Part IDecisions and Appeals

Chapter IISocial Security Decisions and Appeals

Modifications etc. (not altering text)

C2Pt. 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)

C6Pt. 1 Ch. 2 modified (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 2 para. 21 (with s. 19)

C7Pt. 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)

C9Pt. 1 Ch. 2: power to apply conferred (8.7.2002) by Tax Credits Act 2002 (c. 21), ss. 61, 63(8)(a)

C10Pt. 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

C11Pt. 1 Ch. 2 applied (8.7.2004) by Age-Related Payments Act 2004 (c. 10), s. 5(5)

C13Pt. 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

Appeals

12Appeal to [F1First-tier Tribunal]

(1)This section applies to any decision of the Secretary of State under section 8 or 10 above (whether as originally made or as revised under section 9 above) which—

(a)is made on a claim for, or on an award of, a relevant benefit, and does not fall within Schedule 2 to this Act; [F2or]

(b)is made otherwise than on such a claim or award, and falls within Schedule 3 to this Act; F3...

F3(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F4(2)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 [F5the First-tier Tribunal], but nothing in this subsection shall confer a right of appeal—

[F6(a)]in relation to a prescribed decision, or a prescribed determination embodied in or necessary to a decision[F7, or

(b)where regulations under subsection (3A) so provide.]]

(3)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.

[F8(3A)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.]

(4)Where the Secretary of State has determined that any amount is recoverable under or by virtue of section 71[F9, 71ZB, 71ZG, 71ZH,] 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.

(5)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.

(6)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.

(7)Regulations may—

[F12(a)]make provision as to the manner in which, and the time within which, appeals are to be brought;

[F13(b)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.]

(8)In deciding an appeal under this section, [F14the 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.

(9)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.

Textual Amendments

F6Words in s. 12(2) renumbered as s. 12(2)(a) (25.2.2013) by Welfare Reform Act 2012 (c. 5), ss. 102(2)(a), 150(3); S.I. 2013/358, art. 2(2), Sch. 2 para. 37

F7S. 12(2)(b) and preceding word inserted (25.2.2013) by Welfare Reform Act 2012 (c. 5), ss. 102(2)(b), 150(3); S.I. 2013/358, art. 2(2), Sch. 2 para. 37

F12Words in s. 12(7) renumbered as s. 12(7)(a) (25.2.2013) by Welfare Reform Act 2012 (c. 5), ss. 102(4)(a), 150(3); S.I. 2013/358, art. 2(2), Sch. 2 para. 37

Modifications etc. (not altering text)

C15S. 12 applied (with modifications) by 1993 c. 48, s. 170(6) (as substituted (14.6.1999 for specified purposes) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 16(2), 28(3) (with Sch. 8); S.I. 1999/1662, art 2, Sch. (with art. 4))

C16Ss. 12-15 applied (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 4 para. 3(2)(a) (with s. 19)

C17S. 12 applied (with application in accordance with reg. 1(3)(d)(e)(f) of the amending S.I.) by The Social Security (Work-focused Interviews for Lone Parents) and Miscellaneous Amendments Regulations 2000 (S.I. 2000/1926), regs. 1(3), 9

C19S. 12 applied (with modifications) (temp.) (17.12.2002) by The Tax Credits (Appeals) Regulations 2002 (S.I. 2002/2926), regs. 1(1)(2), 4

C20S. 12 applied (with modifications) (25.2.2005) by The Child Trust Funds (Non-tax Appeals) Regulations 2005 (S.I. 2005/191), regs. 1(1), 6

Commencement Information

I1S. 12 in force at 29.11.1999 for specified purposes by S.I. 1999/3178, art. 2(1)(a)(2), Sch. 1 (with art. 4, Schs. 21-23)

I2S. 12(1) in force at 4.3.1999 for specified purposes by S.I. 1999/528, art. 2(a), Sch.

I3S. 12(1)(a)(b)(2)-(9) in force at 5.7.1999 for specified purposes by S.I. 1999/1958, art. 2(1)(b), Sch. 1 (with art. 5, Sch. 12)

I4S. 12(1)(a)(b)(2)-(4)(6)-(9) in force at 6.9.1999 for specified purposes by S.I. 1999/2422, art. 2(c), Sch. 1 (with art. 4, Sch. 14)

I5S. 12(1)(a)(b)(2)-(4)(6)-(9) in force at 5.10.1999 for specified purposes by S.I. 1999/2739, art. 2, Sch. 1 (with art. 3, Sch. 2)

I6S. 12(1)(a)(b)(2)-(4)(6)-(9) in force at 18.10.1999 for specified purposes by S.I. 1999/2860, art. 2(c), Sch. 1 (with art. 4, Schs. 16-18)

I7S. 12(2)(3)(6)(7) in force at 4.3.1999 for specified purposes by S.I. 1999/528, art. 2(a), Sch.

13Redetermination etc. of appeals by tribunal

(1)This section applies where an application is made [F15to 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].

F16(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)If each of the principal parties to the case expresses the view that the decision was erroneous in point of law, [F17the First-tier Tribunal] shall set aside the decision and refer the case for determination by a differently constituted [F18First-tier Tribunal].

[F19(4)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.]

