Accredited official statistics

ESA: Work Capability Assessments, Mandatory Reconsiderations and Appeals: September 2023

Published 14 September 2023

Applies to England, Scotland and Wales

The latest release of these statistics can be found in the collection of ESA: outcomes of Work Capability Assessments statistics.

This is a summary of the National and Official Statistics on the outcomes of completed Employment and Support Allowance (ESA) Work Capability Assessments (WCA). The publication covers information on both initial and repeat ESA assessments in Great Britain.

This release includes:

• outcomes of initial and repeat ESA WCAs to end of March 2023

• end to end clearance times for initial ESA claims to end of March 2023

• mandatory Reconsideration (MR) information to end of July 2023:
  • (i) number of MR registrations
  • (ii) number of MR decisions
  • (iii) MR outcomes by type of decision
  • (iv) Median MR clearance time
• completed WCA appeal outcomes for initial ESA claims with a start date to June 2022

It should also be noted that Universal Credit (UC) has now replaced income-related ESA for new claimants. The legacy ESA scheme closed to new claimants in January 2021. New Style ESA is a contributory based benefit open to eligible claimants.

In some circumstances, UC can be claimed alongside New Style ESA. Where both benefits are claimed together, Work Capability Assessments are led through the UC claim and outcomes then applied to both benefits. We are not able to report these joint WCA outcomes in our statistics.

On 8 June 2023, the department published a new quarterly official statistical series for UC Work Capability Assessment statistics. The release of these statistics coincides with the ESA WCA publication.

1. Main stories

The statistics show:

• in the quarter to March 2023, the number of completed ESA WCAs with a DWP decision was 25,000, a 7% increase from the previous quarter to December 2022

• of the total number of ESA WCAs completed in the quarter to March 2023, 90% were initial WCAs (22,000) and 10% were repeats (2,600)

• in the quarter to March 2023 the majority of DWP decisions for initial ESA WCAs resulted in a Support Group (SG) award (65%)

• the number of monthly registered MRs relating to an ESA WCA decision has remained low, standing at 200 in the month to July 2023

• the median time taken to clear MRs in the month to July 2023 was 37 calendar days

• the median end-to-end clearance time for initial ESA WCAs was 112 working days in March 2023, a reduction from 117 working days in December 2022

2. What you need to know

The sources of the statistics are:

• DWP’s benefit administration datasets including MR data

• healthcare provider assessment data

• HM Courts and Tribunals Service (HMCTS) appeals data for completed appeals

Information based on Date of Decision is reported up to 6 months prior to the publication. The delay is 9 months for the presentation of data by Date of Claim, which allows time for most customer journeys to be completed and the information presented to accurately reflect this journey.

All figures in this release have been rounded according to DWP rounding policy, as detailed in section 11.

COVID-19 operational easements

Figures for this release reflect the disruptions caused by the Coronavirus (COVID‑19) pandemic, which has led to changes to operational procedures.

DWP temporarily suspended face-to-face health assessments from 17 March 2020 while paper-based assessments continued, and telephone assessments were introduced from 7 May 2020.

Initially only SG outcomes were possible, the full range of outcomes were subsequently phased in with all of them available from February 2021.

Face-to-face assessments were resumed in May 2021, and they now take place alongside paper-based assessments (whenever possible), telephone assessments and a small number of video assessments. For more information of operational easements see the background information note.

The typical customer journey

1. Claimant registers for ESA - payment issued at assessment rate.

2. Claimant referred for WCA and completes a “Capability for Work” questionnaire.

3. If paper evidence allows, the Assessment Provider (AP) carries out a paper-based assessment. If not, claimant is asked to attend a face-to-face, a telephone or a video assessment.

4. Following assessment, AP provides recommendation to DWP.

5. DWP makes a decision based on all of the available evidence, including the AP recommendation. Those found eligible for ESA are either:

• found to have Limited Capability for Work (LCW) also known as the Work Related Activity Group (WRAG), which means they are offered support in preparing for work

• found to have Limited Capability for Work and Work Related Activity (LCWRA), also known as the Support Group (SG), where they are unable to work or complete work related activity

6. Those found to be Fit for Work (FfW) are not eligible for ESA.

7. If the claimant disagrees with DWP’s decision, then depending on the nature of the decision they will either: (i) have to request an MR (before they can appeal); or (ii) be able to appeal straightaway.

