[2009] NISSCSC C17_08_09(DLA) (22 May 2009)
Decision No: C17/08-09(DLA)
Background
(i) failing to deal with the issue that the appellant lacked motivation to prepare a cooked main meal for himself;
(ii) failing to give reasons for rejecting the appellant's evidence, both oral and written that he required attention in connection with his bodily functions such argument including a submission that the appeal tribunal misinterpreted relevant medical evidence.
Proceedings before the Social Security Commissioner
(i) the tribunal did not give adequate reasons for finding that the appellant did not require continual supervision from another person to prevent substantial danger to himself; and
(ii) the tribunal failed in its inquisitorial function.
(a) reject the submission concerning motivation and misinterpretation of the available medical evidence;
(b) reject the submission that the appeal tribunal did not adequately explain its reasons in connection with continual supervision;
(c) indicate that if the reasons as a whole are read and, in context, it is clear that the appeal tribunal had considered the issue of panic attacks.
'Leave to appeal is granted as an arguable issue arises as to the extent to which the appeal tribunal exercised its inquisitorial function, in line with the principles in Mongan v Department for Social Development.'
Errors of law
"(i) making perverse or irrational findings on a matter or matters that were material to the outcome ('material matters');
(ii) failing to give reasons or any adequate reasons for findings on material matters;
(iii) failing to take into account and/or resolve conflicts of fact or opinion on material matters;
(iv) giving weight to immaterial matters;
(v) making a material misdirection of law on any material matter;
(vi) committing or permitting a procedural or other irregularity capable of making a material difference to the outcome or the fairness of proceedings; …
Each of these grounds for detecting any error of law contains the word 'material' (or 'immaterial'). Errors of law of which it can be said that they would have made no difference to the outcome do not matter."
The error of law in the present case
'… a person shall be entitled to the care component of a disability living allowance for any period throughout which –
(a) he is so severely disabled physically or mentally that –
(i) he requires in connection with his bodily functions attention from another person for a significant portion of the day (whether during a single period or a number of periods); or
(ii) he cannot prepare a cooked main meal for himself if he has the ingredients; or
(b) he is so severely disabled physically or mentally that, by day, he requires from another person -
(i) frequent attention throughout the day in connection with his bodily functions; or
(ii) continual supervision throughout the day in order to avoid substantial danger to himself or others; or
(c) he is so severely disabled physically or mentally that, at night, -
(i) he requires from another person prolonged or repeated attention in connection with his bodily functions; or
(ii) in order to avoid substantial danger to himself or others he requires another person to be awake for a prolonged period or at frequent intervals for the purpose of watching over him.
'Prompting and motivation
18. Before us, the Secretary of State conceded that, as submitted on behalf of the claimant, prompting and motivating are capable of constituting attention in connection with an impaired bodily function within the meaning of section 72(a)(i) (and also section 72(c)(i), which is in substantively the same terms). We consider that concession properly made.
19. "Attention" has in this context been the subject of substantial consideration by the higher courts. In Mallinson (at page 637B), Lord Woolf approved and strongly commended the following from the judgment of Dunn LJ in Packer's Case:
"The word 'attention' itself indicates something more than personal service, something involving care, consideration and vigilance for the person being attended. The very word suggests a service of a close and intimate nature. And the phrase 'attention … in connection with … bodily functions' involves to my mind some service involving personal contact carried out in the presence of the disabled person."
Some comment on this passage might be helpful.
20. First, in addition to this passage from Dunn LJ's judgment in Packer's Case, Lord Woolf also referred to Moran v Secretary of State for Social Services (reported as an Appendix to R(A) 1/88), in which Nicholls LJ characterised "attention" as denoting "a concept of some personal service of an active nature", as opposed to supervision which is a state of passivity coupled with a readiness to intervene. This characteristic – activeness – therefore has to be added to "care, consideration and vigilance".
21. Second, Lord Woolf (at page 637B) added one important caveat to the comments of Dunn LJ, namely that the "contact" need not be physical contact; and he held, on the facts of the case before him, that contact by spoken word can amount to "attention in connection with bodily functions". However, this was no more than a marker that simply talking to someone is capable of amounting to such attention. Whether it has the requisite proximity (in terms of "care, consideration and vigilance", and activeness) will depend upon the facts of the specific case.
22. Third, in Mallinson Lord Woolf gave the majority judgment. In Cockburn, Lord Slynn approved and followed Lord Woolf's approach. In respect of both of the individual cases before him, Lord Slynn said that the relevant test was whether what was done had "the active, close, caring, personal qualities referred to by Lord Woolf" (at pages 814C–D and 818E). This test – does the service provided have sufficient active, close, caring and personal characteristics to constitute "attention" – has consequently had the further endorsement of the House of Lords.
