Housing Benefit and Council Tax Benefit Circular s3

Housing Benefit and Council Tax Benefit Circular Department for Work and Pensions The Adelphi, 1 - 11 John Adam Street, London WC2N 6HT

HB/CTB A20/2003

ADJUDICATION AND OPERATIONS CIRCULAR

WHO SHOULD READ All HB and CTB staff

ACTION For information

SLAs between LAs & The Pension Service and LAs & the Appeals SUBJECT Service and Relationship Agreement between LAs & Debt Management

Guidance Manual

The information in this circular does not affect the content of the HB/CTB Guidance Manual.

Queries

If you have any queries about the  content of this circular, contact Penny Higgins, WACG HBM2 Email: [email protected]  distribution of this circular, contact Corporate Document Services Ltd Orderline Tel: 0113 399 4040 Fax: 0113 399 4205 Email: [email protected]

Recipients may freely reproduce this circular.

HB/CTB Circular A20/2003

Contents

Service Level Agreements...... 1 Background...... 1 SLAs...... 2 Action required by LAs...... 4 The Pension Service SLA...... 6 LA/Jobcentre Plus SLA...... 7 The Pension Service SLA...... Appendix A Appeals Service SLA...... Appendix B Debt Management RA...... Appendix C

Adjudication and Operations circular July 2003

HB/CTB Circular A20/2003

Service Level Agreements

Background

1 HB/CTB Circular A12/2003 provided national Service Level Agreements (SLAs) between Local Authorities (LAs) & Jobcentre Plus and LAs & the Inland Revenue. It was agreed with the LA Associations (LAAs) that, in addition, separate SLAs would be introduced between LAs and the Pension Service, Debt Management, and the Appeals Service for 2003/04. We have also agreed with your LAAs that we will consider how best to rationalise these agreements for future years to ensure the most efficient approach for their administrative and management arrangements.

2 Please find attached  Appendix A: Model National Administration SLA between The Pension Service and LAs  Appendix B: Model National Administration SLA between the Appeals Service and LAs  Appendix C: Model National Administration Relationship Agreement (RA) between Debt Management and LAs

Note: Reference to SLAs may also refer to RAs.

3 The full text of these agreements has been approved by the LAAs.

Action required by LAs

4 As with administrative SLAs in previous years, these agreements set out the baseline expectations and obligations of both sides for achieving the minimum standard of  effective liaison  benefit administration

5 LAs are free to build on the SLAs to reflect local needs, but should note that the  targets within the SLA specify the minimum standards that should be achieved by each party  minimum liaison and monitoring requirements are set out in the agreements although it is for each partnership to decide how these can best be achieved  role of nominated liaison officers in both organisations is also a matter for local agreement, although guidance on this role is included in the SLA

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003

The Pension Service SLA

6 The SLA between LAs and The Pension Service has been developed through a working party with DWP and LA representatives. We recognise that this agreement may not contain detailed specifications for every individual requirement that both parties will need to deliver with the introduction of Pension Credit. However, we have agreed with your LAAs that it is important to develop links between LAs and The Pension Service to allow practical issues to be resolved at local levels. The Pension Credit working group is currently looking at a number of concerns raised by LAs around the introduction of Pension Credit and we are working closely with your LAAs and software suppliers to support you in delivering the necessary changes.

LA/Jobcentre Plus SLA

7 Item 1 of the Service and Performance Requirements of the LA/Jobcentre Plus SLA states that Jobcentre Plus are required to forward HB/CTB claim forms to LAs within two working days. You will be aware that in most cases, the new HCTB1 claim forms will be sent directly to LAs. Note: this item refers to those claim forms that are sent to Jobcentre Plus by the customer, and the procedure that Jobcentre Plus staff should follow in these circumstances.

8 Item 10 of the Service and Performance Requirements relates to HB/CTB claims forms sent direct to LAs. This item should be deleted from the model SLA as it is no longer a requirement. This has been superceded by the introduction of the HCTB1 claim form. Jobcentre Plus are made aware of an HB/CTB interest by a question on IS/JSA claim forms which triggers the correct indicator on IS/JSA systems.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A

Model National Administration

between

The Pension Service

(Housing Benefit/Council Tax Benefit)

2003/04

between

...... Pension Centre

...... LA

(Housing Benefit/Council Tax Benefit Section)

2003/2004

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A Contents Introduction...... A1 Reviews and disagreement...... A14 Monitoring arrangements...... A17 Role of The Pension Service and LA Nominated Officer...... A20 Changes to this SLA...... A21 Service and performance requirements...... Annex A Monitoring guidance ...... Annex B

Introduction

Department for Work and Pensions

A1 The Department for Work and Pensions (DWP) is committed to eradicating poverty for children, combating pensioner poverty and sustaining a higher proportion of people in work than ever before whilst providing security for those who can't work. DWP has been created specifically to improve and tailor services to customers.

A2 With this in mind two new organisations have been established  Jobcentre Plus - the aim of Jobcentre Plus is to help more people into work and employers to fill their vacancies, and to provide people of working age with the help and support to which they are entitled. An important feature of the new organisation will be the alignment of Jobcentre Plus and LA boundaries. This development should bring benefits for DWP, LAs and our common customers  The Pension Service - the aim of The Pension Service is to combat poverty and promote security and independence for today's and future pensioners. In addition, The Pension Service will develop and implement local services through a local service plan that will be co-terminus with LA boundaries. These plans will involve a range of partners including LAs

The Pension Service

A3 The Pension Service will develop a service based on the Government Office Region structure. This development will bring benefits to LAs, The Pension Service and their common customers.

A4 This model SLA sets out respective roles and responsibilities of The Pension Service to LAs and vice versa, in the administration of Housing Benefit (HB) and Council Tax Benefit (CTB).

A5 Pension Processing Centres within each Government Office Region and their linked LAs should agree to abide by the provisions of this SLA. The SLA can be varied by agreement between the Pension Centre and LAs either collectively or individually to suit local circumstances. However, the content of this national model SLA should be seen as a minimum requirement. Any deviation from the model should be cleared at The Pension Service Operational Director level with the reasons for deviation being made known to The Pension Service lead role for HB.

Pension Credit

A6 Pension Credit comes into effect from 6 October 2003 and will replace Minimum Income Guarantee (MIG). Key elements of Pension Credit  guarantee credit, to ensure a minimum level of income to those customers aged 60 and over  savings credit which will, from age 65, provide an additional income for pensioners who have made some provision for their retirement by having, eg a small second pension or some savings

A7 Entitlement can be to both or either element separately, depending on the age and income of the customer and their partner.

A8 If an applicant or their partner, if applicable, is aged 65 or over and neither are under 60 and have entitlement to Pension Credit they will not have to report changes to their income and capital in the majority of cases. Instead, much of their income assessment will be fixed, apart from uprating, normally for five years. This period is called the Assessed Income Period (AIP).