Textual Amendments

Modifications etc. (not altering text)

C16Ss. 12-15 applied (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 4 para. 3(2)(a) (with s. 19)

C22Ss. 13-18 applied (with modifications) by Pension Schemes Act 1993 (c. 48), s. 170(7) (as substituted (14.6.1999 for specified purposes, 5.7.1999 in so far as not already in force) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 16(2), 28(3) (with Sch. 8); S.I. 1999/1662, art 2, Sch. (with art. 4))

C23S. 13 applied (with modifications) (temp.) (17.12.2002) by The Tax Credits (Appeals) Regulations 2002 (S.I. 2002/2926), regs. 1(1)(2), 5

C24S. 13 applied (with modifications) (25.2.2005) by The Child Trust Funds (Non-tax Appeals) Regulations 2005 (S.I. 2005/191), regs. 1(1), 7

Commencement Information

I8S. 13 in force at 5.7.1999 for specified purposes by S.I. 1999/1958, art. 2(1)(b), Sch. 1 (with art. 5, Sch. 12)

I9S. 13 in force at 6.9.1999 for specified purposes by S.I. 1999/2422, art. 2(c), Sch. 1 (with art. 4, Sch. 14)

I10S. 13 in force at 5.10.1999 for specified purposes by S.I. 1999/2739, art. 2, Sch. 1 (with art. 3, Sch. 2)

I11S. 13 in force at 18.10.1999 for specified purposes by S.I. 1999/2860, art. 2(c), Sch. 1 (with art. 4, Schs. 16-18)

I12S. 13 in force at 29.11.1999 for specified purposes by S.I. 1999/3178, art. 2(1)(a)(2), Sch. 1 (with art. 4, Schs. 21-23)

14Appeal from [F20First-tier Tribunal to Upper Tribunal]

F21(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F22(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)F23... an appeal [F24to 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 [F25to 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 F26... (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.

F27(7). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(9). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(10). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(11). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F27(12). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Modifications etc. (not altering text)

C16Ss. 12-15 applied (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 4 para. 3(2)(a) (with s. 19)

C22Ss. 13-18 applied (with modifications) by Pension Schemes Act 1993 (c. 48), s. 170(7) (as substituted (14.6.1999 for specified purposes, 5.7.1999 in so far as not already in force) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 16(2), 28(3) (with Sch. 8); S.I. 1999/1662, art 2, Sch. (with art. 4))

C26S. 14 applied (with modifications) (temp.) (17.12.2002) by The Tax Credits (Appeals) Regulations 2002 (S.I. 2002/2926), regs. 1(1)(2), 6, 7

C27S. 14 applied (with modifications) (25.2.2005) by The Child Trust Funds (Non-tax Appeals) Regulations 2005 (S.I. 2005/191), regs. 1(1), 8, 9

Commencement Information

I13S. 14 in force at 5.7.1999 for specified purposes by S.I. 1999/1958, art. 2(1)(b), Sch. 1 (with art. 5, Sch. 12)

I14S. 14 in force at 6.9.1999 for specified purposes by S.I. 1999/2422, art. 2(c), Sch. 1 (with art. 4, Sch. 14)

I15S. 14 in force at 5.10.1999 for specified purposes by S.I. 1999/2739, art. 2, Sch. 1 (with art. 3, Sch. 2)

I16S. 14 in force at 18.10.1999 for specified purposes by S.I. 1999/2860, art. 2(c), Sch. 1 (with art. 4, Schs. 16-18)

I17S. 14 in force at 29.11.1999 for specified purposes by S.I. 1999/3178, art. 2(1)(a)(2), Sch. 1 (with art. 4, Schs. 21-23)

I18S. 14(3)(10)(11) in force at 4.3.1999 for specified purposes by S.I. 1999/528, art. 2(a), Sch.

15[F28Applications for permission to appeal against a decision of the Upper Tribunal]

F29(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F29(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)[F30An 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)a person who, before the proceedings before the [F31Upper Tribunal] were begun, was entitled to appeal to the [F31Upper Tribunal] from the decision to which the [F32Upper Tribunal’s] decision relates;

(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 [F33permission];

F34...

F35(4). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F35(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

Modifications etc. (not altering text)

C16Ss. 12-15 applied (5.10.1999) by Tax Credits Act 1999 (c. 10), s. 20(2), Sch. 4 para. 3(2)(a) (with s. 19)

C22Ss. 13-18 applied (with modifications) by Pension Schemes Act 1993 (c. 48), s. 170(7) (as substituted (14.6.1999 for specified purposes, 5.7.1999 in so far as not already in force) by Social Security Contributions (Transfer of Functions, etc.) Act 1999 (c. 2), ss. 16(2), 28(3) (with Sch. 8); S.I. 1999/1662, art 2, Sch. (with art. 4))

Commencement Information

I19S. 15 in force at 5.7.1999 for specified purposes by S.I. 1999/1958, art. 2(1)(b), Sch. 1 (with art. 5, Sch. 12)

I20S. 15 in force at 6.9.1999 for specified purposes by S.I. 1999/2422, art. 2(c), Sch. 1 (with art. 4, Sch. 14)

I21S. 15 in force at 5.10.1999 for specified purposes by S.I. 1999/2739, art. 2, Sch. 1 (with art. 3, Sch. 2)

I22S. 15 in force at 18.10.1999 for specified purposes by S.I. 1999/2860, art. 2(c), Sch. 1 (with art. 4, Schs. 16-18)

I23S. 15 in force at 29.11.1999 for specified purposes by S.I. 1999/3178, art. 2(1)(a)(2), Sch. 1 (with art. 4, Schs. 21-23)

I24S. 15(2)(3) in force at 4.3.1999 for specified purposes by S.I. 1999/528, art. 2(a), Sch.

[F3615A.Functions 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 F37... a written report, based on the cases coming before the First-tier Tribunal, on the standards achieved by the Secretary of State F37... in the making of decisions against which an appeal lies to the First-tier Tribunal.

(3)The Lord Chancellor shall publish the report.]

Textual Amendments

Modifications etc. (not altering text)