[2024] WASAT 131
General information, not legal advice.
State Administrative Tribunal (WA)
2024-11-29
Original judgment source is linked above.
(a) paid the fee for the issue of a practising certificate, including a late fee; and
(b) sent an email to an officer of the Board which, amongst other things, said that she had had trouble logging into the Board's website and asked for confirmation of receipt of her application and the fee.[5]
... considers that it is desirable to do so after taking into account -
(a) the interests of any persons whose interests may be affected by the order; and
(b) any submission made by or on behalf of the decision-maker; and
(c) the public interest.
'Belief' is an inclination of the mind towards assenting to, rather than rejecting, a proposition. The 'belief' of a person is ordinarily a conclusion reached after the probabilities have been weighed. A person's mind will not incline towards accepting a proposition of fact if the person's mind inclines towards rejecting the proposition of fact or if the person's state of mind is that he or she is unable to arrive at a conclusion one way or the other.
A 'belief' is more than a 'suspicion' and is ordinarily less than 'positive knowledge'. The information available to a person who forms a belief may be from external sources, including hearsay, which the person may be unable independently to verify.
The grounds which can reasonably induce a belief may, depending on the circumstances, leave something to surmise or conjecture.
'reasonable belief' or 'belief on reasonable grounds' requires a consideration of context.
A 'reasonable' belief imports an objective criterion. It requires the existence of facts which are sufficient to induce the belief in a reasonable person. There must be proven objective circumstances sufficient to justify the belief.
In Soutorine, Tottle J, sitting as Supplementary President of the Tribunal, was concerned with a decision by the Medical Board of Australia to take 'immediate action' to suspend Dr Soutorine's registration as a medical practitioner. His Honour enunciated the following principles, which have since been repeated and applied:
As noted above, one of the matters for which regard must be had in an application under s 25(4) of the SAT Act is the public interest. The 'public interest' in a particular case must be understood within its statutory context. That legislative context includes the objectives set out in s 3 of the Uniform Law which provides as follows:
The objectives of this Law are to promote the administration of justice and an efficient and effective Australian legal profession, by -
...
(b) ensuring lawyers are competent and maintain high ethical and professional standards in the provision of legal services; and
(c) enhancing the protection of clients of law practices and the protection of the public generally; and
(e) promoting regulation of the legal profession that is efficient, effective, targeted and proportionate[.]
Those objectives, in my view, support the proposition that the public interest in this context includes the following:
On an application of this nature it is impossible to make any factual findings, let alone try to resolve any credit issues, and it would be wrong to attempt to do so. In so far as I express views on the relative strength of the parties' positions on various issues they are no more than tentative impressions based on the untested evidence adduced on the application.[24]
(a) by asking whether the application for review raised a 'serious question' as to whether the decision the subject of review satisfied the relevant statutory requirements;
(b) by considering the impact on the parties, and the protection of the public if the stay is, or is not, granted; and
(c) all of which was considered in the context of a legislative regime expressly concerned with the protection of the public.[25]
(a) On 30 June 2023, the applicant emailed an officer of the Board asking her to:
... confirm that you received my application and payment? I seem to have trouble logging into the website and I wasn't sure if the form went through as I was overseas. I have made payment today and I don't want any issues.[26]
That email is called the First Statement. By it, the Board says that the applicant represented to the Board that she had made an application for a 2023/2024 practising certificate: First Representation.
(b) Having been advised on 1 March 2024 that no practising certificate had been issued to her for the 2023/2024 year, and having previously spoken about the matter with Ms Lendich SC on that date, the applicant emailed Ms Lendich attaching an email from the Board of 3 July 2023 advising her that an additional CPD Condition had been imposed on her 2023/2024 practising certificate and said:
Will find the actual application but in the first instance, you will see that because I applied, I received this email re the Condition imposed ... In other words, I would not have received this if I had not made an application.[27]
That email is called the Second Statement. By it, the Board says, the applicant represented to Ms Lendich that she had made an application for a 2023/2024 practising certificate: Fourth Representation.
(c) Having received an email from Ms Fulham which, amongst other things, advised that she (the applicant) 'did not apply to renew [her] practising certificate within the timeframes available', by email of 1 March 2024, the applicant emailed Ms Fulham saying, amongst other things, that she was 'very surprised to have received this email given I did apply'.[28]
That passage is called the Third Statement. By it, the Board says that she represented to Ms Fulham that she had made an application for a 2023/2024 practising certificate: Fifth Representation.