Note: As a result of a High Court decision in July 2020, MR has been discontinued for any claimant who, having been found Fit for Work (FfW) following a WCA would, if they appealed, be paid ESA pending the outcome of that appeal. This is known as Payment Pending Appeal (PPA). Not all claimants qualify, and it applies only to Fit for Work disallowance decisions, not decisions such as disallowance due to Failure to Return a Questionnaire or Failure to Attend a WCA.

3. Volumes of completed initial and repeat Work Capability Assessments

Most individuals who make a claim for ESA will have a Work Capability Assessment (WCA). The WCA determines whether a person has limited capability for work and therefore eligibility for the benefit.

Both new (initial) and existing (repeat) ESA claimants have these assessments:

• initial assessments refer to the first assessment of the ESA claim

• repeat assessments refer to subsequent assessments

Read more about Employment and Support Allowance.

In the quarter to March 2023 the number of initial assessments was 22,000 and the number of repeat assessments was 2,600.

Quarterly volumes of completed assessments by type of assessment, December 2008 to March 2023

Source: Stat-Xplore: ESA Work Capability Assessments under ESA WCA by Completed Assessment.

The composition of ESA, numbers and types of assessments has changed over time. The key features are that:

• from 2008, as ESA was a new benefit, many assessments were initial claims, or related to claimants who were migrated from Incapacity Benefit (IB)

• from January 2014 repeat assessments were suppressed in order to manage priorities

• repeat assessments were reintroduced in December 2015

• in the quarter to March 2017, completed ESA WCAs reached a peak of 270,000

• the introduction of UC from December 2018 greatly changed volumes of ESA

• the suspension of face-to-face assessments in March 2020 in response to the COVID-19 pandemic adversely impacted DWP’s ability to complete assessments

• face-to-face assessments were resumed in May 2021

• in the latest quarter to March 2023 there were 25,000 completed assessments recorded, a 7% increase when compared to the previous quarter to December 2022

• of the total number of ESA WCAs completed in the quarter to March 2023, 90% were initial WCAs (22,000) and 10% were repeats (2,600)

4. Work Capability Assessment Outcomes

After the work capability assessment, claims can be placed into one of three outcome categories:

1. ESA Work Related Activity Group (where the claimant has been found to have LCW and is required to undertake and participate in work related activity to help them move towards the labour market).

2. ESA Support Group (where claimant has been found to have LCWRA and is therefore not required to undertake any interviews or work related activity).

3. Fit for work and therefore no longer entitled to ESA.

Assessment outcomes are based on the DWP decision following the Assessment Provider (AP) recommendation.

65% of initial WCA decisions resulted in a Support Group outcome in the quarter to March 2023.

Quarterly outcomes of initial WCA assessments December 2008 to March 2023 (Percentages)

Source: Stat-Xplore: ESA Work Capability Assessments under ESA WCA by Completed Assessment

Over time, the proportion of initial ESA WCA assessments with FfW outcomes has been falling and the proportion with a SG outcome has been rising.

In the quarter to March 2023, the percentage of DWP decisions for initial WCAs falling into each outcome category was:

• 65% of outcomes for Support Group

• 13% of outcomes were for Work Related Activity Group

• 22% of outcomes were found Fit for Work

Quarterly outcomes for initial and repeat WCAs December 2008 to March 2023

Source: Stat-Xplore: ESA Work Capability Assessments under ESA WCA by Completed Assessment

• between 2008 and August 2013 FfW was the most common outcome for initial claims. After that, SG outcomes have been more common

• initially WRAG was the most common outcome for repeat claims, until October 2012. Since then, SG outcomes have been more common

In the quarter to March 2023, the percentage of DWP decisions for repeat WCAs falling into each outcome category was:

• 82% of outcomes for Support Group

• 14% of outcomes were for Work Related Activity Group

• 3% of outcomes were found Fit for Work

65% of decisions on initial assessments resulted in a Support Group outcome in the latest quarter. On repeat assessment decisions 82% resulted in a Support Group outcome

5. ESA WCA Mandatory Reconsideration registrations, clearances, and clearance times

Mandatory Reconsiderations were introduced in 2013 and if customers disagreed with a decision, they could formally ask DWP to look at it again.