A9 For HB/CTB the main changes will be, customers getting Pension Credit with  guarantee credit or guarantee credit + savings credit will be passported on to full HB/CTB  savings credit only will not be passported. They will have to claim standard HB/CTB

A10 The five-year AIP is not being introduced into HB/CTB.

A11 When guarantee credit is in payment LAs will award full HB/CTB for as long as entitlement to the guarantee credit continues.

A12 LAs are required by legislation to use The Pension Service’s assessment of the pensioner’s income and capital. This means that for standard HB/CTB claims when savings credit only is in payment, LAs will not need to collect details of a pensioner’s income and capital. Instead they will rely on the figure provided by The Pension Service. Pensioners will only need to report changes in their circumstances, apart form those that are tenancy related, to The Pension Service.

A13 Pensioners receiving MIG will be converted automatically to Pension Credit. The Pension Service will invite advance applications for Pension Credit during the period April to September 2003 although payment will not commence until October 2003. During the advance application period pensioners can still apply for MIG if appropriate. This model SLA covers the advance application period and beyond.

SLA between The Pension Service and LA Housing Benefit 2003/04

Signed on behalf of The Pension Service

...... (Name of Pension Centre)

...... …Pension Centre Manager

Signed on behalf of the LA Housing Benefit

………………………………………(Name of LA)

………………………………………LA Housing Benefit Manager

Date ......

Reviews and disagreements

Review

A14 The model national administration SLA will apply from April to March each year beginning April 2003. It will provide The Pension Service Operations Directors and LAs with greater consistency when monitoring and ensuring sign-off of the SLA. Monitoring the performance of the SLA will be required throughout the year by Pension Centre Managers and LAs with a full joint review at the end of the year.

Disagreements

A15 It is important that disagreements are resolved at the lowest practicable level, ie individual benefit processors. It is expected that most issues which arise will be resolved through informal discussions with colleagues or at the quarterly routine liaison meetings. When it is not possible to resolve an issue through these means, it should be referred to the nominated liaison officers at Pension Centre/LA HB level.

A16 Within The Pension Service and LA the escalation of continuing disagreements should be channelled through the appropriate personnel in each organisation, ranging from benefit supervisors through to Chief Executive/Operating Officer. The identity and contact details of the appropriate personnel/nominated officers at Pension Centre/LA HB level are

[Names and contact details to be listed here]

Monitoring arrangements

A17 There is the need to monitor and provide assurance in relation to the core requirements of the SLA. Ensuring compliance is the responsibility of both signatories who will make arrangements for the offices under their management concerning how this will be achieved.

A18 Monitoring will include  checking the outputs issued to LAs including the quality and relevance of the information being provided, and the timescales in which that information is being provided  adherence to the monitoring specified in the service and performance requirements in this SLA, see table Annex A  when appropriate, discussion and evaluation of reasons for failure to meet requirements  both sides jointly agreeing an action plan to improve performance if achievement falls below required levels/targets. Operations Directors in The Pension Service and Senior Management in LAs should be kept informed of progress against the plan  reviewing regularly the performance of the SLA by means of discussion

End of year action

A19 At the end of each year, a certificate must be prepared and signed in the form of a joint declaration by the Pension Centre Manager and opposite number in each of the LAs that are involved, confirming the SLA has been reviewed/signed and that both signatories have complied with the monitoring arrangements. The document should be kept as simple as possible, showing levels of achievement against each of the measurable targets set out in the table. The document should then be copied to Operations Directors in The Pension Service and Senior Managers in LAs. Operations Directors in The Pension Service will be asked to provide assurance annually that this process has been completed within Government Office Regions in relation to HB SLAs.

Role of The Pension Service and LA Nominated Officer

A20 Each signatory to the SLA will provide an appropriate nominated contact point within their organisation. While no minimum requirement has been set, the responsibilities highlighted below should form the basis for discussion when agreeing the roles and responsibilities of the post  attend liaison meetings between the LA and The Pension Service making effective contributions towards closer working  deal with any queries effectively that cannot be resolved by the usual channels  resolve problems by contact with opposite number in LA or The Pension Service  promote good liaison by identifying and arranging for exchange visits, training sessions and exchange of information, including details of known changes, etc  provide up to date lists of telephone numbers and contact points  foster good working relationships with all parties  take a pro-active role in cascading information throughout the Pension Centre /LA  gather information and statistics to monitor SLA performance  agree local escalation routes for issues that cannot be resolved at the first tier level

Changes to this SLA

A21 Under normal circumstances the SLA would be reviewed annually. There may exceptionally be occasions where in-year changes are appropriate. Other changes to local arrangements may be required, in which case the following action should be taken to manage the change  any changes to this document should in the first instance be raised by minute by either signatory  when agreement to the changes has been reached details and the date of the change should be formally amended on the document  any sheet of the agreement may be substituted or re-drafted to suit local circumstances  final sign off of any changes by all parties

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A Annex A

Service and performance requirements

The following table lists the services and performance requirements against which standards will be measured and reports made:

Note: a combined HB/CTB claim form (HCTB1) will be introduced from April 2003. For Pension Credit applications it will be issued only if customer not already on HB/CTB (req 2 ). These performance requirements reflect the expected performance levels following Pension Credit take-on. However it is essential that close liaison takes place between pension centre management and LA HB management to discuss the reasons for any deviation that may occur during Pension Credit take-on.

Claim Forms No. Requirement Standard By Whom Monitoring

1 Forward fully or partially 100% within two working days of Benefit processing Required and to be carried out by both The completed HCTB1 claim receipt of the HCTB1 claim form at staff at The Pension Pension Service and LAs. forms to the appropriate LA The Pension Service office, or as soon Service. On a quarterly basis all HCTB1 claim forms to benefits section. as is reasonably practicable be checked for one day. Forms to be stamped with the thereafter. See Monitoring guidance for further details. date of receipt at The See Monitoring guidance for further Pension Service office. details. 2 Where it is known HB/CTB 100% of cases to be issued with the Application Not required. not already in payment, correct forms. processing staff at provide customer with the The Pension HCTB1 claim form and Service. benefit information leaflets. 3 Issue HCTB1 claim form to 100% within two working days of Benefit processing Not required. customers on notification of receipt at The Pension Service office staff at The Pension change of address. giving details of the change or as soon Service. as is reasonably practicable thereafter.

Continuing Payments

Note: these requirements relate to changes to the HB/CTB (State Pension Credit) Regulations 2003 which state that HB/CTB will continue for four weeks when customer receiving IS or JSA(Income-based) reaches state pension age. Regulation introduced so that the customer has sufficient time to apply for Pension Credit so that HB/CTB payment is not interrupted.