23. Fourth, when Dunn LJ referred to attention conveying "more than personal service", he appears not to have been setting a specifically high level for the "personal" nature of the relevant service. We agree with Mr Collins, that in the context of that case he appears to have been saying simply that it means more than personal domestic service such as cooking and cleaning. It is noteworthy that, towards the end of his judgment (at page 1026H), O'Connor LJ found that "cooking is too remote from the proximity that 'attention … in connection with [a] bodily function' necessarily requires".
24. Indeed, we do not consider it helpful to describe the hurdle to be overcome by a claimant in this regard in terms of being "high" or indeed "low". Lord Bridge in Woodling (at page 352) said that "a high degree of physical intimacy between the person giving and the person receiving the attention" is required; but this has not been endorsed subsequently as setting a peculiarly high hurdle, and we do not consider it to be anymore than an indication that a real degree of proximity will be required. We do not consider that Dunn LJ in Packer's Case suggested more.
25. Where the line should be drawn is a matter of fact and degree for decision-makers and tribunals to decide, on the approach advocated by Mallinson and Cockburn. However, the cases give some guidance as to the proximity that will be sufficient. In Mallinson itself, Lord Woolf found that guiding a blind person has the requisite "active and the close, caring, personal qualities" to amount to attention for the purposes of section 72(1)(a) (at page 639C). In Cockburn (at page 814), in relation to Miss Fairey's case, Lord Slynn considered that "providing interpretation by sign language (which involves personal communication between two people even if the message is at the same time by the making of signs communicated to others) has sufficiently "the active and the close, caring, personal qualities referred to in the authorities (per Lord Woolf in the Mallinson case [at page 639]) as to constitute attention for the purposes of the Act. The provision of an 'interpreter' to use sign language is therefore capable of providing 'attention' within the meaning of the section." The same has been held to apply to the use of an interpreter for a prelingually deaf claimant in comprehending and responding to written documents (R(A) 1/03).
26. On the basis of the approach advocated in Mallinson and Cockburn (and the illustrations of application of that approach in the cases to which we have referred), and the proposition that "bodily functions" includes the functions of the brain (see paragraphs 13–17 above), as was common ground before us, we consider that prompting and motivating are capable of constituting attention in connection with an impaired bodily function.
27. Simple apathy of course will not entitle a claimant to DLA. Although we would not have phrased it in the same terms, we believe that this is what Mrs Commissioner Parker meant when she said in an earlier appeal relating to this same claimant, CSDLA/190/2004: "It must of course be the claimant's mental disablement which causes the lack of motivation and not, for example, a character defect." (...). But where a claimant suffers from a condition which has as a component a lack of motivation which exhortation from another is able to overcome, then we agree with Mrs Commissioner Parker (at paragraph 15 of that decision) that this is capable of constituting attention with bodily functions. Although any case will depend upon its own facts – and, where a child is the claimant, the provisions of section 72(6)(ii) will apply, so that only if the child's requirements are substantially in excess of the normal requirements of a child of his or her age will the conditions of section 72(1)(a)(ii) be satisfied – we are firmly of the view that such services are at least capable as a matter of law of having the requisite active, close, caring and personal characteristics to amount to attention within the meaning of section 72.'
'In the light of the views expressed in the decisions to which … has referred, it must be accepted that "encouragement" to perform relevant functions may constitute attention for the purposes of establishing entitlement to disability living allowance. I would point out, however, that the mere proof of the provision of such encouragement of the stipulated duration or frequency, will not, in itself, be sufficient to establish entitlement to the care component. As well as being related to physical or mental disability the attention in question must in all cases be "reasonably required"; and it seems to me that this matter is of particular importance where attention by way of "encouragement" is concerned. In my view such attention ought not to be accepted as being reasonably required unless it is established that, without it, the claimant would probably not perform the bodily function in question, and that, in consequence, his or her general health or well-being would to some significant extent be adversely affected.'
' … the record of the Tribunal's decision gives no indication that the Tribunal was aware that a requirement for reassurance, encouragement or motivation can be accepted as attention in connection with bodily functions … I consider that it is appropriate to quote the former Chief Commissioner in his decision C46/96(DLA) … at paragraph 5 where he emphasised that "encouragement" is only relevant if it is not only given but also "reasonably required".'
'In this connection the Tribunal should pay particular attention to decision C46/96(DLA) … It is only attention in connection with bodily functions which can qualify. General unfocused encouragement in the form of "pep talks" etc. is unlikely to fall within this category. As the Chief Commissioner said encouragement may constitute attention of the relevant type but it does not necessarily do so. It depends on the question of whether or not the encouragement is attention in connection with bodily functions and whether it is reasonably required. What is involved in the encouragement is, therefore, likely to need detailed exploration to establish if it does constitute attention in connection with bodily functions.'
'In your opinion, is the patient's mental state such that they require prompting, motivation or encouragement to prevent the risk of self-neglect or self-harm? If so, please give details below. (Only include those tasks, which cannot be performed without such prompting, motivation or encouragement.)'
'Over recent years this [] been the case but therapy & family support have helped.'
