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Making of appeals and applications
     33.  - (1) An appeal, or an application for an extension of time for making an appeal to an appeal tribunal shall be in writing either on a form approved for the purpose by the Secretary of State or in such other format as the Secretary of State accepts as sufficient for the purpose and shall - 

(a) be signed by - 


(i) the person who, under section 20 of the Child Support Act as extended by paragraph 3 of Schedule 4C to that Act, section 11(2) of the 1997 Act or section 12(2), has a right of appeal; or

(ii) where the person in head (i) has provided written authority to a representative to act on his behalf, by that representative;



(b) be sent or delivered to an appropriate office;

(c) contain particulars of the grounds on which it is made; and

(d) contain sufficient particulars of the decision, the certificate of recoverable benefits or the subject of the application, as the case may be, to enable that decision, certificate or subject of the application to be identified.

    (2) In this regulation, "an appropriate office" means - 

(a) in the case of an appeal under the 1997 Act against a certificate of recoverable benefits, the Compensation Recovery Unit of the Department of Social Security at Reyrolle Building, Hebburn, Tyne and Wear, NE31 1XB;

(b) in the case of an appeal against a decision relating to a jobseeker's allowance, an office of the Department of Social Security or of the Department for Education and Employment;

(c) in the case of a contributions decision which falls within Part II of Schedule 3 to the Act, any National Insurance Contributions office;

(d) in the case of an appeal under section 20 of the Child Support Act as extended by paragraph 3 of Schedule 4C to that Act, an office of the Child Support Agency; and

(e) in any other case, an office of the Department of Social Security.

    (3) A form which is not completed in accordance with the instructions on the form - 

(a) except where paragraph (4) applies, does not satisfy the requirements of paragraph (1), and

(b) may be returned by the Secretary of State to the sender for completion in accordance with those instructions.

    (4) Where the Secretary of State is satisfied that the form, although not completed in accordance with the instructions on it, includes sufficient information to enable the appeal or application to proceed, he may treat the form as satisfying the requirements of paragraph (1).

    (5) Where an appeal or application is made in writing otherwise than on the approved form ("the letter"), and the letter includes sufficient information to enable the appeal or application to proceed, the Secretary of State may treat the letter as satisfying the requirements of paragraph (1).

    (6) Where the letter does not include sufficient information to enable the appeal or application to proceed, the Secretary of State may request further information in writing ("further particulars") from the person who wrote the letter.

    (7) Where a person to whom a form is returned or from whom further particulars are requested duly completes and returns the form or sends the further particulars and the form or particulars (as the case may be) are received by the Secretary of State within - 

(a) 14 days of the date on which the form was returned to him by the Secretary of State,

(b) 14 days of the date on which the Secretary of State's request was made ("the date of request"), or

(c) such longer period as the Secretary of State may direct,

the time for making the appeal shall be extended by 14 days from the date the form was returned, the date of request or the date of the Secretary of State's direction, as the case may be.

    (8) Where a person to whom a form is returned or from whom further particulars are requested does not complete and return the form or send further particulars within the period of time specified in paragraph (7) - 

(a) the Secretary of State shall forward a copy of the form, or as the case may be, the letter, together with any other relevant documents or evidence to a legally qualified panel member, and

(b) the panel member shall determine whether the form or the letter satisfies the requirement of paragraph (1), and shall inform the appellant or applicant and the Secretary of State of his determination.

    (9) Where - 

(a) a form is duly completed and returned or further particulars are sent after the expiry of the period of time allowed in accordance with paragraph (7), and

(b) no decision has been made under paragraph (8) at the time the form or the further particulars are received by the Secretary of State,

that form or further particulars shall also be forwarded to the legally qualified panel member who shall take into account any further information or evidence set out in the form or further particulars.

Death of a party to an appeal
     34.  - (1) In any proceedings, on the death of a party to those proceedings (other than the Secretary of State), the Secretary of State may appoint such person as he thinks fit to proceed with the appeal in the place of such deceased party.

