax Credits before migrating to UC will ~~receive~~ have transitional protection to protect their ~~cash income at the point of change~~entitlement to benefit for a year. The upper capital limit is £16,000. Beyond that point the claimant(s) will not be entitled to UC. Capital of £6,000 and under will be disregarded completely.

Universal Credit also improves work incentives by introducing a smoother, more transparent reduction of benefits at a consistent and predictable rate when people move into work and increase their earnings. A single taper of 63 per cent per £1 is applied as earnings rise and some claimants will also receive a work allowance, depending on their circumstances.

Universal Credit payment is made up of a standard allowance and any extra amounts that apply, for example if an individual:

· has children

· has a disability or health condition which prevents them from working

needs help paying their rent

Calculation of the level of social assistance

For the purposes of establishing the level of social assistance received, in the form of Universal Credit, by the standard beneficiary in accordance with Article 67 of the Code the reference wage has been calculated as the median gross weekly earning (excluding overtime) for full-time male employees who are classified as unskilled labourers in the manufacture of machinery other than electrical machinery (SOC 91 and SIC 28). The 2018 reference wage has been calculated using the Annual Survey of Hours and Earnings (ASHE) 2014-2015[27] and has been updated according to earnings growth. For the purposes of the calculation of the level of social assistance, the reference wage for the 2018/19 financial year is £383.44~~71.91~~ per week or £161661.0757 per month. The reference wage might not be truly reflective of an unskilled labourer’s net income because depending on their characteristics they could be eligible for the Housing Element and Child Element on Universal Credit.

Due to its status as a social assistance measure that supports those who can work into work, and cares for those who cannot work by providing a minimum level of ~~subsistence~~income, the calculation of the Universal Credit award takes into account a number of variables that are not accounted for in the Code such as the level of savings and the housing costs of the standard beneficiary. Universal Credit is also awarded on a monthly rather than a weekly basis. To account for these differences the amount of Universal Credit payable to the standard beneficiary has been calculated for a number of scenarios and the figures provided for a monthly award.

(1) Couple with 2 children with no savings and no rent – replacement rate of 710%

a. UC Award: £~~962~~1008

b. Child Benefit award: £~~150~~149

c. Net Income: £1,~~112~~157

(2) Couple with 2 children with no savings and the lowest Local Housing Allowance rate (£85pw) – replacement rate of ~~91.6~~92%

a. UC Award: £1,~~332~~377

b. Child Benefit award: £~~150~~149

c. Net Income: £1~~,481~~526

(3) Couple with 2 children, not working, no savings, highest Local Housing Allowance rate (£37665.049pw) – replacement rate that is 185% higher than the reference wage

a. UC Award: £1,767

b. Child Benefit award: £~~150~~149

c. Net Income: £1,9167

2018 CEACR’s conclusions - Pending

Part XI (Standards to be complied with by periodical payments), Article 67 of the Code. Universal Credit. For the purposes of establishing the level of social assistance provided through UC, the report uses Article 67 of the Code, as the UC is provided for those who do not have assets available to meet their basic needs. All income, savings and capital either in the UK or abroad of the individual or couple, must be taken into account when calculating the adjusted award for the UC. The upper capital limit is £16,000. Beyond that point the claimant(s) will not be entitled to the UC. Capital of £6,000 and under will be disregarded completely. The Committee understands that the award of the UC is adjusted according to the prescribed scale depending on the claimant’s capital. Please state how this scale is prescribed and include a copy, as requested in Title I of Article 67 of the report form for the Code. As regards other assets which may be available to the beneficiary and his family, such as income, savings and private house, the consolidated report states that the UC is reduced at a consistent rate of 63 per cent per £1 when people move into work and increase their earnings, but gives no information with respect to disregarded value of the house and savings. Calculation of the level of the UC is made for a standard beneficiary with no savings at all. The Committee recalls that Article 67(b) of the Code allows the reduction of the social assistance benefits only when the other means of the family of the beneficiary exceed prescribed substantial amounts (such as the value of the private house, pension savings, life insurance, income in cash necessary to meet alimony obligations, etc.), which shall be disregarded when determining the rate of the benefit. The Committee requests the Government to explain how the other means of the couple, besides £6,000 of capital, are taken into account for calculating the award of the UC, and indicate the substantial amounts which are also disregarded in accordance with Article 67(b). The Committee reminds the Government of the possibility of availing itself of the technical assistance of the ILO in this respect.

Please provide a reply to the Committee’s conclusion.

UK response:

The Scale

A full illustration of the scale referred to is set out in the Advice for Decision Makers guide (ADM), which is in the public domain. The scale is set out at Appendix 1, Chapter H1, paragraph H1903:

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/778104/admh1.pdf

Capital Disregards

Certain capital assets may be disregarded. These categories of capital include (not exhaustive)

personal possessions;
certain premises, notably the dwelling occupied as the main home;
certain business assets;
certain rights in schemes such as pension schemes, life insurance and funeral plans for people below the qualifying age for State Pension Credit;
certain amounts earmarked for special purposes such as purchase of a home or essential repairs to property; and

payments made for arrears of, or compensation for late payment of, social security benefits.

Un-earned Income

Regulation 66 of the Universal Credit Regulations 2013[28] provides a list of un-earned income which is to be taken into account:

· Regular income payments other than earnings cause reductions in the claimant’s Universal Credit entitlement pound for pound.

· Exceptions to the general rule are made for:

o payments in respect of additional costs/expenses the claimant has are not taken into account as unearned income), e.g. Personal Independence Payment or Disability Living Allowance;

o payments deemed equivalent to earnings are treated as earned income, e.g. statutory maternity pay; and

o payments which would constitute a disproportionate administrative burden to take into account are not taken into account as unearned income, e.g. prison discharge grants.

· Unearned income not paid monthly will be averaged over a given Universal Credit assessment period to ‘smooth’ the calculation of award.

Earned income

See reference above to the taper on earnings.

III - 5. Qualifying period

§2. Article 3 C24 and C25

The payment of this benefit may be made conditional on the insured person having first complied with a qualifying period and, on the expiry of the same, with a waiting period of not more than three days.

§1(f) Article 1 C102, §1(i) Article 1 ECSS

The term qualifying period means a period of contribution, or a period of employment, or a period of residence, or any combination thereof, as may be prescribed.

Article 17. C102 and ECSS

The benefit specified in Article 16 shall, in a contingency covered, be secured at least to a person protected who has completed such qualifying period as may be considered necessary to preclude abuse.

Universal Credit

There is no qualifying period of contributions for Universal Credit.

We assess and pay Universal Credit monthly. It is paid in arrears for each calendar month ~~and the amount is the same each month~~. Universal Credit is paid in a single monthly sum which helps households plan their budget, easing the transition to work.

Northern Ireland: Universal Credit is paid twice monthly in Northern Ireland.We calculate the impact of earnings on the UC payment in a fair and easy to understand way. We also need to make sure we treat people in the same way. Universal Credit legislation means earnings are taken into account in the same Assessment Period (AP) that we are notified of these earnings. We also take into account any final earnings when we work out how much Universal Credit someone is entitled to. Because Universal Credit is an online system, the next monthly payment will adjust automatically to take into account that month's circumstances.

III - 6. Minimum duration of Benefit

§1. Article 3. C24 and C25

An insured person who is rendered incapable of work by reason of the abnormal state of his bodily or mental health shall be entitled to a cash benefit for at least the first twenty-six weeks of incapacity from and including the first day for which benefit is payable.

Article 18. C102 and ECSS

The benefit specified in Article 16 shall be granted throughout the contingency, except that the benefit may be limited to 26 weeks in each case of sickness, [in which event it – C102] need not be paid for the first three days of suspension of earnings.

Universal Credit

Details on the waiting period

All claimants are eligible for Universal Credit from the first day they claim it, (subject to satisfying the conditions of entitlement).

See under part III-10. Financing and Administration, particularly 2018 Committee’s conclusion on Waiting period and delay in payments (in conjunction with Articles 18 and 24 of the Code).

III - 7. Medical Care

Article 4. C24 and C25

1. The insured person shall be entitled free of charge, as from the commencement of his illness and at least until the period prescribed for the grant of sickness benefit expires, to medical treatment by a fully qualified medical man and to the supply of proper and sufficient medicines and appliances.

2. Nevertheless, the insured person may be required to pay such part of the cost of medical benefit as may be prescribed by national laws or regulations.

3. Medical benefit may be withheld as long as the insured person refuses, without valid reason, to comply with the doctor's orders or the instructions relating to the conduct of insured persons while ill, or neglects to make use of the facilities placed at his disposal by the insurance institution.

Article 5. C24 and C25

National laws or regulations may authorise or prescribed the grant of medical benefit to members of an insured person's family living in his household and dependent upon him, and shall determine the conditions under which such benefit shall be administered.

See under Part II. Medical Care

III - 8. Suspension of Benefit

§3§4. Article 3. C24 and C25

3. Cash benefit may be withheld in the following cases:

(a) where in respect of the same illness the insured person receives compensation from another source to which he is entitled by law; benefit shall only be wholly or partially withheld in so far as such compensation is equal to or less than the amount of the benefit provided by the present Article;

(b) as long as the insured person does not by the fact of his incapacity suffer any loss of the normal product of his labour, or is maintained at the expense of the insurance funds or from public funds; nevertheless, cash benefits shall only partially be withheld when the insured person, although thus personally maintained, has family responsibilities;

(c) as long as the insured person while ill refuses, without valid reason, to comply with the doctor's orders, or the instructions relating to the conduct of insured persons while ill, or voluntarily and without authorisation removes himself from the supervision of the insurance institutions.

4. Cash benefit may be reduced or refused in the case of sickness caused by the insured person's wilful misconduct.

Article 69. C102, Article 68. ECSS

A benefit to which a person protected would otherwise be entitled in compliance with any of Parts II to X of this Convention may be suspended to such extent as may be prescribed--

(a) as long as the person concerned is absent from the territory of the Member;

(d) where the person concerned has made a fraudulent claim;

(e) where the contingency has been caused by a criminal offence committed by the person concerned;

(f) where the contingency has been caused by the wilful misconduct of the person concerned;

~~Criteria for suspension of UC~~

The Claimant Commitment has been designed to support robust monitoring. The Claimant Commitment helps focus a claimant on their work related requirements, including where appropriate, proactive, work-search that treats looking for work as a full time activity and sets the right foundation ahead of Universal Credit’s smoother, clearer, and more stable incentives to work. Sanctions are a key part of Universal Credit, however are only used in a small minority of cases when someone has failed to meet the requirements without good reason. ~~Sanctions~~ encourage claimants to always do what is reasonable to look for work, increase hours worked or increase their pay. They also ensure claimants experience the consequences of a failure to meet requirements. Jobcentre staff will ask claimants for the reasons for failure to take an action, such as attending an interview, which could lead to a sanction. The decision on whether to apply a sanction is made by a trained decision maker. There is no definitive list as to what circumstances amount to good reason when considering failure to meet a requirement. Claimants have the right to appeal any decision where they are unhappy.

Claimant Commitment

All claimants must accept a Claimant Commitment as a condition of entitlement. Couples living in the same household make a joint claim for Universal Credit and each have their own Claimant Commitment. For the first time, claimants’ obligations are recorded in one place, clarifying both what people are expected to do in return for benefits and support, and exactly what happens if they fail to comply. If a claimant disagrees with any work search or availability requirements detailed in their Claimant Commitment then they can ask for it to be reviewed by another Work Coach. The Claimant Commitment should be revised on an on-going basis to clearly record the expectations placed upon a claimant and the consequences (sanctions) of any failure to comply. A personalised Claimant Commitment is drawn up by the Work Coach often as the output of a face-to-face discussion with the claimant. The initial Claimant Commitment is usually accepted as part of the normal claims process. If a claimant refuses to accept their Claimant Commitment, then they are not entitled to Universal Credit. As Universal Credit is a household benefit, if either adult in a couple refuses to accept their Claimant Commitment then the claim for the other adult also ends.

Where a claimant refuses to accept their Claimant Commitment we allow a short ‘cooling off’ period to give the claimant the opportunity to reconsider their decision and the impact on the household claim. In exceptional circumstances, where a claimant is unable to accept a Claimant Commitment we can remove the requirement to do so. This may include, for example, claimants who have an appointee or someone acting on their behalf, claimants who are incapacitated in hospital and exceptional emergency situations. Where the claimant is physically or mentally unable to accept a Claimant Commitment and this is unlikely to change, or it would be unreasonable to expect them to do so due to terminal illness, we will waive the requirement to accept a Claimant Commitment.

The Claimant Commitment and the process of acceptance have been designed to support robust monitoring and drive higher compliance with requirements. The Claimant Commitment helps focus a claimant on their work related requirements, including where appropriate, proactive, work-search that treats looking for work as a full time activity and sets the right foundation ahead of Universal Credit’s smoother, clearer, and more stable incentives to work.

2018 CEACR’s conclusions - Pending

Article 68 of the Code. Suspension of benefits.

(i) Claimant commitment. In accordance with section 3(2)(a) of Welfare Reform Act of 2012 (Act), each member of a couple must meet the basic conditions for entitlement to the UC. One of the basic conditions is acceptance of a claimant commitment, as stated in section 4 of the Act. The claimant commitment sets out what the claimant has agreed to do to prepare for and look for work, or to increase their earnings if already employed. If either adult in a couple does not meet the requirement, the entitlement of the other claimant also ends. The Committee recalls that the Code does not allow withdrawal of sickness or unemployment benefits to which a person protected otherwise would be entitled, for the reason that his or her partner does not comply with certain rules.

Please provide a reply to the Committee’s conclusion.

Difference of Perspective:

On this point, there is an important difference of perspective that needs to be understood before providing details of UK policy: the Code is based on the model of a social security system in which cash benefits are provided to individual persons (i.e. the benefit unit is always an individual), whereas in UC cash benefits can either be provided to an individual or to a co-habiting couple (i.e. the benefit unit is either an individual or a couple).

The UK’s approach in relation to UC is not new, insofar as co-habiting couples could also be conceptualised as the benefit unit in legacy benefits. Section 137 of the Social Security Contributions and Benefits Act 1992 (titled “Interpretation of Part VII and supplementary provisions” (http://www.legislation.gov.uk/ukpga/1992/4/section/137/enacted) provides the following definition of “family”:

(a) a married or unmarried couple;

(b) a married or unmarried couple and a member of the same household for whom one of them is or both are responsible and who is a child or a person of a prescribed description;

(c) except in prescribed circumstances, a person who is not a member of a married or unmarried couple and a member of the same household for whom that person is responsible and who is a child or a person of a prescribed description

In a household with two adult claimants, where one of the claimants does not accept their claimant commitment, this may result in the household (both adults) not being eligible for UC. The ILO Committee’s interpretation is that this amounts to withdrawal of benefits to which a person is entitled, for the reason that his or her partner does not comply with certain rules. The UK disagrees with this interpretation, as acceptance of a claimant commitment is a legal condition of entitlement for UC for the full household.

UK policy relating to situations in which the benefit unit is a couple:

In a benefit unit that is a couple, each member of the couple will be required to provide information (e.g. National Insurance details) to enable the claim to be assessed. Each member of the couple is an equal claimant and they are jointly and individually liable. Either or both claimants may complete claim details but they are both required to confirm the information before a claim is submitted.

Both people in a benefit unit are responsible for reporting relevant changes of circumstances and eachneeds to meet relevant conditions of entitlement. They will each also need to sign a claimant commitment.

Where only one member of a couple is eligible for UC (for example the other adult in the couple is subject to immigration control) then the ineligible person’s circumstances will not be brought to bear in calculating how much the maximum amount of UC payable is. Their capital, income and earnings will be taken into account in adjusting the actual UC award. The term ‘assessment unit’ captures both members of a couple where one adult is not eligible for UC.”

Where one or both adults in a benefit unit refuse to accept a Claimant Commitment (CC) (either at the outset, subject to any safeguards or following a referral), the conditions of entitlement to UC will not be met and both claimants within the benefit unit will not be eligible for Universal Credit. They must be referred for an outcome entitlement decision so that their claim to Universal Credit can be closed.

Under the Welfare Rights Act section 4, there is no right of appeal against the requirement to accept a CC, as this is a condition of entitlement. If a claimant fails or refuses to accept a CC (subject to controls and parameters as set out here) they have failed to meet a condition of entitlement and will not be entitled to Universal Credit.

However they have the right to a mandatory reconsideration and subsequent appeal rights on the outcome entitlement decision.

