[2004] UKSSCSC CSIB_598_2004 (22 December 2004)
THE SOCIAL SECURITY COMMISSIONERS
Commissioner's Case No: CSIB/598/04
SOCIAL SECURITY ACT 1998
APPEAL FROM THE APPEAL TRIBUNAL UPON A QUESTION OF LAW
COMMISSIONER: L T PARKER
Oral Hearing
Appellant: Respondent: Secretary of State
Tribunal: Glasgow Tribunal Case No:
DECISION OF SOCIAL SECURITY COMMISSIONER
Decision
The issues
Statutory provisions
"171C.—(1) Where the own occupation test is not applicable, or has ceased to
apply, in the case of a person, the question whether the person is capable or incapable
of work shall be determined in accordance with a personal capability assessment.
(2) Provision shall be made by regulations–
(a) defining a personal capability assessment by reference to the extent to which
a person who has some specific disease or bodily or mental disablement is
capable or incapable of performing such activities as may be prescribed;
(b) as to the manner of assessing whether a person is, in accordance with a
personal capability assessment, incapable of work."
Initially, the test for incapacity for work, once the own occupation test was no longer applicable, was called the all work test (AWT). Substitution of the new term, "personal capability assessment", in s.171C was effected from 3 April 2000 by section 61 of the Welfare Reform and Pensions Act 1999.
"24. For the purposes of section 171C(2)(a) of the Contributions and Benefits Act
the personal capability assessment is an assessment of the extent to which a person
who has some specific disease or bodily or mental disablement is capable of performing the activities prescribed in the Schedule, or is incapable by reason of such disease or bodily or mental disablement of performing those activities.
25.—(1) For the purposes of section 171C(2)(b) of the Contributions and Benefits
Act a person is incapable of work in accordance with the personal capability assessment when one or more of the descriptors in Part I or Part II apply to him if, by adding the points listed in column (3) of the Schedule against the descriptor, he obtains a total score of at least—
(a) 15 points in respect of descriptors specified in Part I; or
(b) 10 points in respect of descriptors specified in Part II; or
(c) 15 points in respect of descriptors specified in Parts I and II.
…
"…
3. Sitting in an upright chair with a back, but no arms. |
3(a) Cannot sit comfortably (b) Cannot sit comfortably for more than 10 minutes without having to move from the chair because the degree of discomfort makes it impossible to continue sitting |
15 15 |
(c) Cannot sit comfortably for more than 30 minutes without having to move from the chair because the degree of discomfort makes it impossible to continue sitting | 7 | |
(d) Cannot sit comfortably for more than 1 hour without having to move from the chair because the degree of discomfort makes it impossible to continue sitting. | 3 | |
(e) Cannot sit comfortably for more than 2 hours without having to move from the chair because the degree of discomfort makes it impossible to continue sitting. | 0 | |
(f) No problem with sitting. | 0 | |
6. Bending and Kneeling | 6(a) Cannot bend to touch his knees and straighten up again | 15 |
(b) Cannot either, bend or kneel, or bend and kneel as if to pick up a piece of paper from the floor and straighten up again. | 15 | |
(c) Sometimes cannot either, bend or kneel, or bend and kneel as if to pick up a piece of paper from the floor and straighten up again. | 3 | |
(d) No problem with bending or kneeling | 0 |
Background
"Sitting in a chair
We need to know if you have any difficulties sitting comfortably in a chair.
By sitting comfortably we mean without having to move from the chair because the degree of discomfort makes it impossible to continue sitting.
By chair we mean an upright chair with a back, but no arms.
Please tick the first statement that applies to you. Tick one box only."
The appellant ticked the box which read, "I cannot sit comfortably for more than 30 minutes, without having to move from the chair".
"Bending or kneeling
We need to know if you have any difficulties bending or kneeling.
We mean bending or kneeling from a standing position not from sitting.
By bending or kneeling we mean you can do the activity either by bending or by kneeling or by a combination of both.
Please tick the first statement that applies to you. Tick one box only.
The appellant ticked the box, "I cannot bend to touch my knees and straighten up again".
"More information
Please use the space below to tell us anything else you think we may need to know about the difficulties you have, sitting in a chair, getting up from a chair and bending or kneeling. In particular you should tell us about any pain or tiredness you feel while doing or after doing these sorts of things. Also tell us if it varies from day-to-day."
The appellant amplified the problems he had both with sitting in a chair and in relation to bending or kneeling.
"Physiotherapy and on-going therapy could lead to significant improvement of back pain in 6 months time."
(The appellant was at that time on brufen).
"Sat comfortably 15 min
Rose by not holding on
Bent to pick bag from floor".
The relevant features of MA2's clinical examination were recorded as follows:
"No lumbar deformity
Tender (R) side L. spine
Flexion to mid shin
Fully squatted
No muscle wasting".