The number of monthly MR registrations remains low and stands at 200 in July 2023.

Mandatory Reconsiderations: Registrations and clearances, October 2013 to July 2023

Source: Stat-Xplore: ESA Work Capability Assessments under Mandatory Reconsiderations – Registrations and Mandatory Reconsideration – Clearances

By the end of July 2023, a cumulative total of 860,000 MRs have been registered. Of these, 99.5% have been cleared. The number of MR registrations and clearances within each month fluctuate over time:

• the number of MR registrations and clearances gradually increased between April 2013 and March 2017 as volumes of ESA claimants increased

• the number of monthly MR registrations peaked in March 2017 at 22,000 but have since followed a downward trend

• since May 2020 the number of MRs registered each month has remained low (below 500)

• there were 200 MR registrations and 200 MRs cleared in the latest month, July 2023

The number of ESA WCA MR registrations and clearances should be seen in context. Firstly, a decrease of ESA claims as UC has rolled out. Secondly, the changing composition of assessment outcomes over time. Thirdly, the effect of the COVID-19 pandemic. Finally, in some circumstances, claimants can now make an appeal without applying for an MR beforehand.

In these statistics, all reconsiderations occurring after the WCA are counted as MRs. For more information on the definition of MR see section 11 of this release and the methodology note.

In July 2023 the monthly median clearance time for ESA WCA MRs was 37 days.

Mandatory Reconsiderations monthly median clearance times (calendar days), December 2013 to July 2023

Source: Stat-Xplore: ESA Work Capability Assessments under Mandatory Reconsideration – Clearances

MRs were introduced in October 2013. The median average time taken to clear MRs peaked shortly after to stand at 37 calendar days in May 2014. MR clearance times have significantly decreased from their peak, and typically range from 4 to 16 days.

Since January 2020 the monthly median clearance times have fluctuated but had not risen above 15 days until July 2022 where the median clearance was 18 days. Operational changes since July 2022 have impacted MR clearance times. The monthly median clearance time was 37 days in July 2023, an increase from April 2023 (10 days).

It should be noted that clearance times since May 2020 are based on very low numbers of MRs.

The MR average clearance time is derived using calendar days by calculating the median of the time taken from the date the Benefit Centre (BC) has decided the MR to be valid, having considered any new information, until the date the decision is cleared by the decision maker at the Dispute Resolution Team (DRT). These dates are obtained from the DWP Decision Making and Appeals Case Recorder (DMACR) reporting system. The total clearance time therefore includes the time taken to transfer the case to DRT.

6. ESA WCA Mandatory Reconsiderations outcomes

At the MR stage, there are multiple outcomes that refer to whether the Decision Maker (DM) chooses to revise the decision under dispute:

• ‘Not Revised’ – the decision the claimant is questioning has not been changed

• ‘Revised – the DM has changed the decision

• ‘Withdrawn’– the claimant has chosen to remove their MR request

In the month to July 2023, 56% of the ESA WCA decisions going to MR were revised.

Monthly percentages of ESA WCA Mandatory Reconsideration by outcome, October 2013 to July 2023

Source: Stat-Xplore: ESA Work Capability Assessments under Mandatory Reconsideration – Clearances

From October 2013 to October 2019, more than half of requests to reconsider ESA WCA outcomes were not revised at MR stage. Since then, the proportion of assessment outcomes where the award changed (due to a revised MR) gradually increased, with some fluctuation. The proportion of MR decisions resulting in a change in award rose from 53% in February 2020 to 81% in April 2020, reflecting the new operational approaches as well as COVID-19 impact.

Since May 2020 approximately two thirds of MR decisions led to a change in award (the number of MRs registered and cleared each month has remained below 500). In the month to July 2023, 56% of ESA WCA decisions going to MR were consequently revised. The increase in the proportion of revised decisions since 2019 should be seen in context with the large reduction in MRs, new operational approaches to gather additional oral and written evidence at the MR stage, as well as the changing composition of WCA decisions influenced by a number of factors. This includes the introduction of UC replacing income-related new claims to ESA.

More than half of ESA WCA MR decisions in the quarter to July 2023 were made on disputes about ESA group allocations.