Where a claimant is refusing to accept a CC they can request a review / second opinion on the contents of the CC but only for work search or work availability requirements.

If a claimant does not accept the contents of their CC, either following a second opinion review or where such a review has not been requested, they will not have a valid CC in place, have not met a condition of entitlement to UC and an entitlement outcome decision will need to be made. The claimant will be able to request a Mandatory Reconsideration (MR) of the outcome decision. Once a MR has been undertaken the claimant can also appeal against the outcome decision.

The claimant must be notified of the entitlement outcome decision and this notification must include their MR and appeal rights.

Additional relevant points relating to the purpose of UC and the practical implementation of requirements imposed on claimants:

Universal Credit aims to reduce the number of workless households by reducing the financial and administrative barriers to work that exist in the current system of benefits and tax credits. Temporary work and short hours work can be seen as a ‘stepping stone’ for claimants to move into more sustainable employment and claimants should be encouraged to take up suitable opportunities, as a way of keeping them attached to the labour market. Once in work, Universal Credit makes it easy for claimants to take on extra hours or an additional job, even if it is just for a short period.

Legislation clearly sets out what types of requirements can and cannot be applied to individuals depending on the labour market regime they fall into. It also provides safeguards to limit or even switch off requirements in circumstances where they would not be appropriate. The Labour Market Offer also further defines the types of requirements we expect claimants to meet, depending on characteristics.

Within these parameters, the actual requirements imposed and the support available to claimants should be flexible and customer-focused. Therefore, although the labour market regimes set out high-level expectations for claimants, Work Coaches will have considerable discretion in setting what a claimant must do, responding to an individual’s personal capability and circumstances. Furthermore, we are clear that financial support should remain unconditional for those who cannot be expected to look or prepare for work.

(ii) Work-related requirements in case of incapacity for work. Section 21 of the Act[29] states that in case a claimant has a limited ability for work, he/she is subject to a work preparation requirement. According to section 16 of the Act,[30] the work preparation requirement may include such actions as attending a skills assessment, participating in training, and undertaking work experience. Section 37 of the Act[31] indicates that a claimant has a limited capability for work if: (a) his/her capability for work is limited by his/her physical or mental condition; and (b) the limitation is such that it is not reasonable to require the claimant to work. According to the Report of the Committee of Public Accounts of the House of Common of 17 October 2018 (HoC-CPS report), work coaches are entrusted with a high degree of flexibility in determining the work requirements. They can also make appropriate adjustments taking into account the needs and circumstances of claimants who are not well enough to work and are awaiting a “work capability assessment”. However this is not done on a systematic basis and left at work coaches’ discretion. In this connection, the NAO report refers to such issues of jobcentres as “lacking time and ability to identify claimants who needed additional support; lacking the confidence to apply processes flexibly and make appropriate adjustments; and feeling ‘overwhelmed’ by the number of claimants they are dealing with”. As a consequence, as stated in the HoC-CPS report “claimants with mental health conditions often struggle to cope with the requirements which are set, for some this can result in a significant deterioration in their condition and they can end up with sanctions (which means their UC payment will be temporarily reduced)”. The Committee recalls that, in the event of incapacity for work resulting from a morbid condition, as provided for under Part III of the Code, a person protected must be entitled to sickness benefit without being subject to any work-related requirements. The Committee draws the Government’s attention to the requirement that a claimant be engaged with jobcentres in return for benefit and to the sanctions imposed for not doing so, which are not allowed under Part III of the Code. The Committee further notes with concern that despite statutory safeguards aiming at reducing the burden of such requirements on claimants with “limited capacity” by applying adjustments taking into account their needs and circumstances, these safeguards are not sufficiently applied and are left to the discretion of jobcentres, which results in sanctions and hardship for vulnerable claimants with health conditions.

Please provide a reply to the Committee’s conclusion.

1. Points raised by European Code of Social Security:

Work-related requirements in case of incapacity for work. Section 21 of the Act states that in case a claimant has a limited ability for work, he/she is subject to a work preparation requirement. According to section 16 of the Act, the work preparation requirement may include such actions as attending a skills assessment, participating in training, and undertaking work experience. Section 37 of the Act indicates that a claimant has a limited capability for work if: (a) his/her capability for work is limited by his/her physical or mental condition; and (b) the limitation is such that it is not reasonable to require the claimant to work.

UK response:

Conditions being placed on those who wish to access work-related welfare support have been a long standing feature of the UK benefit system. Prior to the introduction of Universal Credit (UC), claimants in receipt of Employment and Support Allowance (ESA) in the Work Related Activity Group were required to undertake work related activity. ESA was introduced by the Welfare Reform Act 2007 (“the 2007 Act”). It is a benefit for people who, in the language of the 2007 Act, have “limited capability for work” (i.e. their capability for work is limited due to a physical or mental health condition or disability, and the limitation is such that it is not reasonable to expect them to work). Beginning in 2008, ESA replaced, for new claimants, several other benefits paid on grounds of incapacity or disability such as Incapacity Benefit, Income Support on grounds of disability and Severe Disablement Allowance. The Government was concerned that many of the 2.7 million people claiming Incapacity Benefit were not returning to work, even if they wanted to. Over half of claimants had been receiving the benefit for more than five years. The Government also considered it wrong and damaging to label people as being “incapable of work” and thought that the notion that people claiming incapacity benefits could never return to work was outdated. In November 2017 the Government published its Command Paper “Improving Lives: The Future of Work, Health and Disability”. The Command Paper set out the Government’s strategy for reform over the next ten years, including the introduction of UC.

Universal Credit work related requirements reflect the capability, capacity and circumstances of each individual. In some circumstances we do not apply any work related requirements for those claimants with health conditions and disabilities, this includes those who have been found to have a limited capability for work and work related activity (LCWRA) following their WCA, and those claimants defined in schedule 9 of the UC Regulations, which cover a range of conditions or circumstances which would make it impractical or difficult for the claimant to fully engage with the process at this point in time. Other claimants may be required to undertake some reasonable work related activities, which discussed and agreed between the Work Coach and claimant. There is a strong evidence base^[1] showing that work is generally good for physical and mental health and well-being, and that worklessness is associated with poorer physical and mental health and well-being. Conditionality requirements are set in order to increase the likelihood of claimants finding employment, either now or in the future. We want to provide people with health conditions and disabilities equal opportunities to move closer to the labour market. Through agreeing realistic and achievable work related requirements claimants are empowered to maintain existing skills or build new ones, supporting a smoother transition back into work when they are ready to enter the workplace. Any work-related requirements are agreed in discussion with the claimant and will always be tailored to an individual claimant’s capability and circumstances, making them realistic and achievable. Our focus is on positively engaging with claimants with health conditions to ensure they take reasonable steps towards work, taking into account their circumstances when agreeing achievable work related activity. The majority of support introduced through our new Personal Support Package is available on a voluntary basis.

Claimants found to have limited capability for work at their Work Capability Assessment are usually expected to undertake reasonable work preparation activities, including participating in work focused interviews, unless other circumstances mean that they have lower conditionality requirements.

Work-related requirements are set in discussion with the claimant and will always be tailored to an individual claimant’s capability and circumstances, making them realistic and achievable. Claimants will be supported by a work coach who will assist the claimant in meeting their requirements through providing encouragement and direction. Claimants may also be referred to a range of specialist support and provision, most of which is voluntary, to help meet any skills needs. Work Coaches will discuss with the claimant their circumstances, making them aware of the range of support available. Work coaches have the discretion to tailor conditionality, switch off, or apply voluntary activities where these are most appropriate.

Furthermore, if a claimant is not happy with their required work-related activity, and this cannot be resolved by discussing it with their work coach, they have the right to have this formally reconsidered.

2. Points raised by European Code of Social Security:

According to the Report of the Committee of Public Accounts of the House of Common of 17 October 2018 (HoC-CPS report), work coaches are entrusted with a high degree of flexibility in determining the work requirements. They can also make appropriate adjustments taking into account the needs and circumstances of claimants who are not well enough to work and are awaiting a “work capability assessment”. However this is not done on a systematic basis and left at work coaches’ discretion.

UK response:

Legislation provides a clear framework for conditionality.

Claimants can declare themselves to be unfit for work for up to the first 7 days of sickness (self-certification for sickness). From day 8 the claimant is required to provide a Statement of Fitness for Work (SoFFW), also called a ‘fit note’.

During these first 14 days, work search and work availability requirements cannot be applied.

Outside of these periods, work coaches have the discretion to tailor requirements depending on what is reasonable based on the claimant’s health condition. In addition, whilst the claimant has a fit note and before they are assessed under the Work Capability Assessment, they will not be asked to take up work.

This means there are no work-related activities or work availability requirements for 14 days, then from day 15 onwards there is discretion on the work related activities but the work availability remains switched off. This is the case for the first two instances in a 12 month period, after which there is no ‘automatic’ switch off of work search and work availability, i.e. from the third instance onwards, it is at work coach discretion based on what’s reasonable.

Conversations take place between the work coach and their claimant and they come to an agreement about what steps might be reasonable for the claimant to take to look for work or undertake activities to prepare for work. No one will be expected to undertake an activity that is beyond their capability. In some circumstances it might be reasonable for the claimant to have no work-related requirements.

Team leaders are responsible for the quality of work coach services, ensuring the support they provide and the requirements placed upon claimants are tailored to individual need, including the application of relevant easements and protections. This involves making sure work coaches are:

setting reasonable requirements, taking into account individual circumstances
applying easements and restrictions fairly and consistently, e.g. switching off requirements in appropriate circumstances
explaining things clearly to claimants, making sure they understand what they are required to do, how and when that will be followed-up and the potential consequences of not complying
referring cases to a decision maker only where appropriate, i.e. where it is clear the claimant has no good reason, which includes not having a vulnerability, complex need or health condition that would have undermined understanding of / compliance with a requirement

This is underpinned by a quality standards framework, which reinforces work coach learning and accreditation and supporting guidance and communications. Team Leaders are required to observe each of their work coaches at least once a month using the quality standards framework, (more frequently for new or inexperienced work coaches) and provide structured feedback during performance reviews, arranging for any further coaching or training to address any development needs identified.

Details of Work Capability Assessment.

For on-going health conditions, claimants will be referred for a Work Capability Assessment (WCA), usually at day 29 of their health related claim. Some WCAs are carried out based solely on written information provided by the claimant, but the majority are carried out by DWP’s assessment provider, the Centre for Health and Disability Assessments (CHDA) on behalf of DWP. Following their WCA, the requirements we ask claimants to undertake will depend on the decision on the benefit claim.

Details of what is involved in a WCA can be found in the WCA Handbook https://www.gov.uk/government/publications/work-capability-assessment-handbook-for-healthcare-professionals

The process whereby a claimant is assessed for limited capability for work and limited capability for work-related activity is known as the Work Capability Assessment (WCA). Certain aspects of the WCA are conducted by healthcare providers on the Department’s behalf. Currently this is done in most cases by the Centre for Health and Disability Assessments (CHDA), whose parent company is Maximus. This normally involves the health care professionals (HCPs) working for those companies scrutinising a questionnaire completed by the claimant plus any documentary medical evidence (the ‘Filework’ or ‘Scrutiny’ stage) and, if a recommendation cannot be made on the paper evidence alone, carrying out a face-to-face assessment.

After considering the HCP’s advice, a DWP Decision Maker (DM) will make the decision on entitlement and place the claimant in one of 3 groups:

1. Limited Capability for Work and Work-Related Activity (LCWRA). This means claimants have no requirements but can volunteer for support;

2. Limited Capability for Work (LCW). This means claimants can be asked to attend work focused interviews and undertake work preparation activities to help them move closer to work. Claimants who have LCW cannot be required to seek employment or apply for jobs;

3. Found not to have Limited Capability for Work – claimants are found ‘fit for work’ and can be subject to all work related requirements. However the work coach can agree to reduce the required number of hours, type and location of work to what is reasonable in light of an ongoing health condition or disability.

3. Points raised by European Code of Social Security:

In this connection, the NAO report refers to such issues of jobcentres as “lacking time and ability to identify claimants who needed additional support; lacking the confidence to apply processes flexibly and make appropriate adjustments; and feeling ‘overwhelmed’ by the number of claimants they are dealing with”.

UK response:

The mandatory Learning and Development route way for work coaches and case managers is intensive and comprehensively covers identification of complex needs, skills and knowledge required to understand health conditions and the impact they may have on a claimant’s ability to look for work as well as conditionality and how to tailor requirements/support in light of what is reasonable in the claimant’s circumstances. This tailored route way for new work coaches consists of a minimum of 5 weeks classroom learning, along with consolidation in the Jobcentre. The classroom based elements of their training include case studies and practice of tailoring commitments and having coaching conversations that mimic real life scenarios. These scenarios include tailoring conditionality for health conditions to ensure reasonable commitments are agreed. Work coaches also have training on how to refer to decision makers and the type of information is required for a referral including any easements or tailoring that has been agreed.

Some claimants may be unwilling to tell us they are experiencing difficult life events or personal circumstances. There may be signs, behaviours and language they use that suggest they may have complex needs and Work Coaches use diagnostic interviewing skills to identify where claimants need additional or specialised help and support. To help staff identify and support claimants with complex needs, L&D has been re-written to strengthen identification of and support for claimants with complex needs and content has been enhanced on all existing topics and new topics included on modern slavery and refugees.

Work coaches’ comprehensive training and accreditation programme supports them in building strong relationships with their claimants. , and claimants remain with the same work coach throughout the life of their journey into/closer to work to further strengthen this relationship.

There is comprehensive guidance for a range of complex needs which is accessible to all staff outside of the learning journey. This is continually being reviewed and strengthened to support our staff. Our guidance includes (not exhaustive) Consent and disclosure, Appointees, Personal Acting Bodies and Corporate Acting Bodies, Assisted Digital, Complex Needs Overview, refugees, care leavers, suicide and self-harm, domestic abuse, drug and alcohol dependency, home visits, prisoners and modern slavery.

Each site now has a tailored complex needs plan in place to capture all work to support the complex needs agenda. Plans provide details of site subject matter experts and leads for each complex needs group. It also links out to the guidance/provision for each of these groups

Each site also has access to a Disability Employment Adviser (DEA), who works alongside work coaches to provide additional professional expertise and local knowledge on health issues, particularly around mental health conditions. From April 2019, a new Disability Employment Leader role was introduced to further enhance this support.

In our on-going effort to support our claimants, we:

announced the launch of the Personal Support Package in the ‘Improving Lives’ green paper. We are investing £330m in a package of support over four years from April 2017 to provide personalised and tailored support for claimants with health conditions and disabilities.

have delivered mental health training to all work coaches as part of the Enhanced Support Offer funding (completed March 2019). Work is now underway to make this mental health training available across directorates for all job roles engaging with customers/claimants either face to face, over the phone or in writing (including digital).

have completed rollout of the new Health and Work Conversation, which allows work coaches to continue to build engagement with claimants with disabilities and health issues, backed by comprehensive new work coach training to build skills of empathy and active listening to help people respond resiliently to challenges and overcome fixed beliefs about their abilities.

Provided additional time for work coaches to spend with claimants with health conditions and disabilities to take the right steps for the claimant to move towards work; and

are introducing domestic violence and abuse specialists in each Jobcentre, who will receive further training on how to support claimants who are victims of domestic abuse. These specialists will also have the opportunity to upskill their colleagues and promote awareness of domestic abuse in their Jobcentres. This will be delivered in Summer 2019.

4. Points raised by European Code of Social Security:

As a consequence, as stated in the HoC-CPS report “claimants with mental health conditions often struggle to cope with the requirements which are set, for some this can result in a significant deterioration in their condition and they can end up with sanctions (which means their UC payment will be temporarily reduced)”.

UK response:

We recognise the importance of understanding how a mental health condition impacts someone’s ability to prepare for and look for work. We have improved the learning for work coaches, delivered mental health training to all work coaches, increased the number of Disability Employment Advisers who can provide additional support and introduced a new Disability Employment Leader role to further enhance this support.

Claimants recovering from mental illness may already be covered by a mandatory easement in schedule 8 of the UC Regulations, if they are undergoing medical or other treatment as a patient in a hospital or similar institution; or recovering from such treatment in circumstances in which we are satisfied that the claimant should be treated as having limited capability for work.

Where a claimant presents valid medical evidence of a mental health condition (e.g. a ‘fit note’ from their GP) work availability is switched off until the outcome of their Work Capability Assessment.