MA2 then concluded:
"Exam not consistent with choice of descriptor."
The tribunal hearing and decision
"… to provide evidence in support of [the appellant's] condition but since his assessment I have only seen him once with the condition that he mentioned and I referred him for further physiotherapy.
Consequently I personally am not in the position to say one way or another whether he is fit and I would be very pleased if someone could assess him again."
"This appeal first came before a tribunal on 04.02.04 when it was adjourned with a direction to the Secretary of State to file the papers relating to the previous Personal Capability Assessment (PCA). The direction was complied with on 05/04/04.
…
… we have concluded that the amendments relevant in this appeal, namely those made in the descriptors relating to sitting and bending and kneeling were ultra vires under the reasoning in Howker … In the event we have concluded on the evidence that [the claimant] would have scored no points under the descriptors in both their original and amended forms for the reasons explained below.
…
The argument put forward on behalf of the appellant in this case is not well developed, however it seems to us that [the appellant's] representative could be making one or more of three possible arguments as follows:
A The effect of the invalidity of the amendments is such as to render ineffective in law the whole of that part of the regulations which relates to the Personal Capability Assessment (PCA). This is in our judgment plainly wrong. Disapplying the amendments (as was explicitly acknowledged in the lead judgment in Howker) has the effect of restoring the original text. This leaves a clear legal basis for applying the PCA (or All Work Test (AWT)). This was the course taken by the Court of Appeal in Howker and Commissioner Jacobs.
B The fact that the process of evidence gathering and the process of reasoning which lead to the decision in the present case were both founded on an erroneous view of the law has the effect that no valid decision has been made. Again we disagree. There is a clear difference between on the one hand an erroneous decision and on the other a purported decision which is in reality no decision at all. In the former case there is amply authority for the proposition that the tribunal has a power and a duty to correct the decision. In the latter it does not. In our judgment the decision under appeal before us clearly falls in the former category. The terms of the decision are clearly expressed, as is the process of reasoning which lead to it. We have no hesitation in concluding that our duty is to make the decision, which the decision maker should have made …
C The process of evidence gathering and decision making was carried out on incorrect legal assumptions, at least in relation to the activities of sitting and bending and kneeling. This means that the wrong questions were asked in the IB50, the medical advisor addressed his mind to the wrong questions, and in turn the decision maker asked the wrong questions and had before him evidence which was inadequate. There is in our view some merit in this much more modest challenge. We accept that the wrong questions were asked and that this impaired both the gathering of evidence and the decision making process. However we have had the opportunity to correct these deficiencies by taking evidence ourselves and applying what is our [sic] judgment the correct law. In particular, we have taken the view that on the facts of the present case there is more than enough appropriate evidence from the examining doctor to enable us to decide whether point scoring descriptors under the original wording of the regulations were satisfied. We concede that there may be cases where this might not be so.
[The claimant] who was born on 26/10/54 claimed National Insurance Credits from 03/04/02 and an award was made on 18/04/02. [The claimant] was examined for the purposes of the PCA on 30/08/02 and on the basis of the medical advisor's report a decision maker did not interfere with the award. The medical advisor found point scoring descriptors satisfied under the headings of sitting, rising from sitting, bending and kneeling, standing, and using stairs. The disabling condition was identified as 'low back pain radiating down back of right thigh'.
[The claimant] completed a further form IB50 on 19/05/03 indicating problems under the headings of sitting, rising from sitting, bending and kneeling, and using stairs … His General Practitioner in an undated report … referred to breathing problems investigated and treated in April 2003 but made no further comment. In particular no reference was made to low back or leg pain. The same Doctor wrote a further short report dated 18/03/04, but again was unable to comment in detail, though he mentioned a referral for further physiotherapy.
He was seen again by a medical advisor 22/07/03 …There were no objective findings relating to back and leg pain, and full range of movement was found in the upper body as well as full power in the upper limbs. [The claimant] was noted to sit comfortably for 15 minutes, to rise without holding on, to pick a bag from the floor, and to move freely during the assessment including taking off a heavy leather coat. It seems improbable that the sitting did occupy the full 15 minutes of the examination; we take from the note that no discomfort in sitting was observed. The medical advisor expressed the opinion that no point scoring descriptors were satisfied and this was accepted by the decision maker.
…
For the reasons listed below we have concluded that the most reliable evidence before us as to the degree of disability is the report of the medical advisor. We accepted and on the basis of it concluded that at the date of decision under appeal [the claimant] did not satisfy any point scoring descriptor. We come to this conclusion for the following reasons:
1. [The claimant] was in our view a highly unpersuasive witness. His oral evidence was at times inconsistent with itself (for example as to the variability of the back condition) and inconsistent with the account given in form IB50. Although [the claimant] says he has become worse our impression was that his oral evidence today was tailored to the circumstances in which he found himself, whereas the IB50 was completed in a more neutral spirit.