    (2) A grant of probate, confirmation or letters of administration to the estate of the deceased party, whenever taken out, shall have no effect on an appointment made under paragraph (1).

    (3) Where a person appointed under paragraph (1) has, prior to the date of such appointment, taken any action in relation to the appeal on behalf of the deceased party, the effective date of appointment by the Secretary of State shall be the day immediately prior to the first day on which such action was taken.

(a) the issue, or one of the issues raised on the appeal relates to - 


(i) incapacity benefit under section 30A of the Contributions and Benefits Act[35];

(ii) industrial injuries benefit under Part V of that Act; or

(iii) severe disablement allowance under section 68 of that Act;



(b) the appeal is made under section 11(1)(b) of the 1997 Act; or

(c) the appeal is made under section 4 of the Vaccine Damage Payments Act.

    (3) An appeal tribunal shall consist of a financially qualified panel member and a legally qualified panel member where - 

(a) the issue raised, or one of the issues raised on appeal or referral, relates to child support or a relevant benefit; and

(b) the appeal or referral may require consideration by members of the appeal tribunal of issues which are, in the opinion of the President, difficult and which relate to - 


(i) profit and loss accounts, revenue accounts or balance sheets relating to any enterprise;

(ii) an income and expenditure account in the case of an enterprise not trading for profit; or

(iii) the accounts of any trust fund.

    (4) Where the composition of an appeal tribunal would fall to be prescribed under both paragraphs (2) and (3), it shall consist of a medically qualified panel member, a financially qualified panel member and a legally qualified panel member.

    (5) Where the composition of an appeal tribunal is prescribed under paragraphs (1), (2) or (3), the President may determine that the appeal tribunal shall include such an additional member drawn from the panel constituted under section 6 as he considers appropriate for the purposes of providing further experience for that additional member or for assisting the President in the monitoring of standards of decision making by panel members.

    (6) An appeal tribunal shall consist of a legally qualified panel member, a medically qualified panel member and a panel member with a disability qualification in any appeal which relates to an attendance allowance or a disability living allowance under Part III of the Contributions and Benefits Act or a disability working allowance under section 129 of that Act.

Assignment of clerks to appeal tribunals: function of clerks
     37. The Secretary of State shall assign a clerk to service each appeal tribunal and the clerk so assigned shall be responsible for summoning members of the panel constituted under section 6 to serve on the tribunal.

    (2) If an appeal or a referral is withdrawn (as the case may be) in accordance with paragraph (1)(a), the clerk to the appeal tribunal shall send a notice in writing to any party to the proceedings who is not present when the appeal or referral is withdrawn, informing him that the appeal or referral (as the case may be) has been withdrawn.

    (3) If an appeal or a referral is withdrawn (as the case may be) in accordance with paragraph (1)(b), the clerk to the appeal tribunal shall send a notice in writing to every party to the proceedings informing them that the appeal or referral (as the case may be) has been withdrawn.

Medical examination required by appeal tribunal
     41. For the purposes of section 20(2) (medical examination required by appeal tribunal) the prescribed condition which must be satisfied is that the issue, or one of the issues, raised on the appeal - 

(a) is whether the claimant satisfies the conditions for entitlement to - 


(i) the care component of a disability living allowance specified in section 72(1) and (2) of the Contributions and Benefits Act;

(ii) the mobility component of a disability living allowance specified in section 73(1), (8) and (9) of that Act;

(iii) an attendance allowance specified in section 64 and 65(1) of that Act;

(iv) a disability working allowance specified in section 129(1)(b) of that Act;

(v) incapacity benefit under section 30A of that Act; or

(vi) severe disablement allowance under section 68 of that Act;



(b) relates to the period throughout which the claimant is likely to satisfy the conditions for entitlement to an attendance allowance or a disability living allowance;

(c) is the rate at which an attendance allowance is payable;

(d) is the rate at which the care component or the mobility component of a disability living allowance is payable;