The legislation enables work coaches to tailor conditionality, apply easements, set ‘voluntary’ work related requirements (so there is no risk of a sanction) and ‘switch off’ work related requirements altogether where this is most appropriate for the individual, in light of their health condition or disability.

Sanctions are only used when claimants fail to meet their requirements without having a good reason. A Decision Maker takes into account all the claimant’s individual circumstances, including any health conditions or disabilities, and any evidence of good reason they have provided, before deciding whether a sanction is warranted. If a claimant has not met their requirements as a result of their mental health condition, this may be considered as good reason.

(iii) Work-related requirements in case of unemployment. Sections 15–18 of the Act[32] establish four types of work-related requirements, each of which comprising a range of actions to be performed by claimants. Section 97(4) of the Universal Credit Regulations of 2013 (Regulations) provides limitations on work which can be offered to claimants by jobcentres. Such requirements must be limited to work of a similar nature, or level of remuneration, to that of the previous work. However, they apply for a period as long as the Secretary of State considers appropriate but for no more than three months (13 weeks) beginning with the date of claim (section 97(5) of the Regulations) and only if the Secretary of State is satisfied that the claimant will have reasonable prospects of obtaining paid work in spite of such limitations (section 97(4) of the Regulations). The Committee recalls that Article 20 of the Code provides protection during the initial period of unemployment of 13 weeks (Article 24(1)(a) of the Code) from the obligation to take up any job which is not suitable, so as to leave open the possibility to provide unemployed persons with suitable employment, ensuring thereby the most effective utilization of their training, skills and experience and the maintenance of a level of earnings similar to the one they had in previous employment. The Committee asks the Government to ensure that, in practice, during the first 13 weeks of unemployment, the persons protected are not requested to accept work outside of the limitations set out in section 97(4) of the Regulations and they will not be subjected to sanctions for refusing to accept such work.

Please provide a reply to the Committee’s conclusion.

Under Universal Credit Regulations 2013 Reg 97 (4), (5) and (6),[33] Restrictions on the type of work and the salary may be permitted where the claimant has:

(1) a strong and sustained work history in a specific occupation

(2) a health condition which may prevent them undertaking certain work or in certain locations

These restrictions will affect both work search and availability requirements.

(1) Where a claimant has a strong work history the Work Coach may allow claimants to restrict their work search/availability to only look for work relating to a particular job and location (and its associated salary) they have recent experience in. This is called a ‘permitted period’. This will be at the discretion of the Work Coach who will test their prospects of finding this type of work.

The permitted period can be for a period of up to 3 months at the discretion of the Work Coach. The permitted period starts from either (a) the date of claim if the claimant moves straight to the Intensive Work Search regime or (b) if a claimant is placed in the Earning Enough – No Work Related Requirements regime initially, based on their earnings, the date they move to the Intensive Work Search regime following a drop in earnings.

If during that period the claimant decides to consider types of employment outside their chosen fields then they are able to do so. They can update their Claimant commitment at any time to modify their types of employment sought if they feel their restrictions to work in the same field are no longer viable.

The permitted period is at the discretion of the work coach because it is recognised that in some circumstances an inflexible approach (i.e. limiting the work which can be offered to claimants to work of a similar nature or level of remuneration to that of previous work) could hinder an individual’s ability to find work and damage future employment prospects by creating a longer spell of unemployment. Where seeking employment in the same field or same salary is reasonable, as may often be the case, the system allows this.

The 3 month period would continue to run until its conclusion and so the claimant would get the benefit of it during any period out of work. It wouldn’t start and stop during the period a claimant was in work. Only one permitted period is allowable in any claim period. If a claimant moves into work and into the No Work Related Requirements regime, due to earnings, and their earnings subsequently drop and they move back into the Intensive Work Search regime, they are not considered for another ‘permitted period’ if they had one earlier in their claim.

In Live Service, claimants whose level of earnings mean that their UC award is zero, have their claim remain ‘open’ for 6 assessment periods, so if they move back to the Intensive Work Search regime during this time, they would not be allowed another permitted period, if they have had one earlier in their claim. For claimants in Digital ‘full’ service, they are expected to make a new claim if earnings drop. However, if this new claim is made within 6 assessment periods of them losing entitlement, a permitted period should similarly not be allowable, if they received one as part of their earlier claim. This means that we are being consistent in our approach between both live service and digital service claimants.

(2) For claimants with a health condition or disability, work coaches may agree to restrictions on the number of hours, type and location of work to what is reasonable.

For example a claimant with Emphysema may be exempted from working in dusty environments or a claimant with a musculoskeletal condition may not be required to work in a role requiring manual labour.

(iv) Sanctions. In accordance with Articles 26 and 27 of the Act,[34] the amount of an award of the UC is to be reduced for a certain period (“reduction period”) if a beneficiary fails to meet the prescribed requirements for entitlement of the UC without a good reason. Sections 101–105 of the Regulations establish higher, medium- and low-level sanctions. In particular, section 102 of the Regulations[35] provides for a reduction period up to 1,095 days. The report states that the decision as to whether to apply a sanction is made by a trained decision-maker. It further states that there is no definitive list as to what circumstances amount to good reason when considering failure to meet a requirement. In this respect, the Committee notes the statement of the UN Special Rapporteur on extreme poverty and human rights (16 November 2018), that “the harsh and arbitrary nature of some of the sanctions, as well as the devastating effects that resulted from being completely shut out of the benefits system for weeks or months at a time”. It indicates that for unemployed people, between 6 per cent and 8 per cent are subjected to sanctions, and 31 per cent of sanctions were for a period exceeding three months, and one in eight were over six months in 2017. Recalling that Article 68 of the Code establishes the closed list of cases in which the suspension of benefits is allowed under the Code, the Committee requests the Government to explain what criteria are used by the trained decision-maker when applying sanctions. The Committee requests the Government to provide data on the average reduction period and the number of sanctions imposed on claimants.

Please provide a reply to the Committee’s conclusion.

Overview of sanctions

Sanctions encourage claimants to always do what is reasonable to look for work, increase hours worked or increase their pay. They also ensure claimants experience the consequences of a failure to meet requirements. Jobcentre staff will ask claimants for the reasons for failure to take an action, such as attending an interview, which could lead to a sanction. The decision on whether to apply a sanction is made by a trained decision maker. There is no definitive list as to what circumstances amount to good reason when considering failure to meet a requirement. Claimants have the right to appeal any decision where they are unhappy.

Corrections to the Committee’s conclusion

There are a number of inaccuracies in the first sentence under the heading “(iv) Sanctions”, above. The first sentence under this heading reads: “In accordance with Articles 26 and 27 of the Act, the amount of an award of the UC is to be reduced for a certain period (“reduction period”) if a beneficiary fails to meet the prescribed requirements for entitlement of the UC without a good reason.” 26 and 27 are sections, not Articles, of the Welfare Reform Act 2012. In addition, sanctionable failures are nothing to do with entitlement to UC. As a result, the sentence is misleading. The reality is that sanctions reduce the award of UC but there is still underlying entitlement to the benefit.

The following two sentences are also incorrect, and should be replaced with the following text: “Regulations 101 – 105 of the Universal Credit Regulations 2013[36] provide for the reduction periods to be imposed and establish higher, medium, low and lowest-level sanctions. In particular regulation 102 of the UC Regulations[37] provides for a reduction period up to 1095 days for higher-level sanctionable failures.”

Response to the Committee’s requests

The Committee writes:

Recalling that Article 68 of the Code establishes the closed list of cases in which the suspension of benefits is allowed under the Code, the Committee requests the Government to explain what criteria are used by the trained decision-maker when applying sanctions.

The UK responds:

Sanctions in Universal Credit are linked to conditionality and work-related requirements (claimant responsibilities) and are imposed where the claimant fails to comply with a set requirement for no good reason. Higher-level sanctions under section 26 are imposed in respect of voluntary unemployment, whether in terms of conduct bringing about a loss of employment or conducing to the continuance of a claimant’s unemployment so claimants are not compensated for unemployment caused by their own unreasonable conduct.

Relevant Universal Credit legislation, regulations 95–99[38] already provide for situations where the claimant can be excused their work-related activities (guidance for decision makers is in the Advice for Decision Makers ADM Chapter J3 - Work-related requirements). In those circumstances the claimant would not have to show good reason.

Any work-related requirements placed on claimants should be personalised according to their needs and individual circumstances taking into account any limitations or restrictions. A work coach should have provided adequate information and support to ensure the claimant can understand and meet those requirements.
At any time, a discretionary easement can be applied to work related requirements if the claimant has any needs that require it and complying with their work related requirements would be unreasonable for a temporary period of time depending on the individual needs. For example the claimant has complex needs. Guidance for decision makers is in the Advice for Decision Makers, ADM Chapters J3 and K2.
UC Regulation 113[39] also provides for certain failures for which no sanction will be applied.

It is only if the claimant does not fall within the easements within those regulations or a discretionary easement cannot be applied or is not appropriate that the decision maker will consider good reason.

Good reason is not defined in legislation but was discussed in case law and provides the overarching principle that decision makers must take into account all relevant information about the claimant’s individual circumstances and their reasons for any failures when considering whether a claimant can show good reason. This is not just a consideration of one factor but should be a consideration of the overall picture of the claimant’s individual circumstances and whether the reasons given for the specific failure contributed to the claimant not complying with what we are expecting them to do and whether that was reasonable in the claimants circumstances. In every case this means account has to be taken of all the individual facts and circumstances and consideration given to the case on its own merits. This has a much broader application and flexibility than prescribing certain automatic good reasons within legislation. Extensive guidance and illustrative examples are set out in the Advice for Decision Makers, ADM Chapter K2 (Sanctions – good reason).

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/810643/admj3.pdf

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/787447/admk2.pdf

The Committee writes:

The Committee requests the Government to provide data on the average reduction period and the number of sanctions imposed on claimants.

The UK responds:

Benefit sanction statistics are published in the Benefits Sanction Statistics publication which are released every quarter in February, May, August, and November. These are available at the following link, https://www.gov.uk/government/collections/jobseekers-allowance-sanctions. Each release provides a summary of the latest Official and Experimental Statistics on Universal Credit (UC), Jobseeker’s Allowance (JSA) and Employment and Support Allowance Work-Related Activity Group (ESA WRAG) benefit sanctions.

Data on the number of completed sanctions and median durations of these are available in the corresponding supplementary tables, at the following link (JSA sanctions in ‘Table_1_9’, ESA sanctions in ‘Table_2_7 and UC sanctions in ‘Table 3_7’) https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/779482/data-tables-benefit-sanctions-statistics-october-2018.ods.

(iv) Hardship payments. Section 28 of the Act[40] provides for additional payments by way of the UC (“hardship payments”) in case: (a) the amount of the claimant’s award is reduced as a result of imposed sanctions; and (b) the claimant is or will be in hardship. According to section 116 of the Regulations, claimants are considered as being in hardship only where: (a) they cannot meet immediate and most basic and essential needs (accommodation, heating, food, hygiene); (b) they have made every effort to access alternative sources of support to meet, or partially meet, such need; and (c) they have made every effort to cease to incur any expenditure which does not relate to such needs. The Committee requests the Government to specify what criteria are used by a decision-maker when assessing points (a), (b) and (c) and to provide statistical data on the number of requests accepted and denied out of the total number of requests for hardship payments.

Please provide a reply to the Committee’s conclusion.

The criteria used by a decision maker in all aspects of considering hardship are detailed in the Advice for Decision Makers (ADM) Chapter L1.

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/661730/adml1.pdf

Currently, robust data on the number of requests for hardship payments is not available.

III - 9. Right of complaint and appeal

See under Part XIII-2, Part III-7

Article 9. C24, Article 8. C25

A right of appeal shall be granted to the insured person in case of dispute concerning his right to benefit.

Complaints and appeals processes

If a claimant is not happy with the service provided they may wish to make a complaint. They can contact their local Jobcentre plus or make an online complaint. https://www.gov.uk/government/organisations/department-for-work-pensions/about/complaints-procedure

The last published figures on claimant satisfaction with UC were for 2016/17 – which showed ‘83% of claimants are satisfied with their experience in Universal Credit’. This is in line with other benefits administered by DWP.

2018 CEACR’s conclusions - Pending

Article 69 of the Code. Right to complain and appeal. The Government’s report states that if claimants are not happy with the service provided, they may wish to make a complaint. According to Article 102 of the Act, the recourses available to claimants take the form as a first step, of a mandatory reconsideration, which in a second stage can be appealed on certain grounds including cases of refusal of benefits or disagreement as to its quantity in accordance with Article 69(1) of the Code. The Committee notes however that, according to the UN Special Rapporteur on extreme poverty and human rights (statement of 16 November 2018), “there have been dramatic reductions in the availability of legal aid in England and Wales since 2012 and these have overwhelmingly affected the poor and people with disabilities, many of whom cannot otherwise afford to challenge benefit denials or reductions and are thus effectively deprived of their human right to a remedy”. In view of the above, the Committee requests the Government to provide statistical data on the number of reconsiderations and appeals lodged by the UC claimants over the next reporting year and of initial decisions which have been overturned as a result of reconsiderations and appeals. The Committee further requests the Government to explain what measures are in place, such as legal aid and advisory assistance, to ensure that UC claimants and beneficiaries, who are among the poorest and the most vulnerable, can exercise their right to complain and appeal

Please provide a reply to the Committee’s conclusion.

Statistical data.

A Mandatory Reconsideration takes place if a claimant disagrees with a decision regarding their Universal Credit claim. That decision may concern, for example, the outcome of a Work Capability Assessment or a Labour Market sanction.

Whilst statistics on Mandatory Reconsiderations are not publically available at the present time, DWP has committed to publish data as part of the Department’s annual report.

Explanation of measures in place.

There are no obstacles to anyone on UC exercising their right to complain and appeal. No one needs legal assistance in order to complain or appeal. In 17/18 there were 6,308 UC appeals received by HMCTS. The overturn rate of those heard was 48%.

In 18/19 there were 11,684 UC appeals received, with an overturn rate of 58%. HMG does not have figures on how many of these were represented, but it is unlikely that it was the majority. The tribunal chamber which handles these appeals (the Social Entitlement Chamber of the First-tier Tribunal) is designed to be informal and user-friendly. Tribunal panels are made up of a judge and, in most instances, a medical member, with extensive experience, expertise and skills in questioning claimants on the medical and other details of their claim. Furthermore, the rules of the chamber allow for claimants to be represented by a parent, guardian or appropriate adult, which can be of particular assistance to vulnerable claimants.

Advisory assistance.

Since 1 April 2019 Citizens Advice and Citizens Advice Scotland are now delivering the Help to Claim service which supports claimants in making a new Universal Credit claim or moving from a legacy benefit to Universal Credit because of a change of circumstances. Help to Claim runs alongside the support that Jobcentres can provide and offers tailored, practical support to help people make their claim up to receiving their first full correct payment on time. It is widely available online, through a Freephone number and face to face through local Citizens Advice services.

Local Jobcentre Managers have the flexibility to work alongside organisations to help meet the needs of their communities, assisting the most vulnerable claimants, including those affected by homelessness and mental health conditions. For example, Positive Directions attend Jobcentres in Wirral and provide support with mental health issues and other barriers to employment. In Newcastle, Your Homes Newcastle are co-located in the Jobcentre on a full-time basis to provide housing advice as part of the Newcastle Homelessness Prevention Trailblazer.

In addition, Jobcentre staff have access to information on services and support available in their local area for claimants and will signpost claimants to national and local organisations who provide specialist debt and money management support.

Legal aid.

The UK recognises that legal aid plays an important role in supporting access to justice. That is why last year we spent £1.6bn on legal aid, and we are committed to ensuring help continues to be available into the future.

Following the publication of the Post Implementation Review of the Legal Aid, Sentencing and Punishment of Offenders Act 2012, an evidenced based review of the coalition government’s reforms to legal aid, the Ministry of Justice have committed to pilot the reintroduction of face to face early legal advice in an aspect of social welfare. This pilot will be evaluating the impact of early legal advice in promoting the early resolution of problems. The focus on social welfare stems from evidence that benefit, debt and housing issues can be clustered and often stem from a common problem. The Department continues to work on refining the scope of this pilot, but its evaluative aim is, in part, to empirically assess the downstream impacts and effects of early legal advice.

III - 10. Financing and Administration

Article 6. C24 and C25

1. Sickness insurance shall be administered by self-governing institutions, which shall be under the administrative and financial supervision of the competent public authority and shall not be carried on with a view of profit. Institutions founded by private initiative must be specially approved by the competent public authority.