'In the medical report dated 29.08.06, [Dr Mc…] stated that over recent years (the claimant) would have required encouragement with self-care, however they indicated that this was no longer the case, stating that family support and therapy have helped.'
'For the purposes of assessing the Appellant's care capabilities, the report of [Dr Mc…], dated 29.08.2006 is very significant … Of greatest significance, however, is the clear, unambiguous statement from his General Practitioner that the Appellant does not require prompting, motivation of [sic] encouragement to prevent the risk of self-harm or self-neglect. The General Practitioner stated that such encouragement would have been required in the past but that therapy and family support had now helped.'
'For the purposes of assessing the Appellant's mobility capabilities, the report of [Dr Mc…], dated 29.08.2006 is very significant … Of greatest significance, however, is the clear, unambiguous statement from his General Practitioner that he is not aware of the Appellant requiring any attention and/or supervision (which can include reassurance, encouragement or cajoling) from another person to enable the Appellant to get around in unfamiliar surroundings most of the time.'
In the Factual Report, there is an additional Question 8, which reads as follows:
'Are you aware of any attention and/or supervision (which can include reassurance, encouragement or cajoling) required from another person to enable the patient to get around in unfamiliar surroundings, most of the time?'
'No'
'The Appellant asked whether the Tribunal had a report from his psychiatrist. The Chairman noted that the Appellant had asked the Department, in his appeal document, to speak to his psychiatrist. He pointed out that the Tribunal was entirely independent of the Department, but it appeared that the Department had not sought a report from his psychiatrist. The Chairman asked whether the Appellant wished to adduce a report from his psychiatrist, while pointing out that the Tribunal had the entirety of his General Practitioner records before it and that the Appellant had had an opportunity to peruse those records. The Appellant stated that he wished to proceed with the hearing of his appeal. [The Tribunal presumes that the Appellant's reference to a 'psychiatrist' is, in fact, the clinical psychologist referred to by his General Practitioner in his letter dated 16.10.2006].'
67. 'Regulation 51 of the Social Security (Decisions and Appeals) Regulations (Northern Ireland) 1999, as amended, permits the adjournment of an appeal tribunal hearing. Requests for adjournments may be made by a party to the proceedings, or may be of the own motion of the appeal tribunal, if the appeal tribunal feels that such an adjournment is necessary. A simple reading of the regulation might imply that there is either (i) a request for an adjournment emanating from the appellant, or his representative, in order to enable the appellant to obtain additional evidence, or (ii) a decision by the appeal tribunal that it will adjourn for it to obtain additional evidence. In practice, however, a third routine procedure exists – the appellant or his representative, where relevant, makes an application and persuades the appeal tribunal to adjourn of its own motion and direct the production of additional evidence.
68. In the present case, it is clear that the appellant, or his representative, could have made an application for an adjournment, for the purposes of them obtaining additional medical evidence and, in so doing, indicated that such additional evidence was necessary. The appellant and his representative failed to make such an application.
69. Although it has the legislative power to do so there is no requirement for an appeal tribunal to adjourn a hearing, of its own motion, in order to obtain additional medical evidence, either because it has decided that such evidence is necessary or has been persuaded to that effect by the appellant. Appeal tribunals should, of course, consider critically the issue of adjournment. The appeal tribunal should first ask whether the evidence to be obtained is necessary and if so whether it is likely to assist in determining the matter when the case comes back. The precise nature and relevance of the additional evidence should be identified. Only if the evidence is material to the issues arising in the appeal, and not presently available to the appeal tribunal, should an adjournment to obtain that evidence be considered. Appeal tribunals should also take into account the opportunity which the parties have had to obtain the evidence, the need to avoid delays to others and whether there is a reasonable prospect of obtaining the evidence. A conflict of evidence between parties may not necessarily be resolved by seeking further evidence. Rigorous evaluation of the available evidence to resolve the conflict is often more appropriate.
70. Additionally, it should not be assumed that because an appeal tribunal gives a direction as to evidence it will be supplied. Some thought should also be given to how long the delay might be in obtaining evidence, especially in relation to medical reports which may not be given priority by medical practitioners. Consideration should also be given to the person who will take responsibility for (i) obtaining the evidence and (ii) preparing the evidence.
71. In summary, adjournments for further evidence require very careful consideration to determine whether they are really needed and, if so, whether they will achieve the intended outcome of providing the additional evidence needed.'
(i) the serious ambiguity which existed in respect to the available medical evidence relating to a live issue before the appeal tribunal, namely whether the appellant had a reasonable requirement for motivation, encouragement or prompting to attend to his bodily functions and/or prepare a cooked main meal for himself; and
(ii) the fact that the appellant was unrepresented;
the appeal tribunal should have been more proactive in its consideration of whether an adjournment was appropriate. I am in agreement with Mr Breslin when he submits that had the appellant had representation before the appeal tribunal, the application for an adjournment would have been made in a more rigorous manner, and, more than likely, would have been acceded to.
Disposal
(signed) K Mullan
Commissioner
22 May 2009