2. In both the IB50 and in oral evidence [the claimant] has described a very high level of disability arising from back pain. This is inconsistent in our view with the facts that he has not been referred for specialist investigation, and no strenuous pain killing measures have been attempted. We acknowledge his peptic ulcer would have been a contra indication for some stronger painkillers, but it would not have been for all. While he might have been taken off anti inflammatory drugs we find it improbable that someone suffering from such a severe degree of pain described would have been maintained on a low daily dose of a very low level pain killer, namely paracetamol. Even when coupled with the use of the tens machine.
3. The severe degree of disability described is inconsistent with [the claimant's] evidence today of a substantial amount of regular walking, particular when there is another person in the household able to shop.
4. [The claimant's] GP has completed two reports. In the first he makes no reference at all to back pain. In the second apart from the oblique reference to a referral to physiotherapy he gives no impression that he is conscious of a significant back pain problem. Had [the claimant's] disabilities been anything like he claims we would have expected a clear reference to this from his own GP, who does not appear to be unsympathetic to him. We find it inconceivable that reports of that kind would have been prepared in a case where there was a significant disabling degree of back pain.
5. The report of the medical advisor indicates no objective sign of a significant back condition and, most importantly, no limitation of function.
6. In [the claimant's] oral evidence today, notwithstanding that we have found it exaggerated, he has clearly stated that his difficulties with certain of the descriptors relied on would be minimal. For example, he stated that he would bend over to get something off the floor although he could not kneel to do so. Although he later sought to qualify this evidence, it was initially given without any qualification or reservation.
For these reasons, to the extent that [the claimant's] case is in conflict with the findings of the medical advisor, we reject it. We find that at the date of the decision [the claimant's] score was zero points whether one applies the original or the amended version of the regulations. There was thus in our view ample evidence to conclude that supersession was justified under Regulation 6(2)(g) of the Social Security and Child Support (Decisions and Appeals) Regulations 1999 (the decisions regulations). This conclusion is in no way undermined by the fact that the IB50, the report of the medical advisor, and the decision all applied in relation to two activities the incorrect amended form of the regulations."
Appeal to the Commissioner
"… that the tribunal have failed to explain what account they had taken of that evidence vis a vis the 2nd PCA and the claimant's contention that his condition had not improved. I therefore submit that the tribunal erred in law by failing to give sufficient reasons for their decision."
The oral hearing
My conclusion and reasons
A valid application of the Personal Capability Assessment
"As a matter of principle, on such an appeal the tribunal may make any decision which the officer below could have made on the legal questions properly before that officer. That principle encompasses dealing with new questions so as to reach the right result on an appeal, within the limit that the appeal tribunal has no jurisdiction (in the absence of express legislation to that effect) to determine questions which fall outside the scope of that which the officer below could have done on the proper legal view of the issues before him, by way of a claim or an application or otherwise."
"We agree with the proposition implicit in the submissions of all parties that there may be some decisions made by the Secretary of State which have so little coherence or connection to legal powers that they do not amount to decisions under section 10 at all. In the absence of specific facts, we do not consider it would be helpful here to seek to identify the characteristics which might lead to that conclusion in a particular case, but deal with the general principles below."
"… the question whether the person is capable or incapable of work shall be determined in accordance with a personal capability assessment."
He contends that that was not done in the present case because there was no compliance with the correct legislative terms of the test and therefore the application of the PCA was only a purported one; thus, the subsequent supersession had no connection to the necessary legal powers.
"The appeal tribunal in effect stands in the shoes of the decision maker for the purpose of making a decision on the claim."
Applying the regulations in a way which, in part, is not confirmed by the tribunal, is not a case where a decision maker acts entirely without authority and makes a decision which is not within his remit. It was the DM's function to apply the PCA to the circumstances of the appellant's case and he did so; that the tribunal decided that the DM acted erroneously in law in respect to how he applied it, is nevertheless a decision capable of correction by the tribunal in the usual way.
"Appeal tribunals are part of the adjudication system which is designed to ensure that claimants receive neither more nor less than the amount of social security benefit to which they are properly entitled (as opposed to the benefits to which the parties may be contending that they are entitled). There is a legitimate public interest in ensuring such a result."
What the tribunal quintessentially did in the present appeal was to determine questions fully within "the scope of that which the officer below could have done on the proper legal view of the issues before him" (see my paragraph 24 above).
The effect of a previous satisfaction of the personal capability assessment
"…[t]he earlier reports were themselves based on clinical findings which, in the circumstances of this case, were almost certainly relevant in considering the correctness of the report which the claimant challenged, and on which the supersession decision was based."
"Adequacy can only be judged in the context of the evidence and submissions as a whole. In that context in this case, the reasons given by the chairman were adequate."
Credibility
Conclusion
(signed)
L T PARKER
Commissioner
Date: 22 December 2004