Guidance

Working with representatives: guidance for DWP staff

Updated 17 December 2021

DWP responsibilities

Customers have the right to ask a representative to help them conduct their business with the Department for Work and Pensions (DWP) and it is important that DWP balances this with our duty to protect the personal information we hold. This is particularly important for customers with any disabilities or conditions that make it difficult for them to express themselves adequately.

Representatives can also be helpful to DWP in helping us to obtain the information that we need.

It is important that we have good working relationships with representatives, whether they are from the advice organisations or are simply family members or friends, so that we can give our customers the best possible service.

Sometimes judgements will need to be made, based upon whether it is reasonable in the circumstances to disclose information. Provided that you can demonstrate that you have followed this guidance, you will not be held personally liable for alleged unlawful disclosures. Always seek advice if you are unsure.

Follow the Universal Credit (UC) consent and disclosure information for Universal Credit cases.

Who is a representative?

A customer representative is any person or organisation acting on behalf of, or making enquiries for, the customer.

The representative could be helping a customer in several ways, including progress chasing, helping them make a claim, seeking an explanation of entitlement and how it has been decided, representing them with a reconsideration or appeal, or helping them manage their finances. This can be at any stage of the customer’s business with DWP.

Representatives may include:

• advice or welfare rights organisations
• professionals such as social workers, community nurses or doctors
• family members or friends

Remember that:

• this guidance is not about official appointees (attorneys, deputies), who should be dealt with as if they were themselves the customer

MPs

Note that customers’ own MPs are assumed to have authority to act and information can be disclosed in response to their enquiries. Refer to the Disclosure to MPs or other Elected Representatives Guidance (DWP staff intranet only) for more information.

Appointees, deputies and those with power of attorney

Appointees, deputies and those with power of attorney are legally empowered to act on behalf of the customer.

Their authority to act on behalf of a customer will be recorded on DWP systems. Permission to disclose information to them is not required.

There are also corporate appointees, usually local authority (LA) staff, who look after the affairs of people in homes. They will not have sufficient detail about customers to enable them to answer security questions, and therefore the principles outlined in the alternative enquiry section should be used in deciding whether to provide information. Refer to the Agents, appointees, attorneys and receivers guide for further guidance on this subject.

Local liaison

Where possible, it is good practice to build good working relationships with local organisations that represent customers. This will enable any difficulties to be resolved more easily.

For example by:

• exchanging contact names and numbers to facilitate checking that representatives are who they say they are, to enable representatives to make contact with us, and ensuring that these are kept up-to-date
• ensuring that local organisations are consulted and informed about our organisational changes

Local authorities

Local authorities cover a very wide range of business. Some of this business includes working as a representative and helping customers with their benefit claim. Welfare rights staff and social workers may undertake this type of work on a regular basis, and this guidance should be followed in disclosing information to them.

This guidance does not include releasing information which is covered by data sharing legislation. Refer to the specific guidance for disclosure of information to local authorities (DWP staff intranet only) including advice about the Apollo List and areas such as:

• Blue Badge parking permits
• Discretionary Housing Payments
• Disability Facility Grants
• supporting people and housing support
• domiciliary and residential care assessments
• support for people at risk of homelessness
• troubled families
• housing benefit cap

Bogus callers

There is an important difference between a legitimate representative wanting to help speed a claim along or resolve a problem for a customer, and a person seeking to unlawfully obtain a customer’s personal information without their knowledge.

Sometimes unscrupulous individuals and organisations pose as bogus officials and representatives to try and obtain personal information about our customers. We would never disclose personal information, that the customer would be expected to know, in any circumstances, to any caller.

Steps to take when deciding whether to disclose information

It is important to remember that each case must be treated individually. You should not automatically disclose information because an organisation is known to you.

You can disclose information where:

• you have current written signed authority from the customer
• the customer is present to confirm their permission (including at the end of a phone)
• where alternative enquiry is established

The following steps should also help you decide whether to disclose information:

1. Is the enquiry of a general nature or about a specific customer?

Enquiries that are not specific to an individual customer can be answered, on the basis that this is only general advice, and will depend on customers’ individual circumstances. For example, “Is JSA payable if a person gets sacked?” or, “Can someone claim PIP if they are in a care home?”.

2. Is the representative who they say they are?

If the enquiry is specific to an individual customer, you must be satisfied that the caller is who they say they are, for example:

• is the representative known to you?
• can you check with the customer, either in person or by phone?
• can you check by calling back on a known telephone number?

If you can answer ‘yes’ to any one of the above, then you can proceed.

3. Is the representative acting with the authority of the customer?

If the call is from a representative, ensure that they are acting on behalf of the customer:

• can you check permission with the customer, either in person or by phone?
• can you accept that there is ‘alternative enquiry’?
• is there written, signed authority from the customer? Note that you should not automatically insist on seeing a written or faxed authority before disclosing information

If you can answer ‘yes’ to any one of the above, then you can proceed.

Written authorities to disclose information

Written authority may be necessary where alternative enquiry cannot be established, or where a request for information is received in writing from a representative. Written, signed authority should be requested only when alternative enquiry cannot be established by other means.