4 Identify and notify LA of 100% of cases to be correctly The Pension Service Not required. cases where customer included. through system moving from IS/JSA (IB) reports and liaison to Pension Credit at age with Jobcentre Plus. 60 or 65 to allow four week HB/CTB run on.

5 Continue payment of HB/CTB 100%. LA. Not required. for four weeks pending Pension Credit notification.

Notifications

Note: Electronic Transfer of Data (ETD) reports will be enhanced to include full details of pensioner’s gross and net income and savings because new HB Regulations will direct LAs to use The Pension Service data to calculate HB/CTB entitlement if Pension Credit savings credit only is in payment.

6 Provide the LA with 100% within two working days from Benefit processing Required by The Pension Service for  ETD reports the date of determination or as soon staff at The Pension • non ETD sites - on a quarterly basis all system  RIS reports (non ETD as is reasonably practicable Service. produced RIS reports and clerical NHB(PC) sites) thereafter. See Monitoring guidance Clerical forms produced on one day to be  NHB(PC) Clerical (non for further details. checked to ensure information is relevant and system cases) forms are issued to LA within timescales • ETD sites. LA - on a quarterly basis the nominated officer within each LA will for a period of one day check the output received to ensure the quality of the information 7 Use the information provided Within LA prescribed targets. LA to assess Not required. by The Pension Service to HB/CTB entitlement revise HB/CTB entitlement, ie as appropriate. where PC  guarantee or guarantee + savings credit is in payment award full HB/CTB  savings credit only in payment standard HB/CTB to be calculated 8 If HB/CTB indicator on The Within two working days of discovery Benefit processing Not required. Pension Service systems not by LA that indicator not set or as soon staff at the LA. set to "Y" and HB/CTB has as is reasonably practicable been claimed, LA to notify thereafter. The Pension Service.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A Annex A 9 Set HB/CTB indicator to "Y" if Within two working days of receipt of The Pension Not required. above notification received notification or as soon as is Service. from LA. reasonably practicable thereafter.

10 In savings credit only cases Within two working days or as soon as LA. Not required. LA to notify The Pension reasonably practicable thereafter. Service of any changes in circumstances reported to them that are not HB/CTB specific.

11 Notify reported changes of 100% within two working days or as Benefit processing Not required. circumstances, with the soon as reasonably practicable staff at The Pension relevant date of change to thereafter. Service or LA the other party when the depending on where change will affect entitlement. the change is reported.

12 Notify the appropriate 100% within two working days from Benefit processing Not required but see Monitoring guidance for benefits section(s) when the day of determination or staff at either The further details. entitlement to Pension Credit re-determination, or as soon as is Pension Service or or HB/CTB ceases with reasonably practicable thereafter. LA depending on  date PC payment ceased who receives the  date PC entitlement information. ceased  the reason for PC ending  date HB/CTB entitlement ceased  the reason for HB/CTB ending 13 The Pension Service to 100% of clerical cases to be correctly Benefit processing Not required. ensure that all clerical cases included. staff at The Pension with a HB interest are Service. annotated as such.

Liaison Between LA's and DWP

14 Maintain regular contact Meetings should be held at least Staff at the appropriate Required. See Monitoring between LAs and The Pension quarterly, although there should be management level, eg those guidance for further details. Service through nominated some flexibility with the agreement of with the responsibility to make representatives. Meetings to be both parties. decisions, within The Pension held quarterly and formally Service and LA. minuted. 15 The Pension Service staff to Where feasible and to help maintain Staff at all levels including Not required. participate in exchange visits effective liaison, it is suggested both senior management within The with LA staff. parties agree regular exchange visits. Pension Service and LA. 16 Discuss and agree the potential The Pension Service Operations Staff with the relevant Not required, but see Monitoring for local joint projects. Directors to be informed of all projects management experience and guidance for further details. Suggested projects by the nominated officers within the authority to agree joint projects  joint recruitment exercises pension centres. within the pension service and  joint training courses LA.  publicise each other benefits 17 Where requests are received Discussions between The Pension Benefit processing staff in The Not required but see Monitoring from the LA or The Pension Service and LA should take place at Pension Service or LA. guidance for further details. Service for further information local level to agree arrangements and which is not available through timescales for handling this type of the RATS system, arrangements enquiry, but it is recommended that to be made to provide details requests for information are cleared within agreed timescales. within two working days of referral (or as soon as practicable). See Monitoring guidance for further details. 18 Provide a commitment to liaison Decisions as to how this role will be A manager of supervisory level Not required. by appointing a nominated supported within The Pension Service within The Pension Service and liaison officer of supervisory field operations should be made at a LA. grade with defined quantifiable pension centre level. duties.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A Annex A 19A Respond to all queries Recommended that urgent cases are Benefit processing staff within Not required. concerning urgent cases within cleared within one working day and The Pension Service and LA agreed timescales. Urgent cases that interim payment arrangements, depending on who receives the defined as etc are considered where necessary. query.  threatened homelessness  eviction 19B  Ombudsman queries Timescales which ensure The  councillor queries Pension Service and LA laid down  MP/MSP/AM enquiry standards are adhered to, to be  media enquiries agreed locally for the clearance of such correspondence. 20 Provide telephone access. Decisions regarding the availability of Liaison required between Not required. nominated officer both within the Operational Managers within pension centres and LAs and the The Pension Service and LA. process by which that access is controlled to be made at a local level. 21 Provide regular and up to date Five working days before date of Liaison required between Not required. lists of contact points in change, where practical. Operational Managers within  LAs The Pension Service and LA.  The Pension Service 22 LAs to display and make 100% of forms to be made available LAs. Not required. available The Pension Service to public. leaflets. 23 The Pension Service to liaise Regular contact to be established to Operational Managers within Not required. with LA counterparts about ensure migration process is managed The Pension Service/LA. migration of work to Pension as smoothly as possible. Centres. 24 The Pension Service/LAs to Discussions to be held at local level to Operational Managers within Not required. ensure staff have a better agree a method for ensuring staff are The Pension Service/LA. knowledge of other benefits so capable of providing better off they can fulfil duty of providing calculations. robust “better off” calculations.