(a) By a statutory declaration of 5 July 2024 (the Third Statutory Declaration), in answer to a question asking her to list 'all the false and misleading oral and written representations' she had made to the Board between certain dates, other than to Ms Fulham and Mr Colella, the applicant answered:[29]
I deny that I have made any false or misleading oral or written representations to Ms Fulham or Mr Colella of the Board.
The Board alleges that that statement is false in that, by the First and Third Statements, she had represented that she had applied for a 2023/2024 practising certificate when she had not done so.[30]
(b) By a statutory declaration of 22 August 2024 (the Fourth Statutory Declaration), the applicant:
(1) denied that the Third Statutory Declaration contained false and misleading information;[31] and
(2) said that the First, Fourth and Fifth Representations were not false or misleading.[32]
The Board alleges that both those statements were false. It says that the Third Statutory Declaration did contain false and misleading information (above) and that the Fourth Representation was false or misleading.[33]
(a) the Third Statutory Declaration contains what is alleged to be a false or misleading statement - set out above; and
(b) in the Fourth Statutory Declaration, the applicant 'accepted' that she had made the Fourth Representation,[35] but said that they were not false because at the time she made them she 'honestly and reasonably believed that [she] had made an application to the Board' for the renewal of her practising certificate.[36]
I realised that the fact that the [Board] had never received from me an application for the renewal of my [2023/2024] practising certificate ... could make the First, Fourth, Fifth and Sixth[39] Representations objectively false. However, the allegations in the Complaint, which the [Board] was investigating, were that I had engaged in unsatisfactory professional conduct or professional misconduct by, amongst other things, making false and/or misleading representations ... Also, I was aware that, even if I had made representations which were objectively false, I could not be found to have engaged in unsatisfactory professional conduct or professional misconduct by making those representations unless it were also found that I had made those representations intentionally, knowing that they were false when I made them, recklessly, suspecting that they might be false, but making them anyway, not caring whether they were false or not, or carelessly. I thought that, in those circumstances, because the [Board] was asking me to "explain" how the representations were not false and misleading, and because that request was made in the context of the [Board's] investigation of the Complaint, that the [Board] was not only asking me whether the representations were objectively false and misleading, but was also asking me whether I had made the representations intentionally, knowing that they were false at the time that I made them.
When I had made each of the First, Fourth, Fifth and Sixth Representations, I had honestly believed that I had made the renewal application. Accordingly, I determined that I would admit having made those representations, but would say that those representations were not false or misleading, because, at the time I made them, I honestly and reasonably believed that I had made the renewal application.
I told Ms Fulham, both in emails which I sent her on 1 March 2024 and over the telephone on 2 March 2024, that I believed that I had applied to renew my practising certificate for the year ending 30 June 2024 because that was my recollection and belief when I sent those emails ... and when I spoke to Ms Fulham ... Also during my telephone conversation with Ms Fulham on 2 March 2024, I said to her that, in light of her statement to me during that telephone conversation, that the Board had no record of me lodging an application for renewal of my practising certificate ... and no record of me even logging onto the Board's onsite portal to lodge such an application, it was clear that my recollection and belief that I had lodged an application were mistaken.
Has the applicant raised a serious question - Ground One
Lack of objective basis for the applicant's purported belief
Subjective belief vs objective falsity and subsequent (mis)construction of questions
(a) the applicant's Fourth Statutory Declarations contains statements to the effect that the First, Fourth and Fifth Representations were not false or misleading because she honestly and reasonably believed, at the time that they were made, that she had applied for a practising certificate; and
(b) her affidavit of 4 November 2024 seeks to explain her position which is, in effect, that when she denied that they were false or misleading, she meant that the falsity of the representations was not intentional or reckless.
(a) the Board expressly stated that it did not need to consider the applicant's subjective state of mind when making the representations;
(b) a belief on reasonable grounds that a practitioner is unable to fulfil the inherent requirements of a legal practitioner cannot, in my view, be reached without considering the subjective state of mind of the maker of false representations when they were made;
(c) the email of 30 June 2023 appears to provide a basis for the applicant's claim that, when making the Fourth and Fifth Representations, she genuinely believed that she had, at least, sent an application to the Board for a 2023/2024 practising certificate and the payment of an application fee appears to support the claim that she held such a belief when she made the First Representation. The 5 July 2024 Statutory Declaration appears to say no more than reaffirm the position put in the Fourth and Fifth Representations;
(d) I have concerns with aspects of the Fourth Statutory Declaration and the 4 November 2024 affidavit, but in my view those concerns are best addressed by the testing of evidence. That is, they are not such as to convince me that there can be no question that the applicant is unable to fulfil the inherent requirements of a legal practitioner.
