Part IDecisions and Appeals
C1C2C4C6C7C9C10C11C13C19C20C25C28C34Chapter IISocial Security Decisions and Appeals
Pt. 1 Ch. 2: power to apply and exclude conferred (1.4.1999) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 23(1), 28(3) (with Sch. 8); S.I. 1999/527, art. 2(b), Sch. 2 (with arts. 3-6)
Pt. 1 Ch. 2 applied (with modifications) by Pension Schemes Act 1993 (c. 48), s. 171(2)(3) (as substituted (5.7.1999) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), s. 28(3), Sch. 7 para. 19(3) (with Sch. 8); S.I. 1999/1662, art 2(b), Sch. Pt. 2 (with art. 4))
Pt. 1 Ch. 2 modified (1.9.1999) by The Child Benefit (Northern Ireland Reciprocal Arrangements) Amendment Regulations 1999 (S.I. 1999/2225), regs. 1(1), 2(2), Sch.
Pt. 1 Ch. 2 modified (1.9.1999) by The Social Security (Northern Ireland Reciprocal Arrangements) Amendment Regulations 1999 (S.I. 1999/2227), regs. 1(1), 2(2), Sch.
Pt. 1 Ch. 2 modified (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 2 para. 21 (with s. 19)
Pt. 1 Ch. 2 power to apply (with modifications) conferred (11.11.1999) by Welfare Reform and Pensions Act 1999 (c. 30), ss. 52(4)(6)(g), 89(4)(a)
Pt. 1 Ch. 2 modified by Social Security Administration Act 1992 (c. 5), s. 2B(1)(3)-(8) (as inserted (11.11.1999) by Welfare Reform and Pensions Act 1999 (c. 30), ss. 57, 89(4)(a))
Pt. 1 Ch. 2: power to apply conferred (8.7.2002) by Tax Credits Act 2002 (c. 21), ss. 61, 63(8)(a)
Pt. 1 Ch. 2 functions transferred (26.2.2003 for specified purposes, 1.4.2003 for specified purposes, 7.4.2003 in so far as not already in force) by Tax Credits Act 2002 (c. 21), ss. 50(2)(e), s. 61, Sch. 4 para. 15; S.I. 2003/392, art. 2
Pt. 1 Ch. 2 applied (8.7.2004) by Age-Related Payments Act 2004 (c. 10), s. 5(5)
Pt. 1 Ch. 2 applied (1.9.2005) by The Age-Related Payments Regulations 2005 (S.I. 2005/1983), regs. 1(1), 7(6)
Pt. 1 Ch. 2 modified (21.7.2008 for specified purposes, 1.1.2009 in so far as not already in force) by Health and Social Care Act 2008 (c. 14), ss. 132(8), 170; S.I. 2008/3137, art. 2
Pt. 1 Ch. 2 applied (with modifications) (1.10.2010) by The Employment and Support Allowance (Transitional Provisions, Housing Benefit and Council Tax Benefit) (Existing Awards) (No. 2) Regulations 2010 (S.I. 2010/1907), regs. 1(2), 16(2)(b), Sch. 2 para. 5
Appeals
C5C8I22C18C12C14C22C2912Appeal to F8First-tier Tribunal
I41
This section applies to any decision of the Secretary of State under section 8 or 10 above (whether as originally made or as revised under section 9 above) which—
I6I10I14I18a
is made on a claim for, or on an award of, a relevant benefit, and does not fall within Schedule 2 to this Act; F1or
I6I10I14I18b
is made otherwise than on such a claim or award, and falls within Schedule 3 to this Act; F2...
F2c
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I6I10I14I18F32
In the case of a decision to which this section applies, the claimant and such other person as may be prescribed shall have a right to appeal to F9the First-tier Tribunal, but nothing in this subsection shall confer a right of appeal—
F33a
in relation to a prescribed decision, or a prescribed determination embodied in or necessary to a decisionF32, or
b
where regulations under subsection (3A) so provide.
I1I6I10I14I183
Regulations under subsection (2) above shall not prescribe any decision or determination that relates to the conditions of entitlement to a relevant benefit for which a claim has been validly made or for which no claim is required.