National Insurance Numbers

25 Nominated officer to be The Pension Service and LA to appoint at A supervisory grade within The Not required but see appointed to deal with the local level a nominated officer with Pension Service and LA. Note: Monitoring guidance for impact of Section 19 (where responsibility for the processes involved sub-contracted to Jobcentre further details. this is sub-contracted to in the tracing and allocation of NINOs as Plus but The Pension Service to Jobcentre Plus the defined in Multi Benefit Bulletin 74/99. resolve any issues where nominated officer will act as a See Monitoring guidance for further necessary. liaison point and resolve any details. issues as necessary. 26 Action requests received Where tracing is undertaken locally Tracing to be undertaken by Not required but see from the LA on DCI1LA for 95% of DCI 1LA forms to be cleared and administration staff. Monitoring guidance for basic NINO trace. However, returned to the LA nominated officer Authorisation to be undertaken further details. LAs to use RAT access to within five working days of receipt from by a supervisory grade. This DCI wherever prior to raising the LA. applies to The Pension Service. request. 100% of DCI 1LA forms to be cleared and returned to the LA nominated officer within ten working days of receipt from the LA. See Monitoring guidance for further details. 27 Action requests received Where full trace action is required and Tracing to be undertaken by Not required but see from the LA on DCI 1LA for work is undertaken locally 100% of administration staff. Monitoring guidance for full trace and allocation of DCI 1LA forms to be cleared and Authorisation to be undertaken further details. NINO. However, LAs to use returned to the LA nominated officer by a supervisory grade. This RAT access to DCI where within 30 working days of receipt from the applies to The Pension Service. possible prior to raising LA. See Monitoring guidance for further request. details. 28 LAs to provide where 100% accuracy required where claimant Benefit processing staff within Not required. possible a verified NINO or a provides a NINO. LAs. NINO which can be verified when contacting The Pension Service office with an enquiry.

Links to other SLAs

29 When a case is identified that A new SLA between The Pension Any changes to the referral process will be may require fraud Service and CFIS, due for publication published as they arise. intervention, discussion in autumn 2003 may change the should take place between referral process. LA and The Pension Service regarding the possible fraud submission. 30 Appeals. See Appeals SLA. Debt recovery - other than See Debt Management SLA. 31 deductions from benefit.

Deductions/Overpayments

32 Action initial requests for Initial action required on 100% within Benefit processing Not required but see Monitoring guidance deductions from Pension five working days of receipt of request. staff within The for further details. Credit cases in respect of: Where appropriate, action to instigate Pension Service.  Rent deductions required on 100% of cases  Rent arrears within three working days of return of  CT arrears IOP. See Monitoring guidance for  CC arrears further details.  Water and sewerage charges (Scotland only) 33 Where information is Discussions at local level should be Benefit processing Not required, but see Monitoring requested in change of carried out to agree a method for staff within The guidance for further details. circumstance case, agree a notifying The Pension Service and the Pension Service process for providing details LA of change of circumstances. and LA. of the overpayment and See Monitoring guidance for further supporting documentation. details. 34 The Pension Service to Discussions should be held at local The Pension Not required, but see Monitoring ensure the decision on level to agree a method for ensuring Service decision guidance for further details. MIG/Pension Credit cases this requirement is adhered to. makers. where there is LA fraud investigation taking place or LA fraud interest is actioned within ten working days.

Monitoring of SLA/Training

35 Actively monitor performance Methods by which monitoring is Operational Not required, but see Monitoring guidance and agree methods of carried out to be agreed jointly at local Managers within for further details. performance measurement. level. The Pension Service and LA. 36 Provide awareness training to Where required to be delivered on Training Not required. relevant staff to deliver the locally agreed dates. sections within standard of service as The Pension defined in the SLA. Service and LA.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix A Annex B

Monitoring guidance

The attached table provides additional details of those requirements within the SLA where monitoring will be required. In setting up the SLA the aim should be to adhere, if possible, to the targets specified in the SLA as set down in the regulations. When there is any deviation from that standard, discussions should take place at a local level to put in place a target and timescale acceptable both to The Pension Service and LA. Details of any such agreement should be included within the end of year statement of performance.

The guidance should therefore be used to inform local discussions between The Pension Service and LA with a view to putting in place monitoring arrangements which are acceptable to both sides and which satisfy current legislation. Targets within the SLA are the minimum requirements needed to support SLA 2003/4. But see Changes to this SLA.

Requirement Suggested Guidance Number 1 Any agreement not meeting the target of 100% within two working days must be reflected in the end of year certificate of performance. Monitoring should be carried out on at least one day every quarter and should establish that all HBCTB1 forms  have been stamped with the date of receipt  are due to be issued to the LA within the suggested timescales Exceptions to this should be noted and steps taken either internally or through the quarterly meeting to address any problems identified. 6 In the majority of cases data is transferred electronically to the LA confirming whether Pension Credit is payable. For non Electronic Transfer of Data (ETD) sites, this confirmation is in the form of a system-produced notification (a RIS Report). For non system cases, form NHB(PC) Clerical will be completed and issued to the LA. Where checks of the output received via ETD identify problems relating to the quality of the information being received, ie ISCS has produced erroneous information as a result of a system fault, details of those problems should be passed to the nominated officer within The Pension Service. The nominated officer should take steps to identify the nature of the problem, where appropriate, by reporting faults through the normal channels. To satisfy monitoring requirements on a quarterly basis all forms produced by ISCS on one day should be checked to ensure that the  information produced is relevant. This does not require a full check of the information produced on the RIS report against information held on ISCS, but a check to ensure that details are relevant to the claim and to an acceptable standard, and  RIS and NHB(PC) Clerical is issued to the LA within agreed timescales

12 It has been highlighted that notifications issued to the LA will not display the date that benefit ceased when the IOP is still outstanding. A change to ISCS/JSAPS has been raised to address this issue. Pending that change, the notification should be viewed as a prompt for the LA to seek further information via the RATS enquiry system as to the date benefit entitlement ended. If information is not available via RATS, information should be sought from The Pension Service. 14 It is clear from information received from The Pension Service and LA representatives that in some areas regular contact between interested parties is generally on an informal basis with meetings as and when required. While these arrangements should be promoted it is suggested that in order to satisfy monitoring requirements regular meetings are set up, quarterly is recommended, which are minuted and attended at some time by a member of the senior management team. The level of that representation should be decided at a local level. 15 Managers at both The Pension Service offices and LAs to ensure there is a regular flow of exchange visits between staff, where possible it is recommended at least once a quarter. 16 While monitoring of this requirement is not required, additional guidance is provided to stress the need for The Pension Service to register proposed local joint projects with Operational Director preferably before any work is undertaken. Operations Directors should keep The Pension Service HB lead role informed of such initiatives. This is to ensure where similar initiatives are being or have been carried out in other areas that the findings in those areas can, where applicable, be shared. This will also provide greater assurance that projects meet legislative and data protection requirements. 17 Although decisions on the timescales for responding to enquiries from the LA should be made at local level, it is suggested that where possible replies to those enquiries should be made within two working days of receipt at The Pension Service. 25 Responsibilities of the nominated officer in The Pension Service and LA are the same as in HB/CTB circular A52/98. Those responsibilities should be noted when the nominated officer is appointed. 26 & 27 Most of these enquiries will now be undertaken by a Central Control Unit. When this does not happen, the processes to be followed both prior to and during the allocation of an NINO as a result of the introduction of Section 19 are included within HB/CTB Circular A16/99. When initial enquiries fail to trace a NINO, the customer should be contacted for further details which may result in the need for an Evidence of Identity interview. 32 For the purposes of the SLA initial action is defined as the action taken to assess whether deductions are appropriate and where applicable to recall the existing Instrument Of Payment (IOP). It does not include the time taken to recover the IOP. Following return of the IOP, deductions should be instigated within three working days of receipt of the IOP. It is suggested making this more precise, ie that initial action to assess whether deductions are appropriate and either to make the deduction where an IOP does not need to be recalled or to recall IOP. 33 Local arrangements should be agreed between The Pension Service and LAs on the method for notifying each organisation of change of circumstances of PC and/or HB/CTB, and of the level and type of information required to support that referral. It is suggested that this is done using a locally agreed proforma. When it appears that overpayments may have arisen as a result of fraudulent activity, arrangements should be made with fraud sections on the level and supply of information in respect of those cases.