Mandatory Reconsiderations: Proportions of decision reasons and outcomes for the quarter ending July 2023

Decision reason	Proportion of all decisions	(Of which had a “revised” outcome)	(Of which had a “not revised” outcome)
Customer disputes ESA group allocations	52%	48%	53%
Customer disputes FFW decision	43%	69%	29%
Customer failed to attend WCA, provide medical evidence or return questionnaire	4%	-	-
Others/Unknown	0%	0%	0%

Source: Stat-Xplore: ESA Work Capability Assessments under Mandatory Reconsideration – Clearances

Note that percentages may not sum to 100% due to rounding. In addition, proportions are not given for the “Customer failed to attend WCA…” for the revised/not revised breakdown, where the overall number of MRs for this reason is low. This has been done because the disclosure control applied to the data could cause a misleading representation when calculating percentages.

In the quarter ending July 2023, approximately 52% of MR decisions were made on disputes on ESA group allocation. Out of these, 48% of decisions made were revised in favour of the claimant.

43% of MR decisions were made on disputes against FfW decisions and 4% related to disputes where the claimant had not followed the claim procedures correctly.

7. Appeals clearances and outcomes for initial ESA claims which started up to June 2022

The claimant can dispute a DWP decision by appealing to HM Courts & Tribunals Service (HMCTS). Since the introduction of MRs in 2013 a claimant would need to ask DWP to look at the decision again unless DWP advised that a MR was not required. Being found FfW at initial assessment is the primary reason for claimants disputing a decision. The figures below focus on FfW appeals for initial assessments.

Quarterly Appeal outcomes on initial FfW decisions, for claims started December 2008 to June 2022

Source: Stat-Xplore: ESA Work Capability Assessments under Appeal Outcomes by Claim Start

The total number of appeals heard on FfW decisions for initial assessments quarter ending June 2022 is very low compared to pre-2013 figures, when Mandatory Reconsiderations were introduced.

The number of appeal outcomes for claims that started in the quarter to December 2018 fell below 1,000 for the first time and have continued to fall. In the latest period, for claims that started up to June 2022, there were 410 appeal outcomes with 44% of the appeals successful. The low numbers of appeals may be partly due to the decrease in FfW decisions and an increase in MR revision rates since late 2019, which are likely to affect the number of claimants going on to appeal.

Note: The numbers of appeals are by claim start date, therefore numbers could increase as more appeals are completed for claims started in the most recent months.

8. Health conditions and ESA group allocation for initial assessments

The health conditions recorded on the ESA claim form do not themselves grant entitlement to benefit. During the WCA, what is being assessed is the effect of someone’s health condition or disability on their capability for work, not the condition itself.

• the ESA Support Group (SG) is for those who are living with severe disabilities or health conditions which make it unreasonable to require them to engage in work related activities

• the ESA Work Related Activity Group (WRAG) is for those claimants who, while currently not capable of working, the DWP consider will be capable of work at some time in the future and can take steps immediately towards moving into work (work related activity)

A full list of descriptors for both SG and WRAG groups and a guide to the ESA Work Capability Assessment can be found on the GOV.UK website.

Main reasons for SG decisions for initial assessments by claim start date, December 2008 to December 2022

Source: Stat-Xplore: ESA Work Capability Assessments under ESA WCA by Claim Start

Note: Claimants can have multiple functional impairments, therefore appear in more than one category.

Most claimants assigned to the SG, who started their initial ESA assessment in the quarter to December 2022, were allocated SG due to health conditions linked to ‘Severe functional disability’. This accounts for 7,900 (72%) of all SG allocations this quarter. ’Severe functional disability’ has been the main reason for allocation, being over 50% since January 2016.

There was a notable decrease in SG allocations to the ‘Physical or mental health’ risk group for initial claims started from October 2015 onwards. Volumes in this group fell from 28,000 in the quarter to September 2015 to 17,000 in the quarter to December 2015. This should be seen in context with the updated guidance on the application of risk introduced at the start of 2016.

For initial claims started in the quarter to December 2022, 720 cases were allocated to the SG due to ‘Physical or mental health risk’, while 1,700 were awaiting/recovering from chemotherapy/radiotherapy and 160 were terminally ill.