Issue of the 2024/2025 Practising Certificate - Ground Two
(a) demonstrated that her answer in the Third Statutory Declaration that she had made no false representations to the Board was false; and
(b) provided the applicant's 'explanation' that the First, Fourth and Fifth Representations were not false due to her state of mind.
The Applicant's Interests and the Public Interest: ss 25(4)(a) and (c)
(a) 'disciplinary and associated steps (such as the cancellation [or suspension] of a practising certificate) should only be taken when it is necessary to do so to protect the public and/or maintain relevant standards'; and
(b) such steps must be 'proportionate to the risk which they seek to address'.[71]
... inability, or unwillingness, to appreciate, acknowledge and accept that the objectively false representations [she] made were, and remain, false, despite the inaccuracy of [her] subjective belief having been accepted by [her], brings into sharp focus the risk [she] pose[s] to the public, the profession and the administration of justice.[72]
... a lawyer who is either unable or unwilling to be honest in their dealings with colleagues and the regulator poses an ongoing threat to the administration of justice for as long as they are permitted to practice.[73]
(a) it would appear that at a review hearing the onus of proving that the practitioner is a 'fit and proper person' falls on the practitioner, thereby (more or less) reversing the onus of proof;[79] and
(b) there is a rebuttable presumption that the facts in the Board's reasons amount to a correct statement of the facts.[80]
I certify that the preceding paragraph(s) comprise the reasons for decision of the State Administrative Tribunal.
[1] In these reasons, all references to sections are references to sections of the Legal Profession Uniform Law 2022 (WA) (Uniform Law).
[2] Affidavit of Saritha Cassandra Elizabeth Andrews sworn 4 November 2024 (Exhibit 1), paras [2] - [4].
[9] Exhibit 1, paras [21], [28], [30] and [34].
[10] Board's letter of 17 July 2024; Exhibit 1, Annexure L.
[11] Exhibit 1, paras [67] - [69] and Annexures P, Q and R.
[14] Exhibit 1, page 264; Notice Issued Pursuant to s 84 of the Legal Profession Uniform Law (WA), dated 2 October 2024.
[15] The section refers to the 'designated local regulatory authority'. Section 20 of the Legal Profession Uniform Law Application Act 2022 (Application Act), provides that that is a reference to the Board for all of Chapter 3 other than that s 82(4).
[16] Exhibit 1, paras [74] and [75].
[18] Again, the Uniform Law refers to the 'designated tribunal'. That is a reference to the State Administrative Tribunal: s 22 of the Application Law.
[21] Marcus and Medical Board of Australia [2024] WASAT 8, [14] (c) - (g) (internal citations omitted). See, also, Souraki Azad and Medical Board Of Australia [2024] WASAT 71 at [4]ff.
[22] Dobson and Legal Practice Board of Western Australia [2022] WASAT 80 at [57] - [59]. Internal citations omitted.
[23] Soutorine and The Medical Board of Australia [2020] WASAT 5.
[25] Soutorine, paras [60] - [61].
[27] Exhibit 1, Annexure H, pages 44 - 45.
[32] Exhibit 1, Annexure O, pages 141 and 143.
[35] I note that the s 84 Notice only mentions the Fourth Representation in this regard and assume the omission of the First and Fifth Representation is an oversight.
[36] Exhibit 1, Annexure O, pages 141 and 143.
[38] Exhibit 1, paras [60] - [61]. Underlining added.
[39] The Sixth Representation was contained the Fourth Statement, which was contained in the applicant's email to Ms Fulham of 1 March 2024: Exhibit 1, Annexure N, pages 126, 128.
[43] Submissions in Opposition to Interim Application, 15 November 2024 (Respondent's Submissions), paras [73] - [85].
[44] Applicant's Submissions in support of application for interim order staying decision of respondent, 11 November 2024 (Applicant's Submissions), para [31].
[47] Respondent's submissions referred to these matters as Grounds 5 and 6.
[48] Applicant's Submissions, paras [33] - [38].
[49] Applicant's Submissions, paras [46] - [48] and [74] - [79].