2. The insured persons shall participate in the management of the self-governing insurance institutions on such conditions as may be prescribed by national laws or regulations.

3. The administration of sickness insurance may, nevertheless, be undertaken directly by the State where and as long as its administration is rendered difficult or impossible or inappropriate by reason of national conditions, and particularly by the insufficient development of the employers' and workers' organisations.

Article 7. C24 and C25

1. The insured persons and their employers shall share in providing the financial resources of the sickness insurance system.

2. It is open to national laws or regulations to decide as to a financial contribution by the competent public authority.

Article 71. C102, Article 70. ECSS

Article 72. C102, Article 71. ECSS

1. The Member (Contracting Party) shall accept general responsibility for the proper administration of the institutions and services concerned in the application of the Convention (Code).

2018 additional information – Universal Credit

Information on the financing of Universal Credit can be found in the Business Case: https://www.gov.uk/government/publications/universal-credit-programme-full-business-case-summary/universal-credit-programme-full-business-case-summary#the-financial-case

2018 CEACR’s conclusions - Pending

Articles 70(3) and 71(2) of the Code. General responsibility of a State for due provision of benefits and proper administration. (i) Waiting period and delay in payments (in conjunction with Articles 18 and 24 of the Code). The report states that all claimants are eligible for the UC from the first day they claim it, subject to satisfying the conditions of entitlement. However, the official website of the UC of the DWP indicates that a claimant “may have to wait for around five weeks for their payment”, while the Hoc-CPS report refers to a “mandatory wait” of five weeks for the initial payment to be made. The NAO report also refers to such a waiting period, reduced in February 2018 from the original six weeks to five weeks. The Committee further notes that, in practice, such period can last up to 12 weeks if a claimant is within the “All work-related requirements” conditionality group, according to the report of the UN Special Rapporteur on extreme poverty and human rights (statement of 16 November 2018). Furthermore, the NAO reportstates that in 2017, “on average claimants were paid four weeks late in addition to the five-week waiting period”. It indicates that from January to October 2017, of those new claims to full service that were not paid in full and on time, 40 per cent (20,000 households, which equates to one in ten of new full service claims) waited in total around 11 weeks or more for full payment; and 20 per cent (10,000 households) waited almost five months or more.

According to the official UC website

(https://www.understandinguniversalcredit.gov.uk/), claimants may also get a UC advance if they are “unable to manage during that period”, an option used by over 60 per cent of them, according to the Hoc-CPS report. Together with the waiting period, advance payments are one of the main reasons invoked by the Hoc-CPS to conclude that the UC causes “financial hardship for claimants, including increased debt and rent arrears, and forces people to use food banks”. The Committee recalls that Articles 18 and 24 of the Code allow a maximum three- and seven-day waiting period for sickness and unemployment benefits respectively and requests the Government to clarify whether there is any waiting period set out in the national legislation and its duration. The Committee also recalls that Article 70(2) of the Code establishes the general responsibility of the State for the due provision of the benefits and requires that all measures be taken for this purpose. Noting the lengthy delay which UC claimants’ experience for the payment of benefits and considering the hardship caused by these delays for beneficiaries and their families, the Committee urges the Government to take all necessary measures to eliminate these delays and ensure the due provision of benefits.

Please provide a reply to the Committee’s conclusion.

In responding to this, the UK notes the conceptual distinction between ‘waiting periods’ and ‘delays’, and notes that the Articles 18 and 24 of the Code focus on waiting periods and Article 70(2) is on delays. The UK response addresses waiting periods, delays, and advances – the last of these being the key measure in place to address situations where waiting periods and/or delays occur.

Waiting periods

Waiting days.

Waiting days have been a longstanding feature of the UK benefit system. Waiting days are days of non-entitlement that are served by claimants at the start of a new claim. Waiting days are days at the start of a jobseeking period or at the start of a period of limited capability for work, in respect of which claimants, who otherwise satisfy the conditions of entitlement, are not entitled to a payment of Jobseeker's Allowance (JSA) or Employment and Support Allowance (ESA). The number of waiting days for these benefits are 7.

The fundamental principle behind the waiting days policy is that benefits are not intended to provide financial support for very brief periods, for example when someone is between jobs or during short periods of sickness. The application of waiting days at the outset of a new award means that more support can be targeted at initiatives to help move people off benefits and into work, for example, measures to improve the literacy and numeracy skills of claimants and provide more resources to support lone parents to return to employment.

The aim of waiting days is to discourage people from claiming benefit when they only have a short gap between jobs or a short period of sickness. This is because benefits are not intended to provide cover for people moving between jobs or experiencing brief spells of unemployment. The cost of administering such small payments balanced against the cost of administering them in these cases is also a consideration.

Waiting days were introduced into UC through the Universal Credit (Waiting Days) (Amendment) Regulations 2015.[41]

Whilst the rationale for avoiding claims for short gaps of sickness and unemployment remains in UC, a period of non-entitlement followed by a monthly assessment period and a subsequent payment caused additional concern at a time claimants are waiting for a first payment of UC.

Waiting days in UC were wholly abolished from 14 February 2018 via the Universal Credit (Miscellaneous Amendments, Saving and Transitional Provision) Regulations 2018.[42]

Assessment period.

Claimants receive their first payment five weeks after the point of claim because an assessment period of a calendar month is needed to calculate entitlement, followed by one week of payment processing. This assessment period is a necessary and crucial part of the claim procedure.

Delays

From the most recent published data (published 13 August 2019), of the households on Universal Credit in April 2019 that have been paid, 94% received full payment on time compared to 84% in April 2018. Payments can be made late for reasons including an outstanding verification issue, such as providing bank statements, evidence of childcare costs, or proof of rent. Many of these claimants receive a part-payment where elements of the claim have been verified. These figures appear within the quarterly Universal Credit statistical bulletin.

Payment timeliness statistics are available in Stat-Xplore from April 2019 onwards. To allow sufficient time for information to be gathered on all payments, figures are not included for the latest month in the series. Payment timeliness statistics for January 2017 to March 2019 for Universal Credit full service can be found in the ODS tables in the latest Universal Credit statistical release.[43] Figures prior to April 2019 are Universal Credit full service only.

Advances

No claimant has to go five weeks without receiving support, as advances, worth up to 100 per cent of a claimant’s indicative award, are available up front, if there is need. Advances are available to all new claimants of Universal Credit.

Our latest internal data shows around 60 percent of eligible new claims to Universal Credit receive an advance. Subject to some fluctuation, this rate of advance take up has been broadly consistent over the last 12 months.

Claimants can access up to 100% of the total expected monthly award, for which they can pay back over a period of up to 12 months. From October 2021, this maximum repayment period will be extended from 12 to 16 months. The offer of an advance is subject to checks to make sure that the claimant can afford the repayments.

The Department ensures claimants are made aware of their maximum advance entitlement and informed that their Universal Credit award will be adjusted over the relevant recovery period to take into account the advance of benefit they received.

(ii) Digital service. According to the consolidated report, the DWP responsible for the administration and implementation of the UC wants claimants and customers to use online services as a first choice. The Committee notes that to apply for the UC, a person has to open an online account and submit a claim, as indicated on the official UC website, and once in receipt of the benefit, make online job searches, applications and reports. In this regard, the “Universal Support” financed by the DWP and local authorities provides digital assistance to make a claim and manage beneficiaries’ money. However, according to the DWP’s survey “Universal Credit Full Service Survey” of June 2018, only 54 per cent of all claimants were able to apply online without assistance, whereas 25 per cent of people reported not being able to make a claim online at all. The Hoc-CPS report further indicates that “claimants are not always offered the support, and for those that are, it often does not come at the right time or meet their needs”. The Committee further notes that according to the UN Special Rapporteur on extreme poverty and human rights (statement of 16 November 2018), organizations and charities receive minimal funding from the DWP to deliver assisted digital support, which covers only two hours of help with the original application and is not nearly enough to cover the demand for support. In light of above, the Committee notes with concern that a high number of claimants and beneficiaries experience difficulties in access to the UC through digital services and requests the Government to explain the measures envisaged to improve digital assistance for UC claimants and beneficiaries. Mindful of the costs associated with the use of the Internet and the purchase of information and communications technology equipment, the Committee also requests the Government to indicate whether any financial support is available to claimants and beneficiaries to ensure access to the UC digital service. The Committee further requests the Government to indicate what other alternatives are available to UC claimants and beneficiaries who are unable to use the digital services.

Please provide a reply to the Committee’s conclusion.

Default to digital

DWP is looking to ways of encouraging claimants and customers to make more use of online services; thereby freeing staff time for people who need it most.

The plan sets out:

• the challenges faced in being an organisation that is ‘Digital by default’;

• how DWP aims to meet the challenges; and

• what every member of staff can do to support the aims.

Help to Claim

From April 2019 Citizens Advice (England and Wales) and Citizens Advice Scotland are delivering new ‘Help to Claim’ support to claimants making a new Universal Credit claim or moving from a legacy benefit to Universal Credit because of a change of circumstances.

Help to Claim offers tailored, practical support to help people make a Universal Credit claim up to receiving their first full correct payment on time. It will be available online, through web-chat, through a Freephone number and face to face through local Citizens Advice services.

Citizens Advice and Citizens Advice Scotland have been funded by Universal Credit for delivery of Help to Claim, on a test and learn basis, for 12 months from April 2019. Help to Claim is funded from the existing Universal Credit business case. We expect it to cost £39m in 2019/20. The decision to award grant-funding directly to Citizens Advice and Citizens Advice Scotland was based on their position as a well-known and independent advice organisation.

This partnership will ensure we are offering a consistent approach nationally for customers who need support to claim, including our most vulnerable customers. Citizens Advice and Citizens Advice Scotland are committed to providing Help to Claim across all areas of England, Wales and Scotland. Citizens Advice and Citizens Advice Scotland have national reach and existing infrastructure that means that they can deliver effectively across Great Britain. Citizens Advice and Citizens Advice Scotland have systems and processes in place to ensure a locally delivered and nationally consistent Help to Claim service. They can offer DWP a guarantee of consistency and quality - enabled by rigorous oversight of the performance of its members. DWP will continue to keep this under review for the duration of the agreement. A delivery review point is built into the Grant Agreement, at which point we will consider how Help to Claim is operating.

Help to Claim is a service designed and delivered by Citizens Advice and Citizens Advice Scotland to help people make a Universal Credit claim and get their first full correct payment on time. Help to Claim is free, confidential, independent and impartial support provided by trained advisers from Citizens Advice and Citizens Advice Scotland. It is for people who need some support making their Universal Credit application.

Multi- channel ‘no wrong door’ access: Help to Claim will be available, face-to-face, over the phone and online through web-chat and online advice content - to allow clients to access support in the way that’s right for them. They can be signposted or referred (post initial application) by the DWP, signposted from third parties or self refer. Citizens Advice will check that Universal Credit is the right benefit for a client to claim.

Citizens Advice they will assess the claimant’s individual needs to make sure they can get access to the right level of support in the way that’s right for them.

Support to start a Universal Credit claim. Depending on their level of need this might include help to:

Set up an email address or a Universal Credit account
Work through claim to-do

Access Universal Credit phone claim service

Access DWP home visit support

Completing a claim and getting ready for first payment. Depending on their level of need this might include help to:

Verify their identity

Provide additional evidence

Prepare for the practicalities of their first monthly payment

Access adaptations such as direct payments to landlords and conditionality easements

Apply for Advance Payments and access additional financial support

Anyone who requires support to make a new Universal Credit claim or is moving from a legacy benefit to Universal Credit following a change of circumstances can access Help to Claim.

Help to Claim can be accessed any time until the first full correct payment of Universal Credit is in place. There are no specific eligibility criteria for the type of people who can access support, instead this is focused on the types of help people need. Accessing Help to Claim support is completely voluntary.

Part IV. Unemployment benefit

The United Kingdom has accepted the obligations resulting from Part IV of C102 and Part IV of the ECSS.

Category	Information available	Information missing / questions raised by the CEACR
IV-1. Regulatory framework	Art.19 C102/ECSS
IV-2. Contingency covered	Art.20 C102/ECSS
IV-3. Persons Protected		Art.21 C102/ECSS*
IV-4. Level and Calculation of Benefit		Art.22 C102/ECSS*
IV-5. Qualifying period	Art.23 C102/ECSS
IV-6. Minimum duration of Benefit and Waiting period		Art.24 C102/ECSS
IV-7. Suspension of Benefit		Art.69 C102, Art.68 ECSS
IV-8. Right of complaint and appeal		Art.70 C102, Art.69 ECSS
IV-9. Financing and Administration		Art.71, 72 C102* Art.70, 71 ECSS*

* Please update statistical data, in accordance with the Report form for C102/ECSS

List of applicable legislation

Universal Credit Regulations 2013 and ‘Welfare Reform and Work Act 2016 http://www.legislation.gov.uk/ukdsi/2013/9780111531938/contents http://www.legislation.gov.uk/ukpga/2016/7/contents/enacted

Universal Credit Regulations (Northern Ireland) 2016 and ‘Welfare Reform and Work (Northern Ireland) Order 2016

http://www.legislation.gov.uk/nisr/2016/216/contents/made http://www.legislation.gov.uk/nisi/2016/999/contents.

IV - 1. Regulatory framework

Article 19. C102 and ECSS

Each Member (Contracting Party) for which this Part of this Convention (Code) is in force shall secure to the persons protected the provision of unemployment benefit in accordance with the following Articles of this Part.

See under Part III-1.

Jobcentre Plus

Jobcentre Plus Offer

The Government has given more responsibility to its Jobcentre plus Work Coaches and managers on the ground. The Government is reducing bureaucracy by encouraging a focus on delivering outcomes, rather than completing activity and processes.

Jobcentre Plus Work Coaches are moving away from a “target driven regime” to "personalised support" with a greater focus on supporting claimants overcoming their barriers, encouraging entry into employment or supporting those on low wages.

The Jobcentre plus Offer has four elements:

1. Core Interventions under the previous benefit system. Interventions will continue but the previous benefit cases will diminish.

2. Universal Credit Full Service – This will increase Work Coach Discretion and autonomy to support claimants overcome their barriers.

3. Increased use of the Work and Health Conversation for claimants, where appropriate.

4. Access to the Flexible Support Fund.

Jobcentre Plus has been delivering this flexible support model for claimants since April 2011.

Jobcentre Plus work coaches offer all claimants, including older people, a comprehensive menu of help, including skills provision and job search support. Interventions are based on claimant circumstances and underpinned by the Claimant Commitment, with co-ownership between the claimant and Work Coach.

Universal Credit, gives Work Coaches the flexibility and autonomy to build individual support packages to help individuals into work. Work Coaches are further supported by specialist expertise (both in-house and external) to help claimants with more complex barriers to enter employment. They also utilise other packages of support such as; New Enterprise Allowance (NEA) for those considering self-employment and funding from the Flexible Support Fund to help individuals overcome their barriers to enter employment.

For claimants who are disabled and people with health conditions, a new Personal Support Package is being introduced which will ensure they receive tailored support to meet their individual needs.

Future plans/changes under consideration/issues that are being addressed

The strategic transition is currently underway from legacy benefits to Universal Credit full service. It has been announced that the move to Universal Credit of all existing claimants will be completed by the end of 2023.

Universal Credit will build on current work coach flexibilities and autonomy to shape support for the individual claimant. This reinforces the emphasis on supporting every claimant to overcome their barriers to re-enter employment.

~~new support model~~

The Department for Work and Pensions (DWP) continues to modernise the way Jobcentre Plus delivers its services and has given responsibility to Jobcentre Plus advisers, trusting them to assess the individual needs of people and to offer the support they think is best.

Jobcentre Plus advisors and managers on the ground have been given more responsibility. The Government is reducing bureaucracy by encouraging a focus on delivering outcomes rather than completing activity and processes. Jobcentre Plus advisors now have the power to judge which interventions will best meet the needs of the individual and deliver these to encourage a return to employment. If claimants are at risk of long term unemployment, they will be referred to the Work Programme at the appropriate point for them.