34 Local arrangements should be agreed between The Pension Service and LAs for the transfer of this information as delays can impact on LA fraud activity. 35 As indicated, this guidance provides only suggestions as to the means by which assurance can be achieved. Arrangements as to how that information will be collected and recorded should be agreed between The Pension Service and LA at a local level.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B

between

Appeals Service

Local Authorities

April 2003 – March 2004

Version 1

Glossary of terms

AS Appeals Service

CTB Council Tax Benefit

HB Housing Benefit

LA Local Authority

DPA Data Protection Act

NINO National Insurance Number

NSS National Service Statement

PO Presenting Officer

SLA Service Level Agreement

TUG Tribunal User Group(s)

Contents

The Appeals Service...... A22 Introduction and purpose of this document...... A26 Timescales...... A29 Scope and delivery of services...... A30 Role of AS and LA Nominated Officer...... A31 Variations and changes to this SLA...... A33 Performance measurement, monitoring and review...... A37 Communications...... A43 Disagreements...... A46 Schedule 1 – Local contact details...... Annex A Schedule 2 – Services to be provided by AS to LAs...... Annex B Schedule 3 – Services to be provided by LAs to AS...... Annex C

The Appeals Service

A22 The Appeals Service (AS) was established on 3 April 2000. It consists of two distinct bodies within a single organisation and is an executive agency of the DWP. At the head of the agency, with responsibility for the administration of appeals delegated to him by the Secretary of State, is the Chief Executive. AS is a Non-Departmental Public Body with responsibility for the judicial functioning of appeal tribunals, headed by the President of appeal tribunals.

A23 The Appeals Service Vision Statement is to provide “An unrivalled service that excels through energy, innovation, pioneering partnerships and professional, caring people - placing the needs of the user at the heart of all that we do.”

A24 The AS hears appeals on decisions on Social Security benefits, Child Support, Vaccine Damage, Tax Credit, HB, CTB and Compensation Recovery questions throughout Great Britain and on decisions under the Road Traffic Act in England and Wales.

A25 LAs administer the HB and CTB schemes on behalf of Central Government.

Introduction and purpose of this document

A26 This document is a model national administration SLA between the Administration arm of the AS and LAs.

A27 The purpose of this document is to specify  the extent of the services to be provided  when they shall be provided  the standards of service  roles and responsibilities of the parties to this agreement  performance measurement

A28 This will provide AS Operations Director and LAs with greater consistency when monitoring and ensuring sign-off of the SLA. This agreement covers the relationship between AS and LAs on the administrative functions and delivery of services from both parties. Monitoring of the performance of the SLA will be required throughout the year with a full joint review in March. The decision-making and conduct of appeal tribunals are outside the scope of this agreement.

Timescales

A29 The SLA will apply from April to March each year beginning 1 April 2003.

Scope and delivery of services

A30 The attached schedules 2 and 3, see Annex B and C, outline the  services provided by - AS - LAs  interchange of information between LAs and AS

Role of AS and LA Nominated Officers

A31 The AS and LAs will provide an appropriate nominated contact point within their organisation. The role of the contact point is  liaison between AS and LAs to make effective contributions to closer working, eg Tribunal User Groups (TUGs)  dealing with any queries effectively that cannot be resolved by the usual channels – see Disagreements  resolving problems by contact with opposite number in the LA or AS  providing up to date lists of telephone numbers and contact points  taking a proactive role in cascading information throughout AS/LA  fostering good working practices  gathering information and statistics to monitor the SLA to agreed frequency and detail

A32 AS and LAs will agree details of nominated contact points locally.

Variations and changes to this SLA

A33 Under normal circumstances the SLA would be reviewed annually. There will be occasions where in-year changes are appropriate. Other changes to local arrangements may be required, in which case the following action should be taken  any changes to this document should in the first instance be raised by minute by either signatory  when agreement to the changes has been reached, details and the date of the change should be formally amended on the document  any sheet of the agreement may be substituted or re-drafted to suit local needs  final sign-off of any changes by all parties

A34 Both parties shall provide details of any future changes to their requirements as soon as the likelihood arises. This will enable sufficient early warning and planning to be undertaken by all other parties.

A35 Any variations to this document and attached schedules will be discussed and agreed in writing by both parties to the agreement.

A36 Once agreed, this document will be amended to reflect the change.

Performance measurement, monitoring and review

A37 All signatories to this agreement will agree the arrangements for monitoring the services provided and received.

A38 There will be an annual review of the SLA between AS and LAs SLA Manager(s).

A39 These reviews will ensure that the agreement is satisfying the objectives of all parties and specifically the agreed performance measures. The agreed performance measures, as defined in this agreement, will be evaluated by the outputs from a sampling exercise completed by AS and LAs.

A40 On a quarterly basis AS and LAs will complete a sampling exercise that measures and evaluates the performance of the agreed service levels. This will ensure compliance is the responsibility of all parties to this agreement. Any issues raised will be initially reported to the operational sections in AS and the appropriate LA. A composite report summarising the main findings of the quarterly review will be made available to all parties.

A41 The quarterly review will cover the performance against agreement in terms of quality as specified in Schedules 2 and 3, see Annex B and C, and the fulfilment of responsibilities by both parties. The annual review will cover overall operation of this agreement, continuous improvement programmes, and any plans for future action.

A42 At the end of each year, a certificate must be prepared and signed in the form of a joint declaration by the operational manager(s), SLA manager and opposite number in each of the LAs involved, confirming the SLA has been reviewed and all signatories have complied with the monitoring and reviewing arrangements.

Communications

A43 Agency’s Service First Standards define the customer services and these will be made available to LAs. The LAs, due the autonomy of their organisational structures, will need to make available locally to AS their equivalent service standards.