(e) relates to either statutory sick pay or statutory maternity pay and the appeal is made by the employer concerned;

(f) relates to the extent of a person's disablement and its assessment in accordance with Schedule 6 to the Contributions and Benefits Act;

(g) is whether the claimant suffers a loss of physical or mental faculty as a result of the relevant accident for the purposes of section 103 of the Contributions and Benefits Act;

(h) relates to any disease or injury prescribed for the purposes of section 108 of the Contributions and Benefits Act; or

(i) relates to any payment arising under, or by virtue of a scheme having effect under, section 111 of, and Schedule 8 to, the Contributions and Benefits Act (workmen's compensation).

Non-disclosure of medical advice or evidence
     42.  - (1) Where, in connection with the consideration and determination of an appeal or referral there is before an appeal tribunal medical advice or medical evidence relating to a person which has not been disclosed to him and in the opinion of the chairman, or in the case of an appeal tribunal which has only one member, in the opinion of that member, the disclosure to that person of that advice or evidence would be harmful to his health, such advice or evidence shall not be required to be disclosed to that person.

    (2) Advice or evidence such as is mentioned in paragraph (1) shall not be disclosed to any person acting for or representing the person to whom it relates or, in a case where a claim for benefit is made by reference to the disability of a person other than the claimant and the advice or evidence relates to that other person, shall not be disclosed to the claimant or any person acting for or representing him, unless the chairman, or in the case of an appeal tribunal which has only one member, that member, is satisfied that it is in the interests of the person to whom the advice or evidence relates to do so.

    (3) A tribunal shall not be precluded from taking into account for the purposes of the determination advice or evidence which has not been disclosed to a person under the provisions of paragraph (1) or (2).

Summoning of witnesses and administration of oaths
     43.  - (1) A chairman, or in the case of an appeal tribunal which has only one member, that member, may by summons, or in Scotland, by citation, require any person in Great Britain to attend as a witness at a hearing of an appeal, application or referral at such time and place as shall be specified in the summons or citation and, subject to paragraph (2), at the hearing to answer any question or produce any documents in his custody or under his control which relate to any matter in question in the appeal, application or referral but - 

(a) no person shall be required to attend in obedience to such summons or citation unless he has been given at least 14 days' notice of the hearing or, if less than 14 days' notice is given, he has informed the tribunal that the notice given is sufficient; and

(b) no person shall be required to attend and give evidence or to produce any document in obedience to such summons or citation unless the necessary expenses of attendance are paid or tendered to him.

    (2) No person shall be compelled to give any evidence or produce any document or other material that he could not be compelled to give or produce on a trial of an action in a court of law in that part of Great Britain where the hearing takes place.

    (3) In exercising the powers conferred by this regulation, the chairman, or in the case of an appeal tribunal which has only one member, that member, shall take into account the need to protect any matter that relates to intimate personal or financial circumstances, is commercially sensitive, consists of information communicated or obtained in confidence or concerns national security.

    (4) Every summons or citation issued under this regulation shall contain a statement to the effect that the person in question may apply in writing to a chairman to vary or set aside the summons or citation.

    (5) A chairman, or in the case of an appeal tribunal which has only one member, that member, may require any witness, including a witness summoned under the powers conferred by this regulation, to give evidence on oath or affirmation and for that purpose there may be administered an oath or affirmation in due form.

Confidentiality in child support appeals or referrals
     44.  - (1) In the circumstances specified in paragraph (2), for the purposes of paragraph 7 of Schedule 1 to the Act (President to secure confidentiality), in a child support appeal or referral, the prescribed material is - 

(a) the address of the absent parent; the parent with care; the child; a parent of the child or any other person with care of the child; or

(b) any information the use of which could reasonably be expected to lead to the location of any person specified in paragraph (a).