~~Jobcentre Plus has been delivering this new flexible support model for claimants since April 2011. The model has three elements:~~

~~a core regime of regular face-to-face meetings;~~

~~flexible adviser support; and~~

~~a flexible menu of support options.~~

~~The core regime of regular face-to-face meetings comprises:~~

~~an interview at the start of the claim to clarify conditions of entitlement and capture job search plans within a claimant commitment;~~

~~at least fortnightly face-to-face job search reviews for Jobseeker’s Allowance claimants.~~

~~regular Work Focused Interviews for Income Support claimants; and~~

~~periodic Work Focused Interviews for Employment and Support Allowance claimants.~~

Jobcentre Plus advisers are delivering a personalised service to best meet the needs of the claimant and the local labour market. They offer claimants a comprehensive menu of support options including:

~~Skills provision and job search help using a Support Contract which includes improving job search and getting ready for work core modules that are nationally available.~~

~~Get Britain Working measures and provision funded through the European Social Fund.~~

~~The first year of a two year evaluation of the new flexible support model has now been concluded and full results are now available (see below under Research – The Jobcentre Plus Offer RR814).~~

The evaluation summary shows that from an organisational perspective the implementation of the new model has been successful. There has been a clear move away from a nationally determined structure to more locally-determined processes focused on getting claimants back in to work.

~~The model is seen to complement other initiatives, such as the Performance Management Framework, providing Jobcentre Plus offices with greater autonomy and focus on off flows.~~

Jobcentre Plus staff identified aspects of the new model that could be improved, including: lack of availability and awareness of local provision; limited confidence and knowledge of the provision available; access to non-contracted funding; and challenges in purchasing services from other organisations. There were also specific challenges sourcing suitable support for clients with complex issues, especially for those who were Employment and Support Allowance (ESA) claimants with health related needs.

This model of flexible pre-work programme support will continue into the introduction of Universal Credit in 2013. Work is currently taking place to prepare the wide range of JCP support for Universal Credit claimants, both migrated and new.

Employability and skills policy is a devolved matter. The Department is working closely with the Devolved Governments in Scotland, Wales and Northern Ireland. As part of their devolved responsibilities, Devolved Governments will ensure that claimants will have access to appropriate tailored support.

In Northern Ireland, the Department for Communities provides a comprehensive package of support measures, aimed at helping people with a full range of disabilities to progress towards, move into and sustain employment. Details of these programmes can be found in Annex 2 of this report, under the heading “Northern Ireland. Support measures aimed at helping people with disabilities progress towards, move into and sustain employment”.

~~The Work Programme~~

The Work Programme is designed to help those at risk of becoming long term unemployed. DWP has done away with ‘one size fits all’ employment programmes. The Work Programme offers people tailored support to help them find work. Not only will the Work Programme support people into employment, but it also aims to keep them there.

~~Design and Implementation:~~

The Work Programme was launched on 10 June 2011 and is now in place nationally. This is the biggest single payment by results employment programme Britain has ever seen, providing personalised support to an expected 3.3 million claimants over the life of the contract.

The Work Programme has replaced much of the complex range of employment support previously on offer including the New Deals, Employment Zones and Pathways to Work. These programmes were overly prescriptive and failed to achieve enough job outcomes for the long-term unemployed and deliver good value for money for the taxpayer.

Work Programme providers are free to design support based on individual and local need. They will be paid primarily for supporting claimants into employment and helping them stay there for longer than ever before, with higher payments for supporting the hardest to help.

For the first time providers will be paid partly out of the benefit savings they help to realise when they support claimants into sustained employment, tying what the Department pays them, to what they are being paid for.

~~The Innovative features of the Work programme include:~~

· ~~Payment by results – Payment largely by results for the first time.~~

· ~~Long-term focus – once a claimant is referred to a Work Programme prime provider, they remain with that provider for 2 years.~~

· ~~Differential pricing – payments up to £14,000 for getting those with the biggest barriers to employment into sustained work.~~

· ~~Process not prescribed – by adopting a ‘black box’ approach, providers are free to innovate and use what works best.~~

~~The Work Programme is better designed than our previous employment programmes and is supporting more people than any previous programme.~~

It is too soon to judge performance on job outcomes alone, as we have just over one year’s data for a programme that is designed to support people for two years or more. We know that the Work Programme is helping people off benefit and into employment, and that job entries are increasing. Job outcomes have been building up more slowly than our early assumptions indicated, but the job entry and off benefit data clearly indicate that there is higher performance to come.

We are also starting to see differences emerge between providers. We are managing all our providers robustly to improve performance, and we are taking decisive action with those who are not delivering the Work Programme to the standards we expect. We have issued formal contract letters to several of our providers.

~~We are also taking steps to make the programme better, by improving access to skills provisions, and spreading best practice for supporting harder to help claimants.~~

~~Key Facts~~

There were 1.20 million referred to the Work Programme and 1.16 million attached to a provider. Of the referrals, 1.02 million had the minimum sufficient time on the Programme (of three, or usually six months) to attain a Job Outcome payment.

~~132,000 Job Outcome payments were made to providers, which represents 13.0 per cent of eligible referrals.~~

~~There have been 321,000 job entries, up to September 2012, according to ERSA, the trade body for the welfare to work industry.~~

~~Far more people have started work but not reached the six month point yet. Figures from the industry (ERSA) published on the 20th June 2013 showed 321,000 people had started a job.~~

~~605,000 Sustainment payments were made to providers with 110,000 individual participants attaining at least one Sustainment payment and 80,000 attaining at least three to date.~~

~~For all referrals, with sufficient time following a Job Outcome payment, 65.2 per cent of individuals attained the maximum possible number of Sustainment payments they could by 31st March 2013.~~

From June 1, 2011 to March 31, 2012, there were 687,000 referrals and 9,000 job Outcome Payments. The numbers referred to the Work Programme are very much in line with those in receipt of the relevant benefit and reaching the relevant Work Programme entry point. In Year Two 516,000 claimants were referred to the Work Programme and joined as attachments. This compares with 687,000 referrals and 645,000 joining in Year One.

~~Performance for the more recent monthly intake (cohorts) onto the Work Programme is better compared with earlier cohorts, with the same duration of support.~~

~~For example comparisons of cohorts of referrals that have achieved Job Outcomes within 12 months:~~

· ~~8.5 per cent of the first monthly intake – June 2011 – achieved a Job Outcome by 12 months.~~

· This compares with 11.7 per cent of those referred in January 2012 achieving a Job Outcome after 12 months on the programme and 13.0 per cent for the February 2012 and 13.4 per cent for the March 2012 cohorts.

~~Overview of Work Programme~~

~~The latest Work Programme statistical summary to March 2014^{^[44]} gives a structured overview of Work Programme official Statistics.~~

~~Results against the DWP’s measures for the Work Programme have improved since the start of the scheme in 2011.~~

Over 1.5 million people have joined the Work Programme to March 31 2014, the majority of whom are still on the scheme. The numbers joining each month have generally been decreasing. The proportion expected to require more assistance to find and stay in employment has been around 3 times higher in those joining in the last year or so, compared to the first 12 to 18 months of the scheme.

Jobseekers Allowance (JSA) claimants joining the scheme have shown increasing results over time, with levels around twice as high as those for Employment and Support Allowance (ESA) new claimants. The most recent groups to spend a year on the programme show the highest proportions with a job outcome payment during that time. All 40 contracts achieved the contracted minimum performance levels.

Around 700,000 individuals have completed their allotted time on the scheme to March 31 2014. Approaching a quarter of these were still in employment at this point (or providers had received the final eligible payment). Around 2 thirds returned to Jobcentre plus.

Breaks in benefit for Work Programme participants show similar patterns to those with 3 or 6 months in work. DWP have been examining off benefit periods covered by employment using HMRC Real Time Information data for Work Programme participants. From this analysis we assess that around 26,000 individuals satisfied the conditions for a job outcome payment to the end of December 2013 but no payment has been paid to providers by the end of March 2014. These are not contained in the job outcome payment statistics in this release.

The Work Programme

1. The Work Programme was a DWP scheme introduced in June 2011, intended to provide support for people who were long-term unemployed or at risk of becoming so, with the ultimate aim being to move people from benefits into work (and for ESA claimants to move from benefits into work when they were able to do so).

2. The Work Programme involved outsourcing to a range of public sector, private sector and third sector organisations for the provision of work-related activities and support.

3. In November 2015, DWP announced that the Government was not extending the contracts in the Work Programmes and was introducing the Work and Health Programme[45]. As of 31 March 2017, new referrals to the Work Programme were discontinued and the Work Programme ceased delivery at the end of March 2019.

4. As such, all work-related activity is now set by a claimant’s Work Coach pursuant to the Jobcentre Plus Offer and the same Work Coach will where possible work with an individual claimant throughout the period they access support.

5. As stated above, the Work Programme ceased at the end of March 2019. ESA claimants who completed the Work Programme would have attended a NJWFI as part of Post Work Programme Support (PWPS) through the Jobcentre Plus Offer[46]. As per the ‘standard’ Jobcentre Plus Offer, the NJWFI would have been followed up by a series of flexible interventions (explained below) and the requirement to undertake WRA where appropriate. If the ESA claimant had already attended an NJWFI within the lifetime of the claim, or if they were a voluntary claimant who accepted an invitation for a voluntary interview, they would instead have attended a Post Work Programme Support Completer Interview.

6. The purpose of the NJWFI for PWPS claimants was to identify the support received when on the Work Programme and allowed the Work Coach to tailor an appropriate package of support through the Jobcentre Plus Offer, to help the claimant move into or closer to work. Upon a claimant’s completion of the Work Programme, the Work Programme Provider should have sent an ‘Exit Report’ to the Jobcentre, including:

· A summary of actions agreed, including activities such as work, training or work experience the participant had completed

· The periods that any work experience or employment covered/not completed and any reasons why actions were not completed.

· A recommendation to Jobcentre Plus on the most appropriate next steps for the participant.

· Further information to provide the Work Coach with additional insight as to the participant’s journey on the Work Programme.

· The WP provider’s opinion on the participant’s employment prospects, the type of employment which might be most appropriate.

· Any changes in attitude and background observed during the two years and any known reasons for these changes

· Barriers to employment – any barriers that the participant has overcome, were still to be addressed and/or had arisen whilst on the Work Programme

· Any health conditions or substance dependency the participant may have had, and

· Compliance – the level of compliance observed from the participant, including any possible reasons for this behaviour that may be useful in determining further support for the participant.

· Where possible, the Work Coach would have reviewed the Exit Report as part of the interview and transferred any relevant information to the claimant’s Action Plan[47].

Work & Health Programme (WHP)

The Work & Health Programme (WHP) was launched throughout England and Wales on a rolling basis between November 2017 and April 2018. It predominantly helps people with disabilities and a wide range of health conditions, as well as the long-term unemployed, and certain priority groups, to enter into and stay in work, using the expertise of private, public and voluntary, and community sector providers. The WHP was built on the strengths and lessons learned from the Work Programme and other contracted provision. In line with this experience, the programme was designed with a payment-by-results model, so providers are paid for the results they deliver.

The WHP integrates with local services and health provision and supports local service integration plans. Working with the resources and successful programmes available within local areas ensures that effective use is made of local funding streams and the expertise of local service suppliers, so that participants with multiple barriers to work can receive co-ordinated and holistic support.

WHP will help around 275,000 people across the 5 years of its duration. We expect the majority of people (around 220,000) to start the programme will be disabled people. The latest statistics on Work and Health Programme (to February 2019) can be found here

See Annex 2. Additional information reported on Part IV. Unemployment Benefit

IV - 2. Contingency covered

Article 20. C102 and ECSS

The contingency covered shall include suspension of earnings, as defined by national laws or regulations, due to inability to obtain suitable employment in the case of a person protected who is capable of,and available for, work.

See under Part III-2.

IV - 3. Persons protected

Article 21. C102 and ECSS

The persons protected shall comprise:

(a) prescribed classes of employees, constituting not less than 50 per cent of all employees; or

(b) all residents whose means during the contingency do not exceed limits prescribed in such a manner as to comply with the requirements of Article 67.

See under Part III-3.

Please provide a reply to the Committee’s conclusion.

IV – 4. Level and Calculation of Benefit

Article 22. C102 and ECSS

1. Where classes of employees are protected, the benefit shall be a periodical payment calculated in such manner as to comply either with the requirements of Article 65 or with the requirements of Article 66.

2. Where all residents whose means during the contingency do not exceed prescribed limits are protected, the benefit shall be a periodical payment calculated in such a manner as to comply with the requirements of Article 67. [provided that a prescribed benefit shall be guaranteed, without means test, to the prescribed classes of employees determined in accordance with Article 21.a. - ECSS]

See under Part III-4.

Please provide a reply to the Committee’s conclusion.

IV – 5. Qualifying period

§1(f) Article 1 C102, §1(i) Article 1 ECSS

The term qualifying period means a period of contribution, or a period of employment, or a period of residence, or any combination thereof, as may be prescribed.

Article 23. C102 and ECSS

The benefit specified in Article 22 shall, in a contingency covered, be secured at least to a person protected who has completed such qualifying period as may be considered necessary to preclude abuse.

See under Part III-5.

IV - 6. Minimum duration of Benefit and Waiting Period

Article 24. C102 and ECSS

1. The benefit specified in Article 22 shall be granted throughout the contingency, except that its duration may be limited

(a) where classes of employees are protected, to 13 weeks within a period of 12 months, [or to 13 weeks in each case of suspension of earnings - ECSS]; or

(b) where all residents whose means during the contingency do not exceed prescribed limits are protected, to 26 weeks within a period of 12 months; [provided that the duration of the prescribed benefit, guaranteed without means test, may be limited in accordance with sub‑paragraph a of this paragraph - ECSS].

2. Where national laws or regulations provide that the duration of the benefit shall vary with the length of the contribution period and/or the benefit previously received within a prescribed period, the provisions of paragraph 1 of this article shall be deemed to be fulfilled if the average duration of benefit is at least 13 weeks within a period of 12 months.

3. The benefit need not be paid for a waiting period of the first seven days in each case of suspension of earnings, counting days of unemployment before and after temporary employment lasting not more than a prescribed period as part of the same case of suspension of earnings.

4. In the case of seasonal workers the duration of the benefit and the waiting period may be adapted to their conditions of employment.

See under Part III-6.

Please provide a reply to the Committee’s conclusion.

IV - 7. Suspension of Benefit

Article 69. C102, Article 68. ECSS

A benefit to which a person protected would otherwise be entitled in compliance with any of Parts II to X of this Convention may be suspended to such extent as may be prescribed--

(a) as long as the person concerned is absent from the territory of the Member;

(d) where the person concerned has made a fraudulent claim;

(e) where the contingency has been caused by a criminal offence committed by the person concerned;

(f) where the contingency has been caused by the wilful misconduct of the person concerned;

(h) in the case of unemployment benefit, where the person concerned has failed to make use of the employment services placed at his disposal;

(i) in the case of unemployment benefit, where the person concerned has lost his employment as a direct result of a stoppage of work due to a trade dispute, or has left it voluntarily without just cause; and

See under Part III-8.

Please provide a reply to the Committee’s conclusion.

IV – 8. Right of complaint and appeal

See under Part III-9.

Please provide a reply to the Committee’s conclusion.

IV - 9. Financing and Administration

See under Part III-10.

Please provide a reply to the Committee’s conclusion.

Part V. Old-age Benefit

The United Kingdom has accepted the obligations resulting from Part V of C102 and Part V of the ECSS.

Category	Information available	Information missing / questions raised by the CEACR
V-1. Regulatory framework	Art.25 C102/ECSS
V-2. Contingency covered		Art.26 C102/ECSS
V-3. Persons Protected	Art.27 C102/ECSS*
V-4. Level and Calculation of Benefit		Art.28 C102/ECSS*
V-5. Adjustment of Benefit	Art.65(10) C102/ECSS Art.66(8) C102/ECSS *
V-6. Qualifying period	Art.29 C102/ECSS
V-7. Duration of Benefit	Art.30 C102/ECSS
V-8. Suspension of Benefit	Art.69 C102, Art.68 ECSS
V-9. Right of complaint and appeal	Art.70 C102, Art.69 ECSS
V-10. Financing and Administration	Art.71, 72 C102* Art.70, 71 ECSS*

* Please update statistical data, in accordance with the Report form for C102/ECSS

List of applicable legislation

2011

· Pensions Act 2011

http://www.legislation.gov.uk/ukpga/2011/19/pdfs/ukpga_20110019_en.pdf

2012

· Pensions Act (Northern Ireland) 2012

http://www.legislation.gov.uk/nia/2012/3/pdfs/nia_20120003_en.pdf

2014

· Pensions Act 2014

http://www.legislation.gov.uk/ukpga/2014/19/pdfs/ukpga_20140019_en.pdf

· Welfare Benefits Up-rating Act 2013

http://www.legislation.gov.uk/ukpga/2016/7/pdfs/ukpga_20160007_en.pdf

2015

· Pensions Act (Northern Ireland) 2015

http://www.legislation.gov.uk/nia/2015/5/pdfs/nia_20150005_en.pdf

Apart from annual orders to protect pensions from inflation there has been no significant state pensions legislation since Pensions Act 2014.