F343A
Regulations may provide that, in such cases or circumstances as may be prescribed, there is a right of appeal under subsection (2) in relation to a decision only if the Secretary of State has considered whether to revise the decision under section 9.
3B
The regulations may in particular provide that that condition is met only where—
a
the consideration by the Secretary of State was on an application,
b
the Secretary of State considered issues of a specified description, or
c
the consideration by the Secretary of State satisfied any other condition specified in the regulations.
3C
The references in subsections (3A) and (3B) to regulations and to the Secretary of State are subject to any enactment under or by virtue of which the functions under this Chapter are transferred to or otherwise made exercisable by a person other than the Secretary of State.
I6I10I14I184
Where the Secretary of State has determined that any amount is recoverable under or by virtue of section 71 or 74 of the Administration Act, any person from whom he has determined that it is recoverable shall have the same right of appeal to F10the First-tier Tribunal as a claimant.
I65
In any case where—
a
the Secretary of State has made a decision in relation to a claim under Part V of the Contributions and Benefits Act; and
b
the entitlement to benefit under that Part of that Act of any person other than the claimant is or may be, under Part VI of Schedule 7 to that Act, affected by that decision,
that other person shall have the same right of appeal to F11the First-tier Tribunal as the claimant.
I1I6I10I14I186
A person with a right of appeal under this section shall be given such notice of a decision to which this section applies and of that right as may be prescribed.
I1I6I10I14I187
Regulations may—
F36a
make provision as to the manner in which, and the time within which, appeals are to be brought;
F35b
provide that, where in accordance with regulations under subsection (3A) there is no right of appeal against a decision, any purported appeal may be treated as an application for revision under section 9.
I6I10I14I188
In deciding an appeal under this section, F12the First-tier Tribunal—
a
need not consider any issue that is not raised by the appeal; and
b
shall not take into account any circumstances not obtaining at the time when the decision appealed against was made.
I6I10I14I189
The reference in subsection (1) above to a decision under section 10 above is a reference to a decision superseding any such decision as is mentioned in paragraph (a) or (b) of subsection (1) of that section.
C3I7I11I15C8I19I23C15C23C3213Redetermination etc. of appeals by tribunal
1
This section applies where an application is made F13to the First-tier Tribunal for permission to appeal to the Upper Tribunal from any decision of the First-tier Tribunal under section 12 or this section.
F142
If the person considers that the decision was erroneous in point of law, he may set aside the decision and refer the case either for redetermination by the tribunal or for determination by a differently constituted tribunal.
3
F44
In this section and section 14 below “the principal parties” means—
a
the persons mentioned in subsection (3)(a) and (b) of that section, and
b
where applicable, the person mentioned in subsection (3)(d) and such a person as is first mentioned in subsection (4) of that section.
C3I8I12I16C8I20I24C17C21C3014Appeal from F17First-tier Tribunal to Upper Tribunal
F181
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F52
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I23
F6... an appeal F19to the Upper Tribunal under section 11 of the Tribunals, Courts and Enforcement Act 2007 from any decision of the First-Tier Tribunal under section 12 or 13 above lies at the instance of any of the following—
a
the Secretary of State;
b
the claimant and such other person as may be prescribed;
c
in any of the cases mentioned in subsection (5) below, a trade union; and
d
a person from whom it is determined that any amount is recoverable under or by virtue of section 71 or 74 of the Administration Act.
4
In a case relating to industrial injuries benefit an appeal F20to the Upper Tribunal under section 11 of the Tribunals, Courts and Enforcement Act 2007 from any decision of the First-Tier Tribunal under section 12 or 13 above lies at the instance of a person whose entitlement to benefit is, or may be, under Part VI of Schedule 7 to the Contributions and Benefits Act, affected by the decision appealed against, as well as at the instance of any person or body such as is mentioned in subsection (3) above.
5
The following are the cases in which an appeal lies at the instance of a trade union—
a
where the claimant is a member of the union at the time of the appeal and was so immediately before the matter in question arose;
b
where that matter in any way relates to a deceased person who was a member of the union at the time of his death;
c
where the case relates to industrial injuries benefit and the claimant or, in relation to industrial death benefit, the deceased, was a member of the union at the time of the relevant accident.
