[2022] VCAT 1223
General information, not legal advice.
Victorian Civil and Administrative Tribunal
2022-10-25
Original judgment source is linked above.
Whether the principle against retrospective interpretation prevents allegations against a medical practitioner in relation to conduct which occurred between 1977 and 1986 from being brought under the Health Practitioner National Law, and being dealt with by the Tribunal - ss 35(1)(i) and s 193(1)(a) of the National Law.
Determination of preliminary question on the papers
Medical Board of Australia v XOT (Review and Regulation) [2022] VCAT 1223
to refer matters about health practitioners who are or were registered under this Law or a corresponding prior Act to responsible tribunals for participating jurisdictions. [emphasis added]
must refer a matter about a registered medical practitioner to VCAT if... the Board reasonably believes the practitioner has behaved in a way that constitutes professional misconduct. [emphasis added]
Successive Acts governing the registration and conduct of medical practitioners
The general rule of the common law is that a statute changing the law ought not unless the intention appears with reasonable certainty, to be understood as applying to facts or events that have already occurred in such a way as to confer or impose or otherwise affect rights or liabilities which the law had defined by reference to the past events.
"The primary submission for Dr McBride...was that it would be contrary to principle for the Act to be construed to apply a new and arguably 'more stringent' criterion of 'professional misconduct' to conduct which preceded the amendments which introduced that criterion."[14][17]
"...the standard to be applied by the Tribunal in deciding whether he had been guilty of 'professional misconduct' was the standard which at that time obtained, and not any more stringent standard later adopted. Otherwise, it was argued, his rights and liabilities would be affected in a significant way by a change of the law. The amendments to the Act should not be so construed but should be given meaning which was prospective only and therefore avoided the attachment of new legal consequences of facts or events which occurred before the commencement of the amendments. Reliance was placed upon Maxwell v Murphy (1957) CLR 261, 267; Fisher v Hebburn Limited [1960] HCA 80; (1960) 105 CLR 188, 194 and Geraldton Building Co Pty Ltd v May [1906] ArgusLawRp 58; (1977) 13 ALR 17."[14]
"It is that objective which must determine, where there is ambiguity, the construction to be given to the Act. It may be arguable that a construction should not be adopted which would have serious and deleterious consequences for a person affected, if some other construction is available. However, this does not necessarily follow if the purpose of the statute is the protection of the public from medical practitioners, found by the current standard, to be properly the subject of one of the many orders that can be made under the Act." [15]
"This wide range of provisions has been enacted for a purpose. It is to enable the Tribunal to fashion an order appropriate to the facts found including, where relevant, where the subject matter of the complaint relates to alleged 'professional misconduct'. It would be curious if, despite a need for the above supervisory arrangements designed for the protection of the public, Parliament were to countenance the continued practice of a person in need of such attention, simply because to so order would amount, as it is said, to the retrospective operation of a new standard. The wide range of orders available to the Tribunal emphasises the fact that the Act is designed for the protection of the public." [15]
44. Secondly, the Court held:
"Many cases draw a distinction which is pertinent to the present case. It is the distinction between legislation which has a retrospective operation and legislation which affixes present and future consequences to past events. Particularly in cases where present fitness to enjoy professional or trade privileges are concerned, it is not at all unusual, for amendments adopting more rigorous standards to apply to past conduct occurring before such standards were adopted." [17]
"...the presumption against retrospective operation does not direct itself to legislation which merely uses past acts as a foundation for future action. In one sense such legislation may appear to attach new consequences to past acts but I am of the opinion that the type of consequence envisaged in the judgment in Maxwell v Murphy [1957] HCA 7; (1957) 96 CLR 261 was one where, for example, a new disability was created that prevented further enjoyment of an existing or accrued right. In no meaningful sense was the trader here the holder of an accrued right to trade without risk of future restraint based on past conduct...I am of the opinion therefore that the principle against retrospective operation of a statute has no application to the present case."