See under Part I. General provisions. Articles 1-6. C102 and ECSS.

V - 1. Regulatory framework

Article 25. C102 and ECSS

Each Member (Contracting Party) for which this part of this Convention (Code) is in force shall secure to the persons protected the provision of old‑age benefit in accordance with the following Articles of this Part.

Legislative changes

· In January 2013 the UK Government published a Command Paper which outlined how the UK Government intended to replace the current two-component state pension (basic State Pension and earnings-related additional State Pension) with a single component flat-rate pension set above the basic level of means-tested support for future pensioners.

· Subsequently, the Pensions Act 2014 introduced the new State Pension for people reaching state pension age on or after 6 April 2016, radically simplifying state pension provision.

· Qualification for the new state pension is based on an individual’s National Insurance record, with a minimum qualifying period of 10 years usually required to receive any pension. In steady state, the full rate of the new State Pension (previously referred to as the single-tier pension) will be based on 35 qualifying years of National Insurance contributions or credits. Transitional arrangements are in place for those who have qualifying years before 6 April 2016.

· The new State Pension will cost no more overall that the previous system, but will restructure the system to provide clarity and confidence to help people plan for their retirement.

State Second Pension

The State Second Pension (also known as additional State Pension) ended in April 2016 and with it the ability to contract out of the State Second Pension. Up until this point some people were contracted out of the State Second Pension into a private or workplace pension. While the additional State Pension has ended it will remain in payment, to those with entitlement who reached state pension age before 6 April 2016. A proportion of an additional State Pension can be inherited by surviving wives, husbands and civil partners beyond April 2016.

Northern Ireland

Northern Ireland measures corresponding to the Pensions Act 2014 were approved by the Northern Assembly on 11 May 2015. The measures include the introduction, in 2016, of a single-tier State Pension designed to reduce the complexity of the current system, support the introduction of workplace pension reform and pay a higher weekly amount than the current State Pension. The new system ~~will~~ recognises pre-2016 National Insurance contributions so that individuals are not disadvantaged and ~~will~~ builds on the existing range of National Insurance credits awarded to those who have had care responsibilities.

Pension Credit

In February 2019 an additional amount payable to those with responsibility for a child or qualifying young person was introduced into Pension Credit. This coincided with the closure of Child Tax Credit to new claims, and provided continuity of support for those over State Pension age who are not able to access Universal Credit.

Researches

Series: Research reports from 2010 onwards

The following reports, with content relevant to state pensions, have been published by DWP in the last year (1st July 2012 to 30 June 2013):

· Attitudes to pensions: The 2012 survey DWP Research report 813

https://www.gov.uk/government/publications/attitudes-to-pensions-the-2012-survey-rr813

· Pension Credit eligible non recipients: barriers to claiming DWP research report 819

https://www.gov.uk/government/publications/pension-credit-eligible-non-recipients-barriers-to-claiming-rr819

· A simpler state pension: a qualitative study to explore 1 option for reform DWP research report 787

https://www.gov.uk/government/publications/a-simpler-state-pension-a-qualitative-study-to-explore-1-option-for-reform-rr787

· Pensioner poverty and material deprivation DWP research report 827

https://www.gov.uk/government/publications/pensioner-poverty-and-material-deprivation-rr827

· New State Pension: qualitative research on the ideal customer journey

(24 October 2014)

· Automatic enrolment: qualitative research with employers staging in 2014

(5 January 2015)

V - 2. Contingency covered

Article 26. C102 and ECSS

1. The contingency covered shall be survival beyond a prescribed age.

2. The prescribed age shall be not more than 65 years or such higher age [that the number of residents having attained that age is not less than 10 per cent of the number of residents under that age but over 15 years of age - ECSS] as may be fixed by the competent authority with due regard to the working ability of elderly persons in the country concerned

3. National laws or regulations may provide that the benefit of a person otherwise entitled to it may be suspended if such person is engaged in any prescribed gainful activity or that the benefit, if contributory, may be reduced where the earnings of the beneficiary exceed a prescribed amount and, if non-contributory, may be reduced where the earnings of the beneficiary or his other means or the two taken together exceed a prescribed amount.

State Pension age

· Under the Pensions Act 2011 State Pension age for women ~~will gradually~~ increased gradually~~increase~~ from 60 to 65 between 2010 and 2018. Then, between 2018 and 2020, State Pension age will increase from 65 to 66 for both men and women. The State Pension age will increase from 66 to 67 between 2026 and 2028 under the Pensions Act 2014. The timing of the increase from 67 to 68 remains set to happen between 2044 to 2046 as set out in the Pensions Act 2007. The changes in State pension age reflect increasing longevity in society and make the State Pension affordable in the long term.

· The Pensions Act 2014 contains a framework for further changes to state pension age through a regular review by Government.

· As part of the review process, the Government is required to commission a report from the Government Actuary’s Department looking at the implications of life expectancy data for State Pension age. The legislation also requires Government to commission a further independent report covering other relevant factors. This may include variations in life expectancy between socio-economic groups, and the wider economic context at the time of a review. All reports prepared as part of the review must be published.

· The Government will publish a report on their review of the state pension age every 6 years. The first review ~~will report to Parliament before 7 May 2017~~was published on 19^th July 2017.

Northern Ireland

Under the Pensions Act (Northern Ireland) 2012 State Pension age for men and women was equalised at age 65 in October 2018. State Pension age is now increasing incrementally to reach age 66 by October 2020. The State Pension age will increase from 66 to 67 between 2026 and 2028 under the Pensions Act (Northern Ireland) 2015. The timing of the increase from 67 to 68 remains set to happen between 2044 to 2046 as set out in the Pensions Act (Northern Ireland) 2008.

Increased pensionable age

2018 CEACR’s conclusions - Pending

Part V (Old-age benefit), Article 26(2) of the Code. Increased pensionable age beyond 65 years. In its previous conclusions, the Committee asked the Government to conduct detailed studies measuring the working ability, labour market participation rate and “worklessness” for the categories of workers aged 65–67 years engaged in manual operations and physical labour who form the bulk of the persons protected under Part V of the Code. The report states in this respect that the State Pension age (SPA) will not rise beyond 65 until December 2018 and the Government plans to evaluate the increase in SPA from 65 to 66 once it has been implemented. The report further states that the next SPA review will be carried out by 2023 at the latest, as required by the Pensions Act 2014, and will be informed by an independent report, which considers wider factors that should be taken into account when setting SPA, as will be specified by the Government of the time. The Committee notes in this respect the latest labour market statistics given in the report as to ability of the majority of older workers to pursue economic activity beyond 65 years: 89.6 per cent of them (10.6 million) do not work anymore, 1.8 per cent (22,000) are unemployed, and 10.2 per cent (1.2 million) continue in employment (Office for National Statistics. Employment, unemployment and economic activity by age group, July 2018). In view of the above, the Committee requests the Government to carry out studies on the working ability of older workers without further delay and to provide data on the employment, unemployment and economic activity of classes of workers over 65 years of age engaged in skilled and unskilled manual labour, as well as data on the life expectancy and the healthy life expectancy of people aged 65 and over.

Please provide a reply to the Committee’s conclusion.

Studies on the working ability of older workers

The UK Government has a number of research projects in the pipeline that are relevant to this question. This include continued funding for the English Longitudinal Study of Ageing, a number of Longitudinal Cohort Studies and regular labour market statistics monitoring.

The UK Government is currently commissioning a new large-scale quantitative study on Planning & Preparing for Later Life, and will continue to evaluate the longer term impacts of rising State Pension age.

Also of relevance is the Fuller Working Lives evidence base published in 2017: https://www.gov.uk/government/publications/fuller-working-lives-evidence-base-2017

The latest DWP Areas of Research Interest (https://www.gov.uk/government/publications/dwp-areas-of-research-interest-2019/dwp-areas-of-research-interest-2019) indicates that a number of relevant research questions are top priorities:

1.1 What are the different ways to define and measure labour market progression and sustainable work? How does this vary between groups and at different times in people’s lives? How can DWP best support each individual to achieve the best outcomes for their personal circumstances throughout their life cycle?

1.2 How should DWP work with employers, and other third parties, to support people into work and help them realise their potential and improve skills and productivity?

2.1 What are the current and future trends in disabilities and health conditions that working-age people face that require targeted policy measures to improve employment, health and wellbeing outcomes?

2.2 What barriers prevent people with disabilities and/or health conditions from moving into and progressing in work, and which interventions are most effective at addressing these barriers?

2.3 What new and better approaches are there, including in how we assess capability, for delivering joined-up, tailored and personalised health and work support? How can we effectively engage employers, health professionals and other stakeholders to improve work and health outcomes?

2.4 What works to support people to remain in work, or once on sick leave, to return to work? Who is best placed to deliver this support?

3.2 How and when do people plan for later life and what are the incentives and drivers to work in later life? What are the current attitudes and behaviours of individuals and employers towards work and retirement in later life and how are they changing over time?

Background to the pending comments

Resolution CM/ResCSS(2018)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2016 to 30 June 2017) concerning Part V (Old-age benefit), Article 26(2), Increased pension age.

2018 additional information

The latest ONS statistics show that 65 year olds in the UK are expected to live over half of their remaining life in good health – women 11.2 years and men 10.4 years. [ONS Healthy Life Expectancy data (link) (Dec 2017)]. We have no further updates on the statement above.

State Pension age will not rise beyond 65 until December 2018. We plan to evaluate the increase in State Pension age from 65 to 66 once it has been implemented.

The next State Pension age review will be carried out by 2023 at the latest, as required by the Pensions Act 2014. This will be informed by a report on wider factors relevant to the pensionable age as specified by the Government of the day.

Resolution CM/ResCSS(2017)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2015 to 30 June 2016) concerning Increased pensionable age.

2018 additional information

The Government will provide any research of evidence on the impact of the changing State Pension age as findings emerge. Two independent reports were published on 23 March 2017 to help inform the Government’s review of the State Pension age, which was published on 19 July 2017.

The Government report and the two independent reports can be accessed at the following links:

Final Government report:

https://www.gov.uk/government/publications/state-pension-age-review-final-report

Independent reports:

https://www.gov.uk/government/publications/state-pension-age-independent-review-final-report

https://www.gov.uk/government/publications/state-pension-age-periodic-review report-by-the-government-actuary

These reports do not specifically cover the areas requested in the conclusions, however the Government is willing to provide further information on any future reports to be published.

Resolution CM/ResCSS(2016)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2014 to 30 June 2015) concerning Part V (Old-age benefit) and Article 26(2).

Response [Report 2016-ECSS]

Consequently, the indicators of life expectancy, HLE and DFLE of elderly persons as the measure of their capacity for work beyond 65 should be calculated not for the general population but with respect to the abovementioned categories of workers engaged in manual operations and physical labour, including in onerous and hazardous occupations entailing premature physical ageing.

Whilst average life expectancy differs among people from different socio-economic backgrounds, there have been substantial improvements in longevity at age 65 across all socio-economic groups during the last 30 years. All socio-economic classes (including the unclassified group) experienced statistically significant absolute gains in life expectancy at birth and at age 65 between 1982 to 1986 and 2007 to 2011^{^[48]}.

The Office for National Statistics do not currently produce regular publications on Healthy Life Expectancy and Disability-Free Life Expectancy broken down by Social Economic Class, but plan to do so in the future.

The Government is therefore asked to include in its next report the statistics on the participation rate and worklessness for people aged 65–67 years and belonging to the abovementioned SOC Sub-Major Group 91.

Labour Market Statistics by age group and occupation are published by the Office for National Statistics each month. In addition the Government set out the case for later life working in Fuller working lives: framework for action and more recently, has published, employment statistics on older workers by sector for those aged 50-64 and 65-69^{^[49]}. The sample size for people aged 65-67 belonging to SOC 91 in the Labour Force Survey is very small to make meaningful comparisons – however we will consider, in the future, what might be appropriate data and research for understanding the impact on the categories that are mentioned.

The Department for Work and Pensions published a new annual statistical release on 28th July 2016 which provides statistics on economic labour market status by five year age band and gender^{^[50]}.

2018 additional information

The latest Labour Market stats for 65+:

Employment rate for 65+: 11.4~~0.8~~2% (1.362million)
Unemployment rate for 65+: 1.82% (18622,000)
Economically Inactive rate for 65+: 8~~9.1~~8.56% (10.6million)

[ONS, Employment, unemployment and economic inactivity by age group, ~~July~~MayAugust~~July~~ 20198~~July 2018~~ (data: ~~Jan-Mar-~~Apr-Jun~~May~~ ~~2018~~20198~~2018~~)]

The Pensions Act 2014 requires the Government to regularly review State Pension age and report to Parliament, to ensure that the pensions system remains sustainable as life expectancy grows. The reviews are based around the principle of maintaining a given proportion of adult life in receipt of state pension. Each review is informed by an independent report, which considers wider factors that should be taken into account when setting State Pension age, the Terms of Reference of which are set by the Government of the time.

Resolution CM/ResCSS(2015)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2013 to 30 June 2014) concerning Part V (Old-Age benefit). Article 26 (2).

Response [Report 2015-ECSS]

Legislation to increase State Pension age beyond 65 was first passed in 2007. In response to recommendations from the independent Pensions Commission, the government set out a timetable for gradually increasing State Pension age to 68 by 2046.

The 2011 and 2014 Pensions Acts brought forward the rise to 66 and 67 respectively. These changes to the State Pension age timetable responded to rapid growth in life expectancy. As the tables below set out, growing longevity was accompanied by significant increases in healthy life expectancy and in the old age dependency ratio.

The 2014 Act also introduced a review framework, which means that future governments must consider State Pension age each Parliament, taking into account up-to-date life expectancy data and the findings of an independently-led review, which will consider wider-relevant factors. These factors are to be determined by the government of the day but are likely to include healthy- and disability- free life expectancy.

The Government has also taken action to support older workers, abolishing the default retirement age and extending the right to request flexible working.

Trends in life expectancy

Life-expectancy in the UK has continued to seen an upward trend in recent decades~~, as have healthy life expectancy (HLE) and disability-free life expectancy (DFLE);~~.
HLE pertains to life spent in good health, whereas DFLE corresponds to life free from a limiting chronic illness or disability – both are based on survey data from Annual Population Survey[51] and Labour Force Survey ~~GHS and the CHS^{^[52]}~~,[53] and consequently on measures of self-assessed health.;
HLE and DFLE based on survey measures are globally used to compare the health status of populations through time as well as in the assessment of healthy ageing and fitness for work.;
Between 200~~0-02 and 2009-11~~9-11 and 2015-16 life expectancy at age 65 went up by ~~2.1~~0.5 years for men and ~~1.6~~0.2 years for women.;
In the same period, HLE at age 65 went up by ~~1.2~~0.5 years for men and 01.3 years for women, while DFLE increased ~~1.7~~0.4 years for men and ~~0.8 years~~remained the same for women.;
In other words, every 1 year increase in men’s life expectancy was accompanied by a 0.6 year increase in HLE and a 0.8 increase in DFLE. For women, a 1 year increase in life expectancy was followed by a 0.8 year increase in HLE and a 0.5 year increase in DFLE. The figures below show the trends in LE, HLE and DFLE for men and women.

Source: ONS (2019)

Dependency ratio projections

~~Source: ONS LE, HLE and DFLE estimates for the UK~~

~~Dependency ratio projections~~

Due to falling fertility rates and increasing longevity, the UK’s dependency ratio (ratio of people over State Pension age (SPa) to the working-age population) is projected to increase substantially in the next few decades.

If no changes are made to SPa, the dependency ratio is projected to increase to ~~close to~~over 50% by 2050. Changes in SPa would allow the dependency ratio to remain close to the current value of 30% in the medium term.

Source: ONS Population estimates and ~~2008~~2017-based principal population projections

Trends in older workers’ employment

The participation rate of older workers (aged 50 to SPa) in the UK labour market has gone up over the past two decades, from close to 69% in the last quarter of 2004 to around 75% in the last quarter of 2014.

The participation rate of those over SPa has also increased in this period – from around 8% to close to 12%. The trends set out in the table below.