[50] Kyle v Legal Practitioners' Complaints Committee [1999] WASCA 115; (1999) 21 WAR 56 at [6].
[51] Fidock v Legal Profession Complaints Committee [2013] WASCA 108 at [99] - [102].
[52] Giudice v Legal Profession Complaints Committee [2014] WASCA 115 at [8].
[53] Edelman J agreed with Martin CJ's 'summary' of the matter at paras 3 to 26. Buss P held that even a finding that a practitioner had recklessly made a false statement may not amount to professional misconduct but, rather, unsatisfactory professional conduct: [98].
[54] False representations made to a professional regulator, such as the Board should be seen in the same light as those made to the Court: per Legal Profession Complaints Committee and Khosa [2023] WASAT 90 (S), para [44].
[55] Exhibit 1, page 256, para [110].
[56] Respondent's Submissions, paras [89] - [92].
[57] Uniform Law, s 297. The other limb of the definition covers 'conduct [which] involves a substantial and consistent failure to reach or maintain a reasonable standard of competence and diligence'.
[59] At para 129 of the s 84 Notice, the Board says, in effect, that because she is unable to fulfil the inherent requirements of a legal practitioner the applicant is 'not currently a fit and proper person'. See, also, MN Legal and Management Consultants Pty Ltd v The Council of the Law Society of New South Wales; Michail v The Council of the Law Society of New South Wales [2018] NSWSC 1410 at [40] - [41].
[60] Respondent's Submissions, paras [3] - [10] and [59].
[61] Respondent's Submissions, paras [4] - [8].
[62] Respondent's Submissions, paras [6] and [9].
[63] Section 84 Notice, para 111(a): Exhibit 1, page 256. Emphasis added.
[64] Respondent's Submissions, para [6].
[66] Exhibit 1, Annexure L, pages 116 - 119.
[67] Respondent's Submissions, paras [62] and [100] - [114].
[68] Respondent's Submissions, paras [116] - [119] are made under the relevant heading but are silent on the extent to which a clean history is relevant.
[69] Section 84 Notice, para [126(d)]: Exhibit 1, page 263.
[70] Respondent's Submissions, para [123].
[73] Respondent's Submissions, para [47].
[74] Part 5.2 of Chapter 5 of the Uniform Law.
[75] Uniform Law, s 300. Referral may also occur if the Board takes the view that the alleged conduct may amount to unsatisfactory professional conduct but it would be 'more appropriately' dealt with by the Tribunal than the Board.
[76] Briginshaw v Briginshaw [1938] HCA 34; (1938) 60 CLR 336 at [361] - [362].
[78] It is not uncommon for the Tribunal to suspend a practitioner from practise pending a determination of the full bench of the Supreme Court following a recommendation that the practitioner be struck off.
[79] Uniform Law, s 100(7)(a). I say 'appears' because s 100(7)(a) refers to the 'onus of establishing that a person is a fit and proper person' rather than using the language of s 82(1)(d) - 'unable to fulfil the inherent requirements of an Australian legal practitioner'. In this regard, see MN Legal and Management Consultants Pty Ltd; Michail v The Council of the Law Society of New South Wales at [41].
[81] Berger v Council of the Law Society of NSW [2013] NSWSC 1080 at [10] - [20]; MN Legal and Management Consultants Pty Ltd v The Council of the Law Society of New South Wales; Michail v The Council of the Law Society of New South Wales at [45].
Berger v Council of the Law Society of NSW [2013] NSWSC 1080
Briginshaw v Briginshaw [1938] HCA 34; (1938) 60 CLR 336
Dobson and Legal Practice Board of Western Australia [2022] WASAT 80
Fidock v Legal Profession Complaints Committee [2013] WASCA 108
Giudice v Legal Profession Complaints Committee [2014] WASCA 115
Kyle v Legal Practitioners' Complaints Committee [1999] WASCA 115; (1999) 21 WAR 56
Legal Profession Complaints Committee and Khosa [2023] WASAT 90 (S)
Marcus and Medical Board of Australia [2024] WASAT 8
MN Legal and Management Consultants Pty Ltd v The Council of the Law Society of New South Wales; Michail v The Council of the Law Society of New South Wales [2018] NSWSC 1410
Souraki Azad and Medical Board Of Australia [2024] WASAT 71
Soutorine and The Medical Board of Australia [2020] WASAT 5
(1938) 60 CLR 336
(1999) 21 WAR 56