A44 To ensure that consistency in approach is maintained it is recommended that local liaison arrangements are put in place. These liaison arrangements should be utilised to deal with issues such as any backlog of work that occur in AS or an LA.

A45 In the event of national or local disruptions affecting the service delivery there will be urgent consultation between the parties concerned.

Disagreements

A46 Both parties shall endeavour to resolve disputes amicably at the lowest possible level, eg via AS District and individual LAs.

A47 In the case of a disagreement concerned with the conduct of a Tribunal, AS will undertake to bring this to the attention of the Judicial arm of the organisation.

A48 Within AS and LAs the escalation of disagreements should be channelled through the appropriate nominated personnel in each organisation. The identity and contact details of the local nominated officers should be completed using the template in Schedule 1, see Annex A.

Schedules and attachments to the SLA

Schedule 1 Local contact details

Schedule 2 Services to be provided by AS to LAs

Schedule 3 Services to be provided by LAs to AS

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B Annex A

Schedule 1 – Local contact details

LAs Contact

Contact Name: A. N. OTHER

Location:

E-Mail:

AS Contact

Contact Name: A. N. OTHER

Location: Salford

E-Mail:

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B Annex B

Schedule 2 – Services to be provided by AS to LAs

Contents Introduction...... A49 Pre hearing action...... A50 At the hearing...... A58 Post hearing action...... A59 Appeal documents...... A62

Schedule 2 – Services to be provided by AS to LAs

Introduction

A49 This schedule sets out the mechanisms to enable AS to deliver services for LAs.

Pre hearing action

A50 AS will register appeals within two working days of receipt of the papers from the LAs. When it becomes apparent to AS that the appellant has a representative, either on return of the form TAS1 or some time later, AS will notify the LAs within two days of the notification being received.

A51 AS will issue a decision to the LAs within four weeks of receipt if there is a question as to an appeal not being duly made, being out of time or out of jurisdiction. AS will provide reasons for the decision and copies of the arguments involved. If the four weeks period cannot be met, AS will notify the LA of the reasons for the delay and when the decision can be expected by.

A52 Appeals will be heard on average within the timescales agreed with the Secretary of State for Work and Pensions. For 2003/04 this is 13 weeks. In most cases appeals that were lodged first being heard first.

A53 AS will give the LAs at least three weeks notice of the time, date and venue of tribunal hearings, enabling LAs to notify witnesses.

A54 The needs of Presenting Officers (Pos) will be taken into account when arranging tribunal hearings, eg listing appeals for a single LA in one session and taking account of any specific requests.

A55 If additional evidence is received, this will, with the exclusion of supplementary submissions sent by LAs, be copied to the LAs within two days

A56 AS will notify LAs immediately by phone in the case where an appeal is cancelled or postponed on the day of the hearing, or within two working days in all other instances if  an appeal is withdrawn, written confirmation of the withdrawal will be issued within one week of receipt  a hearing is cancelled  a hearing is rescheduled, eg when adjourned at the hearing AS will seek to reschedule and inform all parties of the new date on the day of adjournment  a postponement request has been granted

A57 Arrangements to provide feedback on local performance data will be agreed locally by each party.

At the hearing

A58 AS will provide, wherever practicable, suitable and private accommodation for POs, with access to telephone and fax facilities.

Post hearing action

A59 AS will issue the LAs, appellant and appellant’s representative, where one exists, a copy of the tribunal’s decision within two days of the tribunal hearing.

A60 If a decision notice contains an error, AS will aim to correct it, and issue an amended decision notice, within two weeks of the error being brought to it’s attention.

A61 AS will issue LAs with a full statement of reasons within four weeks of a request being received.

Appeal documents

A62 A copy of appeal documents, including the decision notice, record of proceedings and full statement where appropriate will be retained for six months before paper destruction.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B Annex C

Schedule 3 – Services to be provided by LAs to AS

Contents Introduction...... A63 Pre hearing action...... A64 At the hearing...... A69 Post hearing action...... A70 Appeal documents...... A72

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B Annex C

Schedule 3 – Services to be provided by LAs to AS

Introduction

A63 This schedule sets out the mechanisms to enable LAs to deliver services for AS.

Pre hearing action

A64 The LA will prepare an appeal submission and issue copies to AS, the appellant and the appellant’s representative, if known. A copy of the appropriate decision notice or notices will be included together with all other relevant documentary evidence. The pages will be numbered clearly and the copies should be capable of reproduction. Where a person affected, eg a landlord, has appealed or is entitled to be included in the appeals process, they will also be sent a copy of the papers, although these should be edited to exclude all personal information that should not be disclosed to third parties.

A65 The LA will complete the submission and issue it to all parties within four calendar weeks, this complies with the LA Ombudsman recommendations, of receipt of the appeal. Where the appeal is particularly complex or more information is required, it is accepted that this timescale may be exceeded. The LA will inform AS of all cases, which have been outstanding for more than three months, where a submission has not been issued and explain the reasons for the delay and confirm when the submission will be provided. As part of this action LAs will  send the appellant the appropriate pre-hearing enquiry form TAS1, and the appeal submission. A first class business reply envelope or overseas equivalent, ie unfranked envelope will be made available by AS for return of the TAS1  issue the appropriate notification form AT37 to AS with the appeal submission. LAs will identify in the notes box, cases which are complex

A66 The AT37 will notify AS of  the date the submission was actually issued to the appellant  Potentially Violent (PV) cases  complex cases that may require a longer hearing time  cases that have special needs such as mobility needs, sign impaired, hard of hearing, or have learning difficulties  cases when English is not the appellant’s first language  other appellants who require assistance at the hearing, such as wheelchair users  cases where an expert witness is required  cases that contain information that should be treated in confidence  cases the LAs believe to be not duly made or, out of time  cases that involve a challenge based on the European Convention of Human Rights

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix B Annex C This list is not exhaustive. The underlying principle is that LAs will provide such information as will allow AS to deliver the best possible service to individual customers.

A67 LAs will provide AS with clear, ie capable of reproduction, copies of appeal submissions and accompanying documentary evidence.

A68 Where a submission has been issued, LAs will to notify AS within two working days if the appeal is lapsed or withdrawn. If fresh evidence is provided that does not alter the original decision the LA will notify AS.

At the hearing

A69 A PO from the LA will attend where the case involves  a complex evidence or legislation  a difficult judgmental element  new legislation  a request by the tribunal for a PO to attend

Post hearing action

A70 LAs will action the tribunal’s decision as soon, as is practicable and seek to complete this action within four calendar weeks.

A71 If an appeal is adjourned for further evidence LAs will provide AS with a further submission as directed by the Chairman.