Source: ONS using LFS datasets, 4 quarter rolling averages

Trends in worklessness for people age 50-SPa show a decrease in the proportion of people out of work due to sickness or disability. For men, this percentage fell from over 16% in 1998 to around 10% in 2013, whereas for women it decreased from over 14% to around 10% in the same period.

Source: LFS, quarter 4 data

Women’s SPa has been going up to equalise with men’s at 65, rising from 60 to 61 between April 2010 and March 2012 and from 61 to 62 between April 2012 and March 2014. These policy changes have been accompanied by increases in participation rates (both employment and unemployment rates) of women aged 60-61.
The Institute for Fiscal Studies (IFS)^{^[54]} estimates that the SPa increase from 60 to 61 was associated with an increase in the probability of employment for 60 year old women of around 6%. The increase from 60 to 62 was associated with an increase in the probability of employment for 60-61 year old women of around 5.4%.

Abolition of the default retirement age

2018 CEACR’s conclusions - Pending

Abolition of the default retirement age. In its report, the Government indicates that following the abolition of the default retirement age (DRA), “most people can retire when the time is right for them”. In its previous report, however, it stated that this decision may be taken by their employer who is free to decide (in accordance with the provisions of the Equality Act 2010) whether to have a fixed occupational retirement age, or whether to retire his workers on a case-by-case basis. The Committee also notes the Government’s explanations indicating that removing the DRA is one of the steps that the United Kingdom has taken to enable and encourage people to work longer, other measures being increases in pension ages for uniformed services personnel, revised ill-health retirement provisions that allow for different degrees of ill health, reduction in the generosity of redundancy terms, more control over early retirements etc. According to the Government, these measures are aimed at making the timing of retirement “a matter of choice rather than compulsion”. The Committee observes however that the above-mentioned measures may increase the pressure on employees to retire later and work longer and on employers to reduce early retirements. The Committee observes that, in combination with the increase of the SPA beyond 65 years, these measures may limit the choices available to older workers and may lead to discrimination against older workers in the labour market. In this regard, the Committee points out that the Code seeks to ensure the protection of older workers against discrimination on the grounds of age by requiring that the age at which workers become entitled to a pension, or pensionable age, be established by law, and by guarantying the right of workers having reached pensionable age to use their remaining working ability through combining old-age pension with gainful activity according to the prescribed rules. Under Part V of the Code protected persons are not obliged but are entitled to start receiving an old-age pension and/or to continue working if they so choose. In order to better understand the rules governing the pensionable age, the Committee requests the Government to indicate and explain the application in practice of the national provisions, which: (1) establish compulsory retirement ages below 65 which are objectively justified in certain occupations; (2) regulate early retirement and the proportionate reduction of pension; and (3) enable the persons protected to combine old-age pension with income from employment, in line with Article 26(3) of the Code.

Please provide a reply to the Committee’s conclusion.

The Employment Equality (Repeal of Retirement Age Provisions) Regulations 2011 (SI 2011/ 1069) repealed/ amended legislation which permitted an employer to terminate the employment of an employee who reaches age 65 without that being deemed unfair dismissal or unlawful age discrimination - provided that the employer follows a statutory notification procedure. This amended the Employment Rights Act 1996 and the Equality Act 2010.

Compulsory retirement of an individual (such as an employee or office holder) or any other less favourable treatment based on age (such as a maximum age for recruitment into a particular role) will amount to unlawful age discrimination unless the employer can objectively justify it as a "proportionate means of achieving a legitimate aim". (That is, direct age discrimination is not unlawful if it can be objectively justified, as provided for by section 13(2) of the Equality Act). A number of legitimate aims for compulsory retirement have been established through case law, including:

Inter-generational fairness or opportunities for younger workers;
workforce planning;
dignity or avoiding performance management;
ensuring quality of service

Public Sector.

There is no overall “national” policy on compulsory retirement ages in public service pension schemes. Individual public service pension schemes (run by the relevant department or devolved administration) own this area of policy.

Private Sector.

Pilots.

Age limits are imposed on the pilots of aircraft engaged in commercial air transport (CAT) on safety grounds.

Internationally these are set in Annex 1 to the Convention on International Civil Aviation. For single-pilot operations the age limit is 60 and for multi-pilot operations the age limit is 65.

These age limits have been given effect in the EU by Commission Regulation 1178/2012. The age limits have recently been reviewed on behalf of the European Aviation Safety Agency. The review concluded that subject to additional safeguards there was scope for increasing the age limit for single pilot operations to 65 but there was not scope for increasing the 65 age limit.

There have been various court challenges to the age limits that have failed. The ECJ has ruled that such age limits do not amount to age discrimination.

There is no age limits on pilots flying for remuneration on non CAT flights, eg as a pilot of a corporate jet.

Background to the pending comments

Resolution CM/ResCSS(2018)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2016 to 30 June 2017) concerning abolition of the default retirement age.

Resolution CM/ResCSS(2017)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2015 to 30 June 2016) concerning the abolishment of the default retirement age.

Response [Report 2017-ECSS]

Regarding varying pensionable ages for different employments – following the abolition of the default retirement age, it is now up to each employer to decide (in accordance with the provisions of the Equality Act 2010) whether to have a fixed occupational retirement age, or whether to make decisions on a case by case basis.

Resolution CM/ResCSS(2016)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2014 to 30 June 2015) concerning the abolishment of the default retirement age.

Response [Report 2016-ECSS]

The Employment Equality (Age) Regulations were introduced in 2006 to prohibit discrimination in employment because of age. Among other things, they introduced a national Default Retirement Age (DRA) of 65 and prohibited compulsory retirement below 65 unless objectively justified. In effect, the DRA made it lawful for an employer to discriminate against an employee on the grounds of their age when it comes to retirement.

People are living longer, healthier lives and as the structure of our society changes we needed to reappraise the important role older people play: as employees, entrepreneurs and in the wider community. As part of this reappraisal, the UK believed that those who wish to work past 65 and are able to do so should not be denied the opportunity to do so and in removing the DRA, it was ensured that people are not deprived of the opportunity to work simply because they have reached a particular age.

Working longer provides many benefits and there are a range of reasons for pursuing it including the health and social benefits that many people gain and the financial benefits to both the individual and the wider economy. In 2010 the National Institute for Economic and Social Research estimated that extending average working lives by one effective year could increase GDP by around 1 per cent. Removing the DRA is just one of the steps that the UK has taken to enable and encourage people to work for longer.

The removal of the DRA does not mean that individuals can no longer retire at 65 – simply that the timing of that retirement is now a matter of choice rather than compulsion.

2018 additional information on arduous occupations

Now that the DRA has been abolished, most people can retire when the time is right for them. In some cases an employer can require you to retire at a certain age - known as ‘compulsory retirement age’. If they do this they must give a good reason why, for example:

the job requires certain physical abilities (eg in the construction industry) and these are objectively justified
the job has an age limit set by law (eg the fire service)

Over the last 20 years, there have been a series of reforms undertaken by UK government to improve the management and performance of staff, including measures to improve controls over early retirements, reduce their costs and encourage longer working lifetimes. Reforms particularly relevant to early retirement include:

Revised ill health retirement provisions that allow for different degrees of ill health and improved medical scrutiny and rehabilitation
Reductions in the generosity of redundancy terms where these apply (although there aren’t comprehensive redundancy schemes for police and fire-fighters)
Increases in pension ages, so uniformed services personnel who work full careers are expected to stay until their late 50s or 60 and those who leave considerably early usually get ordinary public service retirement pensions at age 65 or State Pension Age if higher
Revised provisions for those who leave before age 60, so for example the majority of armed forces personnel are expected to leave by around age 40 (with resettlement grants or early departure lump sums and continuing allowances), and fire-fighters in their mid-50s can take early pension on favourable terms.

V - 3. Persons protected

Article 27. C102 and ECSS

The persons protected shall comprise:

(a) prescribed classes of employees, constituting not less than 50 per cent of all employees; or

(b) prescribed classes of the economically active population, constituting not less than 20 per cent of all residents; or

(c) all residents whose means during the contingency do not exceed limits prescribed in such a manner as to comply with the requirements of Article 67.

Question B

No change (apart from contribution rates)

Question C (ii)

(ii) TITLE II (Article 76)

A. Number of economically active persons protected -

i. Under general scheme 30,527,000(including Northern Ireland) (A)

ii. Under special schemes nil

TOTAL 30,527,000

B. Total number of residents 65,110,000 (B)

C. Percentage A/B 46.89%

Sources: (A) Contributions and Qualifying Years – persons paying Class 1, Class 2 and or Class 3 National Insurance Contributions 2014/15; and

(B) ONS Population estimates for mid year 2015 - United Kingdom.

V - 4. Level and Calculation of Benefit

Article 28. ECSS

The benefit shall be a periodical payment calculated as follows:

(a) where classes of employees or classes of the economically active population are protected, in such a manner as to comply either with the requirements of Article 65 or with the requirements of Article 66;

(b) where all residents whose means during the contingency do not exceed prescribed limits are protected, in such a manner as to comply with the requirements of Article 67.

2018 CEACR’s conclusions - Pending

Article 28(a) of the Code. Calculation of the retirement pension. The Committee notes from the 48th annual report that the replacement rate of the retirement pension received by a married couple (£190.80 at 2016–17 rates) has been calculated with the addition to the man’s retirement pension of £71,50 in respect of a wife of pension age or a dependent wife under pension age. [no new adult dependency increases were awarded after April 2010, add this will end altogether in 2020... The report states that the new State Pension, which was introduced for people reaching SPA from 6 April 2016, is based on individual accounts and does not recognise dependents. The report states that “in 2017/18, 30 years of National Insurance contributions calculated purely as the value of the new State Pension is £136.76”. The Committee requests the Government to calculate the replacement rate of the new State Pension according to Titles I–III and V of Article 66 of the report form for the Code. The Committee notes that for the purpose of Part V of the Code the standard beneficiary is a man with dependent wife of pensionable age. In this connection, the Committee asks the Government to explain whether the standard beneficiary’s dependent wife will be granted any benefits which could be included into calculation of the replacement rate.

~~Please~~ ~~provide a reply to the Committee’s conclusion.Please~~ ~~provide a reply to the Committee’s conclusion.~~It isn’t appropriate to prorate the new State Pension in this way in the early years (i.e. 30/35ths). Transitional arrangements mean that people’s nSP amounts can vary considerably. DN – ~~analysts~~ ~~to comment on approach to replacement rates. This approach doesn.t appear to be representative of the UK labour market.~~ ~~Please~~ ~~provide a reply to the Committee’s conclusion.~~

Title I of RF/C102/ECSS (Article 66).

Please state the amount of the wage of the ordinary adult labourer wage (standard wage).

£~~371~~383.70 44 per week.

TITLE III of RF/C102/ECSS (Article 66), according to which the standard beneficiary is a man with a wife of pensionable age.

· Amount of benefit granted during the time basis.

~~The standard basic weekly rate of retirement pension received by a married couple is~~ ~~£190.80 (2016/17 rates)~~

~~This~~eis~~This~~ ~~basic weekly rate of a category A Retirement Pension, for people reaching state pension age before~~ ~~6 April 2016~~ ~~(byt after 6 April 2010)~~ ~~comprises £119.30~~ ~~(2016/17 rates)for a 100% full weekly Retirement Pension payable to a man~~ ~~person~~ ~~with 30 qualifying years~~ ~~of National Insurance contributions.~~ ~~for himself plusA spouse or civil partner may be entitled toa category B Retirement Pension of up~~ ~~£71.50~~ ~~(2016/17 rates) based on the National~~ ~~Insurance contributions of their spouse or civil partner, if their own category A Retirement Pension, based on their National Insurance contributions, is less than this amount.~~ in ~~respect of a wife of pension age or a dependent wife under pension age.~~ The new State Pension was introduced for people reaching State Pension age from 6 April 2016. The full rate of the new State Pension in 2018/19 was £164.35 a week. ~~There~~Individuals who did not make National Insurance contributions or get National Insurance credits before 6 April 2016 will receive the full rate if they accrue 35 qualifying years. If they accrue 30 qualifying years, they will receive 30/35ths of the full amount, £140.87 a week in 2018/19 rates. A standard beneficiary of a man and a wife both of pensionable age, who have 30 qualifying years each and did not make National Insurance contributions or get National Insurance credits before 6 April 2016, would receive £281.74 a week in 2018/19 rates. Note that it is currently not possible to accrue 30 qualifying years and to have not made National Insurance contributions or received National Insurance credits before 6 April 2016 – the figure is for illustrative purposes only. For individuals who did make National Insurance contributions or get National Insurance credits before 6 April 2016, there are transitional arrangements which mean that individuals could receive less or more than the full rate of the new State Pension, depending on their individual circumstances. As at November 2018, the average amount of new State Pension people received was £156.59 a week for men and £148.59 a week for women.

Couples above State Pension age with a low income may be entitled to Pension Credit. If their income falls below a minimum amount, which was £248.80 a week for couples in 2018/19, then it will be topped-up to that standard minimum amount. This amount may be higher for those who are severely disabled, have caring responsibilities or certain housing costs.

· Amount of family allowance, payable during employment, for a period equal to the time basis.

£151.90

· Amount of family allowance, payable during the contingency, for a period equal to the time basis.

£151.90

Family allowances, payable during employment and the contingency, (where applicable) comprise £20.70 Child Benefit for the eldest qualifying child, £13.70 for the second qualifying and Child Tax Credit of £117.50 in respect of both children. From April 2003 Child Tax Credits replaced Child Dependency Increases payable with State Pension.

2018:

The new State Pension was introduced for people reaching State Pension age from 6 April 2016. The amount people receive under the new State Pension depends on their National Insurance record. ~~The new State Pension, which was introduced for people reaching State Pension age from 6 April 2016, is based on individual accounts and does not recognise dependents.~~ A person with no National Insurance record before 6 April 2016 who has 35 Qualifying years of National Insurance contributions or credits ~~would~~will~~ouldwould~~ be entitled to the full rate of the new State Pension of £164.35 (2018/19 rate) when they reach State Pension age.). People with fewer qualifying years would be entitled to pro rata amounts (to note that the new State Pension is payable only if a person has a minimum of 10 Qualifying years). For those reaching State Pension age in 2016 onwards with an existing National Insurance record, Ttransitional~~Transitional~~ arrangement will apply. fFor~~for~~ people with a pre-2016 National Insurance record there is~~do include~~ provision for some limited dependency payments.

In 2017/18, 30 years of NI contributions calculated purely as the value of the new State Pension is £136.76 (30/35ths of new State Pension full rate of £159.55). Note that it is not as simple as saying pre-2016 system had different rules, as people reaching State Pension age in 2017/18 are ~~still~~ impacted by transitional arrangements as they had National Insurance records prior to April 2016. This means people with 30 years on the NI record may receive more or less than £136.76 depending on whether they paid into an earnings related Additional Pension, or if they were contracted out of the State Pension.

UK policy is that each individual should build up a qualifying year for every year that they contribute to UK society: https://www.gov.uk/national-insurance-credits/eligibility

For those on a low income Pension Credit is a non-taxable, non-contributory income related benefit that works by topping up any other income to a standard minimum amount currently £1673.25~~163.~~00 a week for single people and (£25548.25~~248.~~80 for couples (rates applicable from April 2019). Those amounts may be higher for those who are severely disabled, have caring responsibilities, are responsible for a child or young person, or have certain housing costs.

The qualifying age for Pension Credit is linked to the women’s State Pension age. As the State Pension age for men and women equalised at age 65 in December 2018, Pension Credit qualifying age is now effectively State Pension age for both genders, and will continue to rise in line with the further State Pension age increases. Before May 2019, couples where only one member had reached the qualifying age (“mixed age couples”) could choose to claim either a working-age income related benefit, or Pension Credit. From May 2019, couples may only claim Pension Credit once both members have reached the qualifying age (with certain exceptions). This change is intended to ensure that the same work incentives apply to the working-age member of the couple as to other people of the same age.

· Sum of Old-Age Benefit and family allowance payable during contingency per cent of sum of standard wage and family allowance payable during employment.

76.4~~65.5~~ %

TITLE V of RF/C102/ECSS (Article 66), according to which the beneficiary is a woman employee.

· Amount of benefit granted during the time basis.