Since 29 September 2017, claimants in the ESA SG no longer need to be reassessed if they meet the Severe Condition criteria. Information on this can be found on Stat-Xplore.

‘Adapting to Change’ and ‘Social Interaction’ remain the main reasons for WRAG allocation (with 15 points or more) this quarter.

More information on how assessments are allocated to the WRAG can be found in the background information note.

Main reasons for WRAG (15+ points) allocations for initial assessments by claim start date (percentages), December 2008 to December 2022

Source: Stat-Xplore: ESA Work Capability Assessments under ESA WCA by Claim Start

Note: Claimants can have multiple functional impairments, therefore appear in more than one category.

For claimants allocated to WRAG with 15 points or more, the most common activities for scoring points this quarter were ‘Adapting to Change’ and ‘Social Interaction’. Of these claimants, 92% scored against the ‘Adapting to Change’ activity, and 89% scored points against the ‘Social Interaction’ activity.

Alongside these categories, in the latest quarter, claimants with impairments relating to ‘Consciousness’ and ‘Understanding and Focus’ each accounted for 4% of allocation to WRAG with 15 points or more.

Other reasons for being assigned to WRAG (with 15 points or more) are: Upper Limb, Sensory, Continence, and Lower Limb.

9. Sankey diagram showing the ESA WCA, MR and appeal process for claims starting October 2013 to December 2022

Numbers of all WCA, MR, appeals at stages in customer journey from October 2013 to December 2022

Source: Data tables: ESA WCA experimental cohort statistics for initial and repeat ESA assessments, by period of claim start, October 2013 to September 2022

Of the 5.1 million ESA claims with a start date between October 2013 and December 2022:

• 66% had a completed assessment, 2% were still in progress and 32% were closed by the claimant

• 410,000 MRs have been registered, following a completed WCA

• 99.7% of these MRs, which were raised after the WCA, have been completed, with the original decision revised 17% of the time

• 26% of claimants who raised an MR after the WCA went on to complete an appeal

• of the 100,000 appeals completed, 34% had the DWP decision upheld at hearing while the remaining 66% were ruled in favour of the claimant

As a result of a High Court decision in July 2020, MR has been discontinued for any claimant who, having been found Fit for Work following a WCA would, if they appealed, be paid ESA pending the outcome of that appeal. Not all claimants qualify, and it applies only to Fit for Work disallowance decisions.

10. ESA WCA customer journey clearance times for initial claims

The median end-to-end clearance time is a measure from the claim registration date to the final DWP award decision. Claim registration date is the date the claimant has first contact with the department when making a claim to ESA. The DWP decision will include MRs where there is a completed decision.

The end-to-end clearance time is calculated by measuring the time taken for a claim to clear 3 distinct stages:

1. Claim registration to WCA referral, where claims are initially processed to the point where a referral for a Work Capability Assessment can be made.

2. WCA referral to Assessment Provider recommendation, which covers the time taken to make an assessment.

3. AP recommendation to DWP decision. This reflects the time taken to arrive at a WCA outcome decision following the receipt of an AP recommendation.

The majority of time is taken up by the second stage, which usually includes the waiting time for the claimant to return a questionnaire and for the provider to conduct the assessment itself. Multiple referrals are sometimes required before an assessment is completed and a recommendation received.

Median clearance times (in working days), by stage, for completed initial claims from December 2008 to March 2023

Source: Stat-Xplore: ESA Work Capability Assessments under Clearance Times for Initial Claims

From December 2011 to June 2020, the monthly median clearance time from claim registration to referral remained under 10 working days. It has steadily increased from 2 days in March 2020 to 25 days in March 2021 and has since remained relatively stable, sitting at 30 days in March 2023.

The median time between referral to the AP and their recommendation was 64 working days in March 2023.

The median time between AP recommendation to DWP decision was 7 working days in March 2023.

After 2008, the median end-to-end clearance time generally followed an upward trend, reaching a peak of 192 working days in August 2014 before falling to 70 working days in September 2019. Since then, it steadily increased to 231 working days in July 2021, which marks the highest median end-to-end clearance time in any month.

Since the peak in July 2021, median end-to-end clearance times have followed a downward trend, sitting at 112 working days in March 2023.