Written authority does not last indefinitely in these cases, but covers a particular piece of business. The authority to act should be treated as current for the whole process of a new claim or change of circumstances, including any follow-up reconsideration process. A separate authority is required for an appeal, unless the existing authority specifically covers the appeals process.

If written authority is received, it should be recorded in notepad, if possible. It should be removed after the particular piece of business, including reconsideration, is completed.

Alternative enquiry

Where there is no valid written authority, or the customer is not present to confirm permission verbally, staff should use their experience and judgment to decide whether the call is an alternative enquiry acting on behalf of the customer.

Staff must ask questions and use judgement based on the answers in order to determine whether or not the caller is a genuine representative, and alternative enquiry can be assumed. Alternative enquiry can be accepted where the caller:

• knows basic information about the customer, for example, NINo, date of birth, address
• can quote facts and recent details about the claim, or can quote from our recent correspondence with the customer
• makes enquiries that you would expect the customer to make if they were able, such as:
• what stage the claim has reached
• why a particular decision has been made
• how benefit is made up
• whether a particular premium is being paid
• whether a particular circumstance has been taken into account.

This list is not exhaustive but should be helpful to staff as a guideline of what to look for.

In most cases it will be quite clear from the information already held by the caller, and the questions they ask, that they are helping the customer with benefit claim, and that information can be provided.

Where alternative enquiry cannot be established, then written authority is necessary. Do not disclose any customer information and explain that on this occasion it will be necessary for the caller to provide written authority to act on behalf of the customer.

Do not assume permission is for an indefinite period - authority to represent the customer is considered to be for a particular item of business.

Security questions

Where an alternative enquiry is being considered, it is not appropriate to ask the representative other security questions about the customer.

4. Should you disclose the information requested?

The information we can disclose to a representative must be limited, current, and focused to the relevant enquiry. If the caller is insistent, or you feel under any pressure to disclose information, refer the call to your line manager. If you feel that a caller is bogus, end the call and follow the existing Bogus Callers procedures.

Information that can be disclosed

Once you have established that the caller is who they say they are, and that they have the written permission or are seeking information as an alternative enquiry, consider the following:

• is the information requested consistent with the role of a representative?

For example, information about the progress of a claim, or how a decision has been reached.

If the answer is yes, then information about benefit claims can be disclosed. For example:

• information about the progress of the claim
• how benefit or payment has been calculated
• how a particular payment is made up
• rates of specific benefits in payment
• why a particular benefit, premium or allowance has been allowed or disallowed
• what factors have been taken into account in reaching a decision
• what future action is likely to be taken on the claim

Even when permission has been established, it is important to consider each question asked, and to be vigilant about information given. If you are in any doubt, do not disclose information. Ensure the information requested is relevant to the enquiry. Exercise caution before disclosing any information about a customer.

Is the information requested something that the customer would be expected to know - and that a bona fide representative could find out from the customer?

If the request is much broader, for example requesting “all information” held about a customer or their claim, this must be handled as a Right of Access Request (RAR). A representative will usually need to provide proof of authority to make a RAR on behalf of an individual. See instructions for how to handle RARs. Make a written record in all cases of what was disclosed, to whom, and when.

Representatives reporting changes of circumstances

Details of changes of circumstances may only be taken over the phone from representatives where the customer is present to confirm that they wish the representative to speak on their behalf. The customer should have correctly answered appropriate security questions.

Written authorities and alternative enquiries only cover the disclosure of information to representatives; they do not authorise representatives to report changes of circumstances on behalf of customers.

Reasonable adjustment

As a reasonable adjustment, a British Sign Language (BSL) interpreter or non-spoken language interpreter or foreign language interpreter can act as a representative on behalf of a customer to report a change of circumstances via the telephone as long as DWP security questions are answered correctly (this could be a friend, family member or via our contracted interpreters). The customer will provide the correct security answers to the interpreter who will then relay the answers to the DWP staff member.

Keeping representatives Informed

Where a representative is helping a customer with a particular piece of business, the representative may ask to be kept informed of progress on the claim, and of decisions made. Where written authority is held, all possible steps should be taken to inform the representative at the same time as the customer is informed. This is particularly important where notifications are computer-generated.

Where can I obtain further advice and support on disclosure to representatives?

If you are unsure whether an alternative enquiry can be established, in the first instance consult your line manager. Do not be pressured into giving information.

Role of Line Manager

Line managers have a responsibility to understand alternative enquiry and its practical application so that they can support their staff. Line managers must ensure that front line staff are aware of and fully understand this guidance.

Alternative enquiry must be carefully considered each time a representative makes contact on behalf of a customer and the right questions must be asked to establish whether or not disclosure is appropriate. Managers must also provide support and guidance to staff when required to take appropriate decisions about alternative enquiries when contacted by customer representatives.

Further advice

If further advice is required, contact your Data Protection Officer (DWP staff intranet only).

Follow the Universal Credit (UC) disclosure information guidance for Universal Credit cases.