47. Thirdly, the Court held:
"The Act must be given full force and effect according to its terms. It provides jurisdiction to the Tribunal relevantly, in respect of complaints made that a registered medical practitioner has been guilty of professional misconduct...That phrase is defined in the Act. Accordingly, on its face, the Act applies in respect of complaints now made and requires the Tribunal to determine those complaints by reference to the current definition. To disturb the ordinary interpretation of the Act, Dr McBride must invoke a presumption against 'retrospective operation'." [19]
"... the consequence of the arguments for Dr McBride would be that the repeal of the former provisions would remove any basis in the Tribunal for dealing with complaints about conduct that occurred before one October 1987. Given the purpose of the Act is the protection of the public, such an amnesty is not to be attributed to Parliament."
"a lacuna in respect of complaints not pending but relating to pre-amendment conduct. Such a gap in the legislation is not to be imputed to Parliament. It can be avoided entirely if the Act is interpreted as operating in its terms, attaching its consequences for the protection of the public to the conduct of the registered medical practitioner concerned, whether that conduct occurred before or after the amendments. There is no difficulty in so construing the Act. To do so is consistent with the achievement of its objects. It is consonant with long established legal authority dealing with analogous statutory provisions." [21].
Part 8 of the National Law concerns the "Health Performance and Conduct" of practitioners. It provides for a scheme for the protection of the public and the profession, including notification of conduct by registered practitioners, investigation of registered practitioners, and taking regulatory action against a registered practitioner where appropriate.[19]
conduct of the practitioner, whether occurring in connection with the practice of the health practitioner's profession or not, that is inconsistent with the practitioner being a fit and proper person to hold registration in the profession.
This includes in the definition conduct unconnected to the practitioner's profession which may bear on his or her fitness to hold registration and for this reason may be conduct that requires regulatory action under Part 8. There is no reason to limit that 'unconnected conduct' to conduct when the person was a registered health practitioner.
Future Operation Based on Past Events
10.4
It is important when considering the question of retrospectivity to draw a distinction between legislation having a prior effect on past events and legislation basing future action on past events. Jordan CJ contrasted these circumstances in Coleman v Shell Co of Australia Ltd [1943] NSWStRp 41; (1943) 45 SR (NSW) 27 at 31:
... as regards any matter or transaction, if events have occurred prior to the passing of the Act which have brought into existence particular rights or liabilities in respect of that matter or transaction, it would be giving a retrospective operation to the Act to treat it as intended to alter those rights or liabilities, but it would not be giving it a retrospective operation to treat it as governing the future operation of the matter or transaction as regards the creation of further particular rights or liabilities.
The Full Court of the Victorian Supreme Court put the matter succinctly in Robertson v City of Nunawading [1973] VicRp 81; [1973] VR 819 at 824:
[The] principle is not concerned with the case where the enactment under consideration merely takes account of antecedent facts and circumstances as a basis for what it prescribes for the future, and it does no more than that.
Numerous examples can be found of the courts applying this distinction. One of the most frequently cited (perhaps because of the nature of its facts) is Re a Solicitor's Clerk [1957] 1 WLR 1219. The clerk was convicted in 1953 on charges of larceny but no order could be made under the Solicitors Act 1941 (UK) as it then stood prohibiting him from being employed as a solicitor's clerk because he had not stolen from his employer or his employer's client. The Act was subsequently amended to allow such an order to be made in the case of any conviction for larceny. The clerk argued that to apply the amendment to him would be to give it retrospective operation.
This argument was rejected by the court on the ground that no retrospectivity was involved. The Act had future operation only, even if the conduct on which it depended had taken place in the past. Although the prohibition was based on a conviction that had occurred before the commencement of the Act, it operated in the future. On the other hand, the Act would have had retrospective operation if anything done before its commencement had been declared void or voidable or if a penalty had been inflicted for having carried out a particular function before the Act came into force.
An Australian case that reached a like conclusion in similar circumstances is La Macchia v Minister for Primary Industry [1986] FCA 452; (1986) 72 ALR 23. The holder of a fisherman's licence was convicted of an offence that at the time of conviction could not result in the cancellation of his licence. The relevant Act was subsequently amended to permit cancellation for such convictions. The Full Court of the Federal Court, citing Re a Solicitor's Clerk, upheld the validity of a cancellation based on the conviction before the Act was amended. Likewise, in Geschke v Del-Monte Home Furnishers Pty Ltd [1981] VicRp 80; [1981] VR 856 a widening in the range of matters that constituted 'unfair trading' was held to catch conduct that had taken place prior to the amendment.