The new State Pension was introduced for people reaching State Pension age from 6 April 2016. The full rate of the new State Pension in 2018/19 was £164.35 a week. ~~There~~Individuals who did not make National Insurance contributions or get National Insurance credits before 6 April 2016 will receive the full rate if they accrue 35 qualifying years. If they accrue 30 qualifying years, they will receive 30/35ths of the full amount, £140.87 a week in 2018/19 rates. A standard beneficiary of a household with 2 adults both of pensionable age, who have 30 qualifying years each and did not make National Insurance contributions or get National Insurance credits before 6 April 2016, would receive £281.74 a week in 2018/19 rates. A household with one adult on the same basis would receive £140.87 a week. Note that it is currently not possible to accrue 30 qualifying years and to have not made National Insurance contributions or received National Insurance credits before 6 April 2016. This specific scenario is used to illustrate how the new State Pension calculation will work in the future using current rates. For individuals who did make National Insurance contributions or get National Insurance credits before 6 April 2016, there are transitional arrangements which mean that individuals could receive less or more than the full rate of the new State Pension, depending on their individual circumstances. As at November 2018, the average amount of new State Pension people received was £156.59 a week for men and £148.59 a week for women.

Note that the UK National Insurance system awards qualifying years for appropriate work, self-employment and other forms of contributions to UK society. There is a comprehensive National Insurance credits framework in place which ensures that State Pension qualifying years are awarded when an individual is caring for children, caring for dependent relatives (including those with sickness and infirmity), seeking work or unable to work due to health conditions. The new State Pension requirement for 35 qualifying years out of a 50 year working life for each individual is intended to mean that everyone builds their own State Pension entitlement from this variety of National Insurance contribution and credits sources.

Where there are 2 individuals in a household, the new State Pension system design ensures each of them can build full entitlement over their working life, whether from work, credits from caring duties and other sources, or a combination of the two.

· Couples above State Pension age with a low income may be entitled to Pension Credit. If their income falls below a minimum amount, which was £48.80 a week for couples in 2018/19, then it will topped-up to that standard minimum amount. This amount may be higher for those who are severely disabled, have caring responsibilities or certain housing costs.~~The weekly rate of retirement pension for a woman employee is £115.90 [2015/2016 rates].~~

· Amount of Old-Age Benefit per cent of the standard wage, payable during the contingency, for a period equal to the time basis.

36.7~~31.9~~%

Resolution CM/ResCSS(2016)21 on the application of the European Code of Social Security by the United Kingdom (Period from 1 July 2014 to 30 June 2015) concerning Article 28(a), Level of the old-age pension.

[Report 2016-ECSS/C102]

The new State Pension was introduced on 6 April 2016 and currently has a f~~lat rate value~~ull rate of £1~~55.65~~64.35. ~~As reported in the 44th Report of the United Kingdom under Article 74 of the ECSS, t~~The reference wage of an ordinary adult labourer for the purposes of Article 66 of the Convention is £~~330~~ 383.44 per week. As such the full rate of the new State Pension alone accounts for 47 43 per cent of the reference wage and in ~~2016~~ 2019 it is estimated that 89% will receive this full gross amount when negating for the effects of contracting out. Note that this is a forecast from the Impact Assessment published in 2016, not an actual figure.

~~In the first 15 years of the new State Pension system~~Between 2017 and 2030, around three-quarters of people who reach State Pension age under the new system will have a notionally higher State Pension than under the old system.

By 2030, over three million men, and over three million women will have benefitted from a notionally higher State Pension. In addition, because of the triple lock, people who have 30 qualifying years or more, will get the new State Pension with a Starting Amount of £570 a year more than if the basic State Pension had been uprated since 2011 by earnings.

V - 5. Adjustment of benefits

§10 Article 65, §8 Article 66. C102 and ECSS

The rates of current periodical payments in respect of old age, employment injury (except in case of incapacity for work), invalidity and death of breadwinner, shall be reviewed following substantial changes in the general level of earnings where these result from substantial changes in the cost of living.

TITLE VI (Article 65)

Period under review (closest published figures)	Cost of living index (CPI) (*)	Index of earnings (**)
A. June 2016	100	100
B. May 2019	107.3	105.6
C. A/B per cent	93.2%	94.7%

(*) Consumer Price Index (CPI) All items https://www.ons.gov.uk/economy/inflationandpriceindices/timeseries/d7bt/mm23

(**) Derived from the 2016/17 and 2018/19 estimates of the reference wage. These are the closest estimates to the relevant years of interest. For the purposes of the calculation of the level of social assistance, the reference wage is £383.44 per week for the financial year 2018/19 and £363.20 per week for the financial year 2016/17.

TITLE VI (Article 65)

	Benefit
Period under review	Average per beneficiary (**) I	Benefit for standard Beneficiary(***) II
A. June 2016	£148.68	£266.82
B. May 2018 (*)	£154.92	£281.74
C. A/B per cent		94.7%

(*) May 2019 average new State Pension amount data is not available.

(**) Derived from DWP State Pension Official Statistics. May 2016 figures have been used for June 2016. These averages represent the average amount of new State Pension. Further information on State Pension statistics can be found here: https://stat-xplore.dwp.gov.uk/webapi/jsf/dataCatalogueExplorer.xhtml

(***) A standard beneficiary of a man and a wife both of pensionable age, who have 30 qualifying years each and did not make National Insurance contributions or get National Insurance credits before 6 April 2016, would receive £281.74 a week in 2018/19 rates and £266.82 a week in 2016/17 rates. ~~TITLE VI (Article 65)~~

~~Period under review~~ ~~(closest published figures)~~	~~Cost of living~~ ~~index (RPI) (*)~~	~~Index of~~ ~~earnings (**)~~
~~A. March 2011~~	~~100~~	~~100~~
~~B. March 2016~~	~~18.8~~	~~120.2(***)~~
~~C. A/B per cent~~	~~5.3%~~	~~83.2%~~

~~(*) Retail Price Index (RPI) All items~~

~~(**) Annual Survey of Hours and Earnings~~

~~(***) Latest available data on earnings by occupation is for 2010~~

~~TITLE VI (Article 65)~~

	~~Benefit~~
~~Period under review~~	~~Average per beneficiary +~~ I	~~Benefit for standard~~ beneficiary* II
~~A. March 2011 [2010/11 rates]~~	~~see tables below~~	~~£97.65~~
~~B. March 2016[2015/16 rates]~~	~~see tables below~~	~~£115.90~~
~~C. A/B per cent~~		~~84.0%~~

* Personal Benefit – Category A Basic Pension at 100% rate

~~Table 1~~

~~State Pension: Average amount of benefit in payment - Time Series by category of pension~~

~~Time Series~~	~~Total~~	Cat A *	~~Cat B~~	~~Cat ABL~~	~~Cat BL~~	~~Cat AB~~
~~Time Series~~	~~Average weekly amount of benefit~~	Average weekly amount of benefit *	~~Average weekly amount of benefit~~	~~Average weekly amount of benefit~~	~~Average weekly amount of benefit~~	~~Average weekly amount of benefit~~
~~May-11~~	~~110.54~~	~~117.33~~	~~116.99~~	~~64.8~~	~~54.74~~	~~141.72~~
~~May-12~~	~~117.99~~	~~124.87~~	~~124.24~~	~~68.22~~	~~57.25~~	~~150.7~~
~~May-13~~	~~121.97~~	~~128.6~~	~~128.35~~	~~69.91~~	~~58.33~~	~~155.52~~
~~May-14~~	~~126.46~~	~~132.68~~	~~132.87~~	~~71.78~~	~~59.53~~	~~160.89~~
~~May-15~~	~~130.3~~	~~135.95~~	~~136.92~~	~~73.43~~	~~60.61~~	~~165.38~~
Nov-15 **	~~130.71~~	~~136.03~~	~~137.47~~	~~73.38~~	~~60.49~~	~~165.78~~

~~“ * “Includes Additional Pension and Graduated Benefit. “ ** ” Latest available at time of reporting~~

~~Average amounts are shown as pounds per week and rounded to the nearest penny. Totals may not sum due to rounding. Category C & D (non-contributory) Pensions excluded~~

~~SOURCE:~~ ~~DWP , Data and Analytics, Technology - Work and Pensions Longitudinal Study.~~

~~STATE PENSION AGE:~~

The age at which men and women reach State Pension age is gradually increasing. Under current legislation, State Pension age for women will equalise with State Pension age for men at 65 in 2018. Both men's and women's State Pension age will increase from 65 to 66 between December 2018 and October 2020. The Pensions Bill 2013-14 contains provision for a State Pension age of 67 to be reached by 2028. For more information see

~~https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/207966/espa.pdf~~.

~~Table 2~~

~~State Pension: Average weekly amount of benefit: Category of pension and gender of claimant, November 2010~~

~~Nov-2010~~	~~Total~~	~~Cat A~~	~~Cat B~~	~~Cat ABL~~	~~Cat BL~~	~~Cat AB~~
~~Gender of claimant~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~
~~Total~~	~~105.35~~	~~112~~	~~111.7~~	~~62.04~~	~~52.5~~	~~135.37~~
~~Female~~	~~93.74~~	~~95.39~~	~~111.85~~	~~62.04~~	~~52.5~~	~~134.55~~
~~Male~~	~~124.1~~	~~124.18~~	34	~~55.8~~	~~25.93~~	~~143.3~~

~~Table 3~~

~~State Pension: Average weekly amount of benefit: Category of pension and gender of claimant, November 2015 (latest available)~~

~~Nov-201~~5	~~Total~~	~~Cat A~~	~~Cat B~~	~~Cat ABL~~	~~Cat BL~~	~~Cat AB~~
~~Gender of claimant~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~	~~Average weekly~~ ~~amount of benefit~~
~~Total~~	~~130.71~~	~~136.03~~	~~137.47~~	~~73.38~~	~~60.49~~	~~165.78~~
~~Female~~	~~118.08~~	~~119.29~~	~~137.79~~	~~73.5~~	~~60.54~~	~~164.7~~
~~Male~~	~~147.68~~	~~147.42~~	~~35.16~~	~~60.31~~	~~26.44~~	~~172.08~~

~~SOURCE:~~ ~~DWP , Data and Analytics, Technology - Work and Pensions Longitudinal Study. Categories AB & ABL – based on both own and spouse’s/civil partner’s contribution records~~

~~Categories B and BL - based on spouse’s/civil partner’s contributions alone.~~

Pension uprating

The Consumer Prices Index is the Government’s preferred measure for the indexation of benefits, ~~pensions~~ and tax credits. The full rate of the basic and new State Pensions must be increased each year by at least the rise in earnings. The “triple lock” is a government commitment to increase the full rates of the basic and new State Pensions by the highest of: average weekly earnings; prices; or 2.5%.However, for pensioners, the Government has introduced a ‘triple guarantee’ that would see the basic State Pension increase by reference to the higher of growth in: average earnings; prices; or 2.5 per cent.

Additional elements of the basic and new State Pensions will continue to be uprated by ~~at least~~ the growth in prices. These include State Earnings Related Pension Scheme (SERPS), State Second Pension (S2P), increments for deferral, ~~and~~ Graduated Retirement Benefit and new State Pension protected payments.

Additional Pension is different to the basic State Pension, because people can contract out of it into occupational or private schemes. It has only ever been uprated by prices, in line with the indexation arrangements for second tier pensions generally. To increase Additional Pension by more than prices would put it out of kilter with occupational and private pension schemes.

V - 6. Qualifying period

§1(f) Article 1 C102, §1(i) Article 1 ECSS

The term qualifying period means a period of contribution, or a period of employment, or a period of residence, or any combination thereof, as may be prescribed.

Article 29. C102 and ECSS

1. The benefit specified in Article 28 shall, in a contingency covered, be secured at least:

(a) to a person protected who has completed, prior to the contingency, in accordance with prescribed rules, a qualifying period which may be 30 years of contribution or employment, or 20 years of residence; or

(b) where, in principle, all economically active persons are protected, to a person protected who has completed a prescribed qualifying period of contribution and in respect of whom while he was of working age, the prescribed yearly average number of contributions has been paid.

2. Where the benefit referred to in paragraph 1 of this article is conditional upon a minimum period of contribution or employment, a reduced benefit shall be secured at least:

(a) to a person protected who has completed, prior to the contingency, in accordance with prescribed rules, a qualifying period of 15 years of contribution or employment; or

(b) where, in principle, all economically active persons are protected, to a person protected who has completed a prescribed qualifying period of contribution and in respect of whom, while he was of working age, half the yearly average number of contributions prescribed in accordance with paragraph 1.b of this Article has been paid.

3. The requirements of paragraph 1 of this Article shall be deemed to be satisfied where a benefit calculated in conformity with the requirements of Part XI but at a percentage of ten points lower than shown in the Schedule appended to that Part for the standard beneficiary concerned is secured at least to a person protected who has completed, in accordance with prescribed rules, ten years of contribution or employment, or five years of residence.

4. A proportional reduction of the percentage indicated in the Schedule appended to Part XI may be effected where the qualifying period for the benefit corresponding to the reduced percentage exceeds ten years of contribution or employment but is less than 30 years of contribution or employment; if such qualifying period exceeds 15 years, a reduced benefit shall be payable in conformity with paragraph 2 of this Article.

5. Where the benefit referred to in paragraphs 1, 3 or 4 of this Article is conditional upon a minimum period of contribution or employment, a reduced benefit shall be payable under prescribed conditions to a person protected who, by reason only of his advanced age when the provisions concerned in the application of this Part come into force, has not satisfied the conditions prescribed in accordance with paragraph 2 of this Article, unless a benefit in conformity with the provisions of paragraphs 1, 3 or 4 of this Article is secured to such person at an age higher than the normal age.

Qualification for the new state pension is based on an individual’s National Insurance record, with a minimum qualifying period of 10 years usually required to receive any pension. ~~In steady state~~For someone with no National Insurance record prior to 6 April 2016, the full rate of the new State Pension (previously referred to as the single-tier pension) will be based on 35 qualifying years of National Insurance contributions or credits.

Transitional arrangements are in place for those who have qualifying years before 6 April 2016., which take someone’s previous National Insurance contributions into account and mean that people could receive less or more than the full rate, depending on their National Insurance record.

V -7. Duration of Benefit

Article 30. C102 and ECSS

The benefits specified in Articles 28 and 29 shall be granted throughout the contingency.

V - 8. Suspension of Benefit

Article 69. C102, Article 68. ECSS

A benefit to which a person protected would otherwise be entitled in compliance with any of Parts II to X of this Convention may be suspended to such extent as may be prescribed:

(a) as long as the person concerned is absent from the territory of the Member;

(d) where the person concerned has made a fraudulent claim;

Social Security Contributions and Benefits Act 1992

Section 113. Disqualification and suspension

(1) Except where regulations otherwise provide a person shall be disqualified for receiving any benefit under Parts II to V of this Act, and an increase of such benefit shall not be payable in respect of any person as the beneficiary’s [wife, husband or civil partner, for any period during which the person:

(a) is absent from Great Britain; or

(b) is undergoing imprisonment or detention in legal custody.

(2) Regulations may provide for suspending payment of such benefit to a person during any period in which he is undergoing medical or other treatment as an inpatient in a hospital or similar institution.

(3) Regulations may provide for a person who would be entitled to any such benefit but for the operation of any provision of this Act [the Administration Act or Chapter II of Part I of the Social Security Act 1998] to be treated as if entitled to it for the purposes of any rights or obligations (whether his own or another’s) which depend on his entitlement, other than the right to payment of the benefit.

(Corresponding Northern Ireland legislation: the Social Security Contributions and Benefits (Northern Ireland) Act 1992 – section 113.)

V - 9. Right of complaint and appeal

See under Part XIII-2

V - 10. Financing and Administration

See under Part XIII-3

Financing principle: contributions and state guarantee.

Class 3A voluntary National Insurance contributions

Following an announcement in the 2013 Autumn Statement the government brought forward a measure in the Pensions Act 2014 which introduced a new class of voluntary National Insurance contribution (VNIC) – Class 3A. This allowed existing pensioners and those reaching State Pension age before 6 April 2016 the opportunity to gain additional State Pension by making Class 3A National Insurance contributions. It provided an opportunity for pensioners to improve their retirement income by obtaining inflation-proofed extra additional State Pension and offered protection to surviving spouses or civil partners. This could be particularly beneficial to women and other groups who have not done well under additional State Pensions and have not previously been able to top up their State Pension. The measure was time limited and the time allowed to make an application to pay Class 3A ended on 5 April 2017. This research was commissioned to provide understanding of the likely take-up of Class 3A VNICs.

The Report can be viewed via the following link:

https://www.gov.uk/government/publications/additional-voluntary-national-insurance-contributions-at-state-pension-age-results-from-an-online-survey