With the temporary suspension of face-to-face assessments in March 2020, DWP focused on individuals who were more likely to attract a higher benefit award rather than in date order (which is usual practice). When face-to-face assessments resumed in May 2021, DWP was able to revert to prioritising WCAs in date order. This caused a spike in customer journey times in July 2021, when many older cases were assessed. See section 2 for more information on operational easements during 2020.

11. About these statistics

The UK Statistics Authority has designated these statistics as National Statistics, in accordance with the Statistics and Registration Service Act 2007 and signifying compliance with the Code of Practice for Statistics. This badge does not currently apply to the ESA WCA cohort figures (see section 9) or ESA clearance times (see section 10).

Statistics on the ESA WCA Cohort including MRs were published for the first time in September 2016 and the ESA WCA end-to-end clearance times for initial claims were published for the first time in September 2017. These were badged as experimental to reflect the fact that these statistics were new and methodologies and definitions for the statistics could develop over time. In Spring 2023, the Chief Statistician for DWP led an internal review of all experimental official statistics produced by DWP, in line with the Code of Practice for Statistics. The review found that it was appropriate to remove the experimental label from these statistics because they are no longer under development. From September 2023 these statistics are badged as Official Statistics.

Key uses of the statistics include:

• providing the evidence base for assessing the potential effect of changes, monitoring and evaluation of DWP policy

• answering Parliamentary Questions and Freedom of Information requests and forecasting benefit expenditure (in conjunction with expenditure statistics)

• policy development and evaluation by local authorities and other welfare to work and pensions stakeholders and providers

This release only includes ESA WCAs.

This release does not capture:

• UC WCAs

• UC MRs

• UC appeals

Recent trends in these ESA WCA statistics will be affected by the roll out of UC.

On 8 June 2023, the department published a new quarterly official statistical series for UC Work Capability Assessment statistics. The release of these statistics coincides with the latest ESA WCA publication.

Terminology

Term	Definition
Registration	Claimant registers an application for a WCA, MR or appeal.
Clearance	DWP decision maker has determined whether the claimant should or should not be entitled to claim ESA.
Mandatory Reconsideration	Claimant wishes to dispute a decision made on their claim and requests DWP to reconsider the decision. Due to operational practices performed within the DMACR system, some MRs are recorded on the source data as ‘reconsiderations’. Therefore, for the purpose of these statistics, all ‘reconsiderations’ occurring after the WCA (for reasons typically associated with MRs) have been included within the total number of MRs.
MR clearance time	The clearance time begins from the point the MR is raised on the DWP administrative system by the Benefit Centre as a valid MR, having considered whether they can initially change the decision in the light of any new information. The total clearance time therefore includes the time taken to transfer the case to the Dispute Resolution Team and the time taken for the decision maker to make a decision.
Repeat assessment	An existing claim that has been reassessed for ESA, as opposed to a new claim. A repeat assessment is the second or subsequent WCA undertaken on an existing, continuous ESA claim, usually between 3 and 24 months after the previous assessment. These claimants will have already been assessed as having a limited capability for work at their initial WCA and the repeat assessment will assess if their capability for work has changed.

Rounding policy

Since March 2017, the following rounding policy has been applied to the statistical release. Please note that percentages shown within the release are calculated using figures prior to rounding.

From	To	Rounded to
0	1,000	10
1,001	10,000	100
10,001	100,000	1,000
100,001	1,000,000	10,000
1,000,001	10,000,000	100,000
10,000,001	100,000,000	1,000,000

Where to find out more

See Stat-Xplore for more detailed breakdowns of the data covering Region, Local Authority, Ward, Westminster Parliamentary Constituency and Scottish Parliamentary Constituency breakdowns available for WCA outcomes by claim start date and completed assessment date.

Read the methodology note for more detailed information on these statistics.

Read more about ESA.

Contacts

Authors: George McLean, Yusuf Asmal and Grant Mackie

Lead Statistician: Tonia Hagan

DWP would like to hear your views on our statistical publications. If you use any of our statistics publications, we would be interested in hearing what you use them for and how well they meet your requirements.

For more information on these statistics, or to provide feedback on our publication, please email wca.statistics@dwp.gov.uk.

For further enquiries, you can contact Press Office: 0115 965 8781

ISBN 978-1-78659-567-6