will only be given retrospective operation to the extent necessitated by the words of the statute, considered in their full context and in accordance with the legislative purpose, but no greater extent (see Reid v Reid [1886] UKLawRpCh 18; (1886) 31 ChD 402 at 408-9; Louri v Renard [1882] Ch 421).[21]
His Lordship emphasised that matters of this character were to be determined by the application of a presumption that the legislature did not intend to act unjustly or unfairly and went on to reject any formulaic approach to the determination of the intention of Parliament with respect to the retrospectivity of a particular legislative scheme.[23]
to determine the scope and degree of the unfairness or injustice that is applicable in the particular case. The greater the unfairness or injustice, the less likely it is that Parliament intended the Act to apply.[24]
(1) This section applies if a person -
(a) was registered in a health profession under a corresponding prior Act; and
(b) is not, and has not been, registered in the health profession under this Law.
(2) A notification may be made, and proceedings may be taken, under this Part in relation to the person's behaviour while registered under the corresponding prior Act as if the person were registered under this Law by the National Board established for the health profession.
(3) However, subsection (2) applies only to the extent -
(a) a notification about the person's behaviour could have been made under the corresponding prior Act; and
(b) proceedings of that type could have been taken under the corresponding prior Act.
(4) For the purposes of subsection (2), this Part (other than Divisions 2 and 7) applies, with any necessary changes, to the person as if a reference to a registered health practitioner included that person.
But given rights and liabilities fixed by reference to past matters, facts or events, the law appointing or regulating the manner in which they are to be enforced or their enjoyment is to he secured by judicial remedy is not within the application of such a presumption. Changes made in practice and procedure are applied to proceedings to enforce rights and liabilities, or for that matter to vindicate an immunity or privilege, notwithstanding that before the change in the law was made the accrual or establishment of the rights, liabilities, immunity or privilege was complete and rested on events or transactions that were otherwise past and closed.
[1] The National Law as applicable in Victoria is a schedule to the Health Practitioner Regulation National Law (Victoria) Act 2009.
[2] Applying the saving provision in cl 34 of Schedule 7 of the National Law.
[3] For example, in Nursing and Midwifery Board v Burrows [2020] QCAT 164, Nursing and Midwifery Board of Australia v TGA [2021] VCAT 220 and Nursing and Midwifery Board of Australia v TFQ [2021] VCAT 1176.
[4] The allegations by the Board in their original form were based on the fact of Dr XOT being convicted in the County Court on 21 July 2020. But they were subsequently amended to allege the actual conduct itself, between 1977 and 1986.
[5] [2020] TAS HPT 2, per Chairperson A Clues (Thompson).
[6] [2021] WASAT 138, per Judge D R Parry, Mr J Mansveld and Dr D Pearson (Hamilton).
[7] [2021] WASAT 161, per Judge D R Parry, Dr E Marillier and Ms KY Loh (Lagrange).
[8] [1957] HCA 7; (1957) 96 CLR 261 at 267.
[10] [1989] NSWCA 222, unreported, Casebase BC 8901640; Kirby P, Priestly JA and Hope AJA (McBride).
[11] [2019] VCAT 467 (Ho).
[12] This was on the basis of the same reasoning as in Medical Board of Australia v Koniuszko [2016] VCAT 492 and Dental Board of Australia v Abdullah [2016] VCAT 19. That is, applying the savings provision in cl 34 of Schedule 7 to the National Law.
[17] The paragraph numbers in the McBride decision referred to in Thompson are those in the Casebase BC 8901640 report.
[20] [2005] NSWCA 261 at [43] and following; [2005] NSWCA 261; (2005) 63 NSWLR 557 at 570 and following; [2005] NSWCA 261; 223 ALR 346 at 357 and following.
[22] [1991] 2 All ER 712 at 724.
[23] (2005) 63 NSWLR 5576 at 570 [57].
[26] This makes it unnecessary to consider s 138, which deems the disciplinary provisions applicable to practitioners formerly registered under the National Law. In any event, if s 138 was considered, in my view, it should properly be interpreted as applying to pre-1 July 2010 conduct, as well as conduct after that date.
Medical Board of Australia
XOT
(1960) 105 CLR 188
(1977) 13 ALR 17
(1957) 96 CLR 261
(1986) 72 ALR 23
(2005) 63 NSWLR 557
(2005) 63 NSWLR 5576