    (2) Except where the appeal is brought against a reduced benefit direction within the meaning of section 46(11) of the Child Support Act[36], paragraph (1) applies where in response to an enquiry from the Secretary of State, the absent parent or, as the case may be, the parent with care, has within 14 days of issue of that enquiry notified the Secretary of State that he would like the information specified in paragraph (1) which relates to him to remain confidential.

    (3) In this regulation, the expressions "absent parent" and "parent with care" have the meanings those expressions bear in section 54 of the Child Support Act.

Consideration of more than one appeal under section 20 of the Child Support Act
     45. An appeal tribunal which is considering an appeal under section 20 of the Child Support Act in respect of a departure direction[37] which relates to a maintenance assessment may, if it considers it appropriate to do so, consider at the same time any appeal under that section in respect of another departure direction which relates to the same maintenance assessment.

Reinstatement of struck out appeals
     47. A legally qualified panel member may reinstate an appeal which has been struck out in accordance with regulation 46 or regulation 48(2) where - 

(a) the appellant has made representations, or as the case may be, further representations in support of his appeal with reasons why he considers that his appeal should not have been struck out, to the clerk to the appeal tribunal, in writing within one month of the order to strike out the appeal being issued, and the panel member is satisfied in the light of those representations that there are reasonable grounds for reinstating the appeal;

(b) the panel member is satisfied that the appellant did not receive the notification required under regulation 46(4);

(c) the panel member is satisfied that the appeal is not an appeal which may be struck out under regulation 46; or

(d) the panel member is satisfied that notwithstanding that the appeal is one which may be struck out under regulation 46, it is not in the interests of justice for the appeal to be struck out.

Misconceived appeals
     48.  - (1) Where the appellant has been given notice under regulation 46(4) of intention to strike out an appeal on the ground that it is a misconceived appeal that person must within 14 days of the issue of such notice notify the clerk to the appeal tribunal in writing that - 

(a) he wishes the question of whether his appeal is misconceived to be determined by an appeal tribunal as a preliminary issue at an oral hearing, or

(b) he is content for an appeal tribunal to consider the question of whether his appeal is misconceived as a preliminary issue without an oral hearing and make representations in writing to the clerk to the appeal tribunal as to why he considers that the appeal is not misconceived.

    (2) Where the appellant fails to notify or to make representations to the clerk to the appeal tribunal in writing as required in paragraph (1) within the period specified in that paragraph, a legally qualified panel member may strike out the appeal.

    (3) Where the appellant notifies the clerk to the appeal tribunal under paragraph (1) within the period specified in that paragraph that he wishes an appeal tribunal to determine the question of whether his appeal is misconceived as a preliminary issue at an oral hearing, the appeal tribunal shall hold an oral hearing for that preliminary issue.

    (4) Where the appeal tribunal determine as a preliminary issue that the appeal is a misconceived appeal, the appeal shall be struck out and the clerk to the appeal tribunal shall notify the appellant that the appeal is struck out.

    (5) Where the appeal tribunal determine as a preliminary issue that the appeal is not a misconceived appeal - 

(a) the appeal tribunal shall refer the appeal and all the supporting documentation to the Secretary of State together with a statement of the reasons why the appeal tribunal considers that the appeal is not misconceived;

(b) the clerk to the appeal tribunal shall notify the appellant of the referral of the appeal to the Secretary of State and send the appellant a copy of the reasons why the appeal tribunal considers that the appeal is not misconceived;

(c) the Secretary of State may revise or supersede the decision against which the appeal is brought; and

(d) if the Secretary of State does not revise or supersede the decision against the appeal is brought in the appellant's favour, the Secretary of State shall refer the appeal for determination by an appeal tribunal.

    (6) Chapter IV of this Part shall apply to an oral hearing held under this regulation.

[36] Section 46(11) is amended by paragraph 43 of Schedule 7 to the Social Security Act 1998.back

[37] Section 20 of the Child Support Act 1991 as extended by Schedule 4C to that Act applies to an appeal against a departure direction by virtue of section 28H of the Act as substituted by paragraph 39 of Schedule 7 to the Social Security Act 1998.back