6
Subsections F7... (3) and (5) above, as they apply to a trade union, apply also to any other association which exists to promote the interests and welfare of its members.
C26C27F217
If each of the principal parties to the appeal expresses the view that the decision appealed against was erroneous in point of law, the Commissioner may set aside the decision and refer the case to a tribunal with directions for its determination.
C26C278
Where the Commissioner holds that the decision appealed against was erroneous in point of law, he shall set it aside and—
a
he shall have power—
i
to give the decision which he considers the tribunal should have given, if he can do so without making fresh or further findings of fact; or
ii
if he considers it expedient, to make such findings and to give such decision as he considers appropriate in the light of them; and
b
in any other case he shall refer the case to a tribunal with directions for its determination.
C26C279
Subject to any direction of the Commissioner, a reference under subsection (7) or (8)(b) above shall be to a differently constituted tribunal.
I2C26C2710
No appeal lies under this section without the leave—
a
of the person who constituted, or was the chairman of, the tribunal when the decision was given or, in a prescribed case, the leave of such other person as may be prescribed; or
b
subject to and in accordance with regulations, of a Commissioner.
I2C26C2711
Regulations may make provision as to the manner in which, and the time within which, appeals are to be brought and applications made for leave to appeal.
I5C26C2712
Schedule 4 to this Act shall have effect with respect to the appointment, remuneration and tenure of office of Commissioners and other matters relating to them.
C3I9I13I17C8I21I25C16C24C3115F22Applications for permission to appeal against a decision of the Upper Tribunal
F231
Subject to subsections (2) and (3) below, an appeal on a question of law shall lie to the appropriate court from any decision of a Commissioner.
I32
No appeal under this section shall lie from a decision except—
a
with the leave of the Commissioner who gave the decision or, in a prescribed case, with the leave of a Commissioner selected in accordance with regulations; or
b
if he refuses leave, with the leave of the appropriate court.
I33
F24An application for permission to appeal from a decision of the Upper Tribunal in respect of a decision of the First-tier Tribunal under section 12 or 13 may only be made by—
a
b
any other person who was a party to the proceedings in which the first decision mentioned in paragraph (a) above was given;
c
any other person who is authorised by regulations to apply for F27permission;
F28and regulations may make provision with respect to the manner in which and the time within which applications must be made to a Commissioner for leave under this section and with respect to the procedure for dealing with such applications.
F294
On an application to a Commissioner for leave under this section it shall be the duty of the Commissioner to specify as the appropriate court—
a
the Court of Appeal if it appears to him that the relevant place is in England or Wales;
b
the Court of Session if it appears to him that the relevant place is in Scotland; and
c
the Court of Appeal in Northern Ireland if it appears to him that the relevant place is in Northern Ireland,
except that if it appears to him, having regard to the circumstances of the case and in particular to the convenience of the persons who may be parties to the proposed appeal, that he should specify a different court mentioned in paragraphs (a) to (c) above as the appropriate court, it shall be his duty to specify that court as the appropriate court.
5
In this section—
“the appropriate court”, except in subsection (4) above, means the court specified in pursuance of that subsection;“the relevant place”, in relation to an application for leave to appeal from a decision of a Commissioner, means the premises where the person or authority whose decision was the subject of the Commissioner’s decision usually exercises his or its functions.
C3315AF30Functions of Senior President of Tribunals
1
The Senior President of Tribunals shall ensure that appropriate steps are taken by the First-tier Tribunal to secure the confidentiality, in such circumstances as may be prescribed, of any prescribed material, or any prescribed classes or categories of material.
2
Each year the Senior President of Tribunals shall make to the Secretary of State F31... a written report, based on the cases coming before the First-tier Tribunal, on the standards achieved by the Secretary of State F31... in the making of decisions against which an appeal lies to the First-tier Tribunal.
3
The Lord Chancellor shall publish the report.
Pt. 1 Ch. 2: power to transfer functions conferred (25.2.1999) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 17, 28(2)(c) (with Sch. 8)