Appeal documents

A72 In exceptional circumstances, LAs will provide any relevant documentation it holds if an appeal to the Social Security is received and the papers are no longer held by AS.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix C

Debt Management

Document Control

Key Personnel

Role Name/Position Signature/date

Author Paul Farrell Ken Gartside Reviewer(s) Darren Moore Business Re-Structure Project Manager

Approver Diane Yates

Summary

A73 This document outlines the key requirements for a Relationship Agreement between Debt Management (DM) and LAs to facilitate recovery of HB and CTB overpayments.

A74 It also sets out processes to be followed in respect of cases referred to DM where there are joint fraud investigations.

A75 It builds on previous agreements between DWP and LAs regarding administration of those benefits.

A76 It has been developed during joint workshops to agree format and content in line with other current National Relationship Agreements between the DWP and LAs, represented at national level by the Practioners Operational Group, POG.

Document status history

Version Date Section Reason for update

0a 08/04/2003 All QA review Ob 2/05/2003 QA review 1 27/05/03 Baseline

Distribution – see attached list

References

 DWP Financial Services Division Customer Management Framework  Joint working agreements between Central Government and LA Associations  DSS Adjudication and Operations circular A29/2001  Practitioners Operational Group (POG) meetings  Joint workshops

Relationship Agreement

between

DWP Financial Services Division - Debt Management

2003/04

Contents

Model National Relationship Agreement between DM and LAs.....A77 Purpose...... A77 Roles and responsibilities...... A83 Reviews and disagreements...... A87 Monitoring arrangements...... A91 End of year action...... A92 Role of DM and LA Nominated Officer...... A93 Reviews of this RA...... A94 Service and performance requirements...... Annex A Monitoring guidance...... Annex B

Model National Relationship Agreement between DM and LAs

Purpose

A77 This agreement builds on the partnership agreement that existed between the Benefits Agency (BA) of the Department of Social Security and LAAs in respect of matters relating to the administration of HB and CTB. Such previous agreements will be superseded by this document. It sets the framework for improving the quality of services and secures the application of minimum agreed standards.

A78 It lists core requirements, and the commitments required to achieve respective and shared objectives on overpayment issues. It details the minimum service requirements and standards for both DM and LAs. Local agreements may choose to exceed these standards.

A79 The document sets out how the Relationship Agreement (RA) between DWP DM and LAAs in respect of HB/CTB processes will work in practice. It has been endorsed by senior managers within DM and has been agreed by the Practitioners Operational Group (POG), who represent LAAs.

A80 This RA places mandatory obligations on DM and has been endorsed by the LAAs to LAs in the interests of efficient benefit administration.

A81 To ensure the standards are being maintained it will be necessary to  continually monitor performance  identify and meet training needs  monitor their effectiveness

A82 DM Operational Managers and their linked counterparts in LAs must agree to abide by the provisions of this RA. The RA can exceptionally be varied locally by agreement to suit specific business requirements. However the content of the model RA should be seen as the minimum requirement.

Roles and responsibilities

A83 LAs have a key role to play in supporting the government's objectives in relation to work and poverty. LAs will endeavour, through efficient service delivery, to pay HB/CTB promptly and accurately to all those entitled. Where overpayments occur and are recoverable, recovery action will be promptly undertaken.

A84 DM is the organisation responsible for delivering debt management and recovery services for the DWP; this responsibility includes, in certain circumstances, the recovery of HB/CTB overpayments on behalf of LAs. DM has overall responsibility to support the DWP in the reduction in losses from fraud and error in programme spends, by the efficient and effective collection of debt.

Joint responsibilities

A85 In order to discharge their responsibilities together it is important that the relationship between DM and LAs enables working effectively together in partnership. DM and LAs must ensure that they understand each other’s responsibilities and those they have to their customers and that these responsibilities are met, carried out, correctly and on time. The aim must be for staff of both organisations to understand each other's work and the role they have within that organisation. This may be achieved by a variety of means such as training initiatives, exchange visits, or periodic liaison meetings. Local management in both organisations should jointly decide how this is taken forward and assessed.

A86 Local arrangements should be put in place to set timescales for responding to urgent requests for information from one organisation to the other.

Reviews and disagreements

Reviews

A87 The model national administration RA will apply from April to March each year beginning as soon as practicable after April 2003. This will provide DM and LAs with greater consistency when monitoring and ensuring sign-off of the RA. Monitoring of the performance of the RA will be required throughout the year with a full joint review towards the end of the period.

A88 The review to develop this Agreement for 2004/05 will be set up in March 2004. This review will address developing business requirements including service arrangements and resourcing.

Disagreements

A89 It is important that disagreements are resolved at the lowest practicable level, ie the individual benefit processors, overpayment officers. It is expected that most issues which arise will be resolved through informal discussions with colleagues or during routine liaison. When it does not prove possible to resolve an issue through these means, it should be referred to the nominated liaison officers, see Role of DM and LA Nominated Officer who may need to escalate to national level to ensure consistency of approach, both DM and LA.

A90 Within DM and LA the escalation of disagreements should be channelled through the appropriate nominated personnel in each organisation, ranging from benefit/overpayment supervisors through to Chief Executive/Business Change Managers. The identity and contact details of nominated officers should be exchanged locally.

Monitoring arrangements

A91 There is the need to put in place suitable arrangements to ensure compliance in relation to the core requirements of the RA. Ensuring compliance is the responsibility of both parties through the nominated officers who will make arrangements for the offices under their management concerning how this will be achieved. In year monitoring will be at local level and will include  periodic checking the outputs issued whether to LAs or DM including the quality and relevance of the information being provided, and the timescales in which that information is being provided  adherence to the monitoring specified in the service and performance requirements in this RA, see table in Annex B  when appropriate, discussion and evaluation of reasons for failure to meet requirements  both sides jointly agreeing an action plan to improve performance where achievement falls below required levels/targets  reviewing regularly the performance of the RA by means of discussion

End of year action

A92 At the end of each year suitable arrangements should be put in place so that the DM Debt Centre Manager and opposite number in each of the LAs involved are assured that the RA has been reviewed and both parties have complied with the monitoring arrangements. The assurance should encompass comparison levels of achievement against each of the measurable targets set out in the table. This will also be reviewed at National level to ensure consistency.

Role of DM and LA Nominated Officer

A93 Each party to the RA will provide an appropriate nominated contact point within his or her organisation. The role of the officer will be to  attend liaison meetings where applicable between the LA and DM making effective contributions towards closer working  deal with any queries effectively that cannot be resolved by the usual channels  resolve problems by contact with opposite number in LA or DM  promote good liaison by identifying and arranging for exchange visits, when agreed and practicable, training sessions and exchange of information, including details of known changes, etc  provide up to date lists of telephone numbers and contact points  foster good working relationships with all parties  take a pro-active role in cascading information throughout DM/LA sites  gather information and statistics to monitor RA performance

Reviews of this RA

A94 Under normal circumstances the RA would be reviewed annually. If there are occasions when DM or an LA site wishes to make changes to existing local arrangements in order to satisfy or improve on business requirements, the following action should be taken to manage these changes  any changes to this document should in the first instance be raised by minute by either party to the local DM or LA unit as appropriate  when agreement to the changes has been reached, details and the date of the change should be formally amended on the local document  any sheet of the agreement may be substituted or re-drafted to suit local circumstances provided minimum standards are still met  final sign off of any changes by all parties  future versions of this agreement will need to reflect process changes resulting from the implementation of a Debt Centre based delivery structure and new IT infrastructure within DM. This will bring about changes in the location of services provided to LAs, that will need to be impacted on the agreement at both national and local level.

A95 When it is felt that the suggested change to local arrangements may impact on the Standard Business Process, an exception report should be submitted to the Business Process Design team before the change is implemented. The Business Process Design team will impact the change and advise accordingly.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix C Annex A

Service and performance requirements

The following table lists the services and performance requirements against which standards will be measured and reports made:

No. Requirement Minimum Standard By Whom Method of Control

1 Where requests are received from the Requests for information be cleared Overpayment staff Not required but see LA for further specific information for a within five working days of referral (or as in LAs and DM Monitoring guidance for potential referral, which is not available soon as practicable). See Monitoring further details. through the RATS system, guidance for further details. arrangements should be made to provide this within agreed timescales. 2 Provide mechanism for local contact. Each working day. Liaison required Not required. between Operational Managers within DM and LA.

3 Provide and then regularly update list of Five working days before date of Liaison required Not required. contact points in: change. between  LAs, and Operational  DM Managers within DM and LA.

4 DM to liaise with LA counterparts Regular contact to be established to Operational Not required. regarding migration of work to Debt ensure migration process is managed as Managers within Centres. smoothly as possible. DM and LA.

No. Requirement Minimum Standard By Whom Method of Control

5 Respond to initial requests for Initial action, to let LAs know status of DM. Not required but see deductions, made on the appropriate new referrals, required on 100% of those Monitoring guidance for referral form, for current version, see referrals, within five working days of further details. Circular A29/2001 Appendices, in receipt of referral. See Monitoring respect of HB/CTB overpayments. guidance for further details.

6 Notify LA when recovery complete or DM to ensure that the LA is informed DM. Review of performance deductions ceased for other reasons. within five working days of information against standards as part of being known that full recovery has been joint meetings. made or recovery has broken down. In the latter case details of amount recovered and still outstanding to be reported 7 Where information is requested in Response within five working days of full DM/LA. Not required, but see overpayment cases, when LA fraud has evidence availability. Monitoring guidance for a linked HB overpayment, agree a further details. process for providing details of the overpayment and supporting documentation. 8 Where there is LA fraud action any Where all relevant information has been DM decision and Review of performance subsequent linked overpayment referred provided with the submission, calculation overpayment against standards as part of for DM calculation is processed action should be completed within ten officers. joint meetings. timeously. working days in prosecution/sanction Quality assurance checks. cases and 25 working days for other fraud cases. Where it is considered a referral for DM. Quality assurance checks Return incomplete calculation requests 9 calculation is insufficient/incomplete it Review of performance to LA fraud officers promptly. should be returned to the relevant LA against standards as part of with a covering explanation within five joint meetings. working days.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix C Annex A

10 Notifying OP classification in When DM write – off official error or DM. Quality assurance checks. Write-off or easement cases. easement cases, which have a related HB OP for the same period, arrangements should be made to notify the appropriate LA locally agreed timescale following the OP classification. 11 Provide the facility of HB/CTB OP DM will provide a dedicated national DM. Review of performance Advice Line. telephone help line (9:30 – 4:30, Mon – against standards as part of Fri) to answer queries LAs may have on joint meetings. operational issues concerning HB/CTB Quality assurance checks. overpayments. 0161 873 4679 (to be updated as Debt Centres come on stream). 12 Make repayments to the LAs of money DM to ensure any debt recovered on DM. Appropriate management recovered on their behalf. behalf of LAs is reimbursed within four control. weeks of the end of the respective Review of performance quarter. Payments should be against standards as part of accompanied with a schedule itemising joint meetings. amounts appropriate to individual debtors. 13 Quality of referrals. LAs to ensure that all referrals LA overpayment Appropriate management requesting DM recovery of HB/CTB debt staff. control. are fully completed with relevant details Review of performance on the required national proforma. All against standards as part of possible action should be taken to check joint meetings. if debtor is at address stated and in receipt of a prescribed benefit prior to issue.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix C Annex B

Monitoring guidance

The attached table provides additional details of those requirements within the RA where monitoring will be required. In setting up the RA the aim should be to adhere, where at all possible, to the targets specified in the RA as set down in the regulations. Where there is any deviation from that standard, discussions should take place at a local level to put in place a target and timescale acceptable both to DM and LA. Details of any such agreement should be included within the end of year statement of performance.

The guidance should therefore be used to inform local discussions between DM and LA with a view to putting in place monitoring arrangements which are acceptable to both sides and which satisfy current legislation.

Targets within the RA are the minimum requirements needed to support RA 2003/4.

Requirement Number Suggested Guidance All It is clear from information received from DM and LA representatives that in some areas regular contact between interested parties is generally on an informal basis with meetings as and when required. While these arrangements should be promoted it is suggested that in order to satisfy monitoring requirements regular meetings, or other contact such as video links and correspondence, are set up, when practicable taking travelling constraints into account where Debt Centres are set up. Where meetings are set up these should be minuted and attended at some time by a member of the senior management team. The level of that representation should be decided locally. All Managers at both DM and LAs to promote regular exchange visits where agreed and practicable between staff. Responsibilities of the nominated officer both within DM and LA are the same as in HB/CTB Circular A24/2001. Those responsibilities should be noted when the nominated officer is appointed. 8 to 9 Local arrangements should be agreed between DM and LAs for the transfer of this information as delays can impact on LA fraud activity.

Adjudication and Operations circular July 2003 HB/CTB Circular A20/2003 Appendix C Annex B

5 & 8 Local arrangements should be agreed between DM and LAs on the method for notifying each organisation of overpayments of HB/CTB, and of the level and type of information required to support that referral. This should be made on the standard referral proforma to be used across DWP for debt, to enable input to a generic screen on the Debt Recovery system. Where it appears that overpayments may have arisen as a result of fraudulent activity, arrangements should be made with fraud sections on the level and supply of information in respect of those cases All Local arrangements should be agreed between DM and LAs on the method for registering changes to existing local arrangements in order to satisfy or improve on business requirements. This process will aid the annual RA review exercise and facilitate the capture and sharing of best practices.

Adjudication and Operations circular July 2003