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[2022] SACAT 111
SA Civil and Administrative Tribunal
2022-12-13
Original judgment source is linked above.
Section 39(1)(b) of the SACAT Act provides: > > the Tribunal is not bound by the rules of evidence, and may adopt, as in its discretion it considers appropriate, any findings, decision or judgment of a court or other tribunal (insofar as may be relevant to the proceedings before the Tribunal), and may otherwise inform itself as it thinks fit. > > Subparagraph (b) confers a discretion on, but does not oblige, the Tribunal to adopt the findings, decision or other judgment of a court. It is a facilitative provision designed to encourage efficiency in administrative decision-making and to avoid the re-litigation of facts on which the Tribunal can safely rely because of the nature of the proceedings in which the facts were found. > > Plainly enough, findings made by a court in criminal proceedings are generally reliable. However, it will not always be appropriate to adopt them in administrative decisions which are made under legislative schemes calculated to protect the public. The purpose of criminal proceedings is the conviction and punishment of offenders and the exoneration of the innocent. Convictions are generally based on findings made beyond reasonable doubt. They may therefore constitute a sound basis on which to proceed in schemes calculated to protect public safety. However, on sentencing, the prosecution may not be in a position to prove an aggravating circumstance beyond reasonable doubt, but the evidence of that circumstance may be sufficient to deny an offender a licence. An offender carries the onus of proving on the balance of probabilities a mitigating factor affecting his or her sentencing. However, the prosecution, or the Court, may for a number of reasons take a generous view of the evidence which favours the offender. The decisions of the Director of Public Prosecution as to whether or not to accept a factual basis for a guilty plea will be affected by a range of considerations appropriate in the discharge of the Director's prosecutorial duties, but which may not adequately serve the public interest in the exercise of the protective powers under the Firearms Act. > > The jurisdiction exercised by the Registrar of Firearms under the Firearms Act is not dependent on, or in any way constrained by, findings made for the purposes of sentencing. It may be otherwise when an administrator exercises a discretion enlivened by the fact of a criminal conviction, or otherwise substantially controlled by it. However, the powers of the Registrar of Firearms are enlivened by any conduct which affects a licensee's fitness to hold a firearms licence, whether or not it is an offence and whether or not there has been a conviction. The discretion to not grant, suspend or cancel a firearms licence can be exercised irrespective of a conviction. > > Consistency in decision making is desirable, but, it would be an error of law to bind or confine the Tribunal, in the exercise of its jurisdiction, to the facts as found on that conviction, where the exercise of jurisdiction is not tied to a conviction. That is so because the purpose of the criminal proceedings is the enforcement of the criminal law and the appropriate punishment of offenders, whereas the purpose of the regulatory jurisdiction, exercised by the Registrar under the Firearms Act, is the safety of the community. > > In That's Entertainment WA Pty Ltd v Commissioner of Police,[19] Pritchard J, sitting in the Supreme Court of Western Australia, in reasoning with which I respectfully agree, put it this way:[20] > > First, ... the Commission is required to engage in a quite different task from that of a Court dealing with a prosecution. The Commission applies a different standard of proof and may have regard to evidence which would not be admissible in a Court where rules of evidence apply. Moreover it does so in order to decide if conduct which is alleged constituets [sic] a proper cause for disciplinary action. In that context, a conclusion that proper cause existed for disciplinary action on the basis that a licensee engaged in conduct which breached the LC Act would not be in consistent with an earlier decision to acquit the licnesee [sic] of an offence in respect of that conduct. > > Secondly, as I have already observed, the purpose of disciplinary proceedings is quite different from the purpose of criminal proceedings. The object of criminal proceedings includes the punishment of those who disobey the law, while the object of disciplinary proceedings is to protect the public by maintaining standards of behaviour of persons permitted to work or carry on business in a particular industry or profession ... > > Mr Carpenteri was sentenced on favourable facts based on nothing more than submissions. The circumstances of this case exemplify the occasions on which it may be necessary for the Registrar, and on review, the Tribunal, to inquire into the circumstances of an offence, and make independent findings. (Some citations removed)
Principles regarding the imposition of sanction
entirely protective, and, notwithstanding that its exercise may involve a great deprivation to the person disciplined, there is no element of punishment involved.
The purpose of disciplinary proceedings is to protect the public, not to punish a practitioner in the sense in which punishment is administered pursuant to the criminal law. A disciplinary tribunal protects the public by making orders which will prevent persons who are unfit to practise from practising, or by making orders which will secure the maintenance of proper professional standards. A disciplinary tribunal will also consider the protection of the public, and of the relevant profession, by making orders which will assure the public that appropriate standards are being maintained within the relevant profession.
The gravity of professional misconduct is not to be measured by reference to the worst cases but by the extent to which it departs from the proper standards. If this is not done, there is a risk that the conduct of delinquents in a profession will indirectly establish the standards applied by the Tribunal.
... the imposition of disciplinary action may serve one or all of the following purposes:
However, there are specific considerations to which a Tribunal must have regard in fixing a period of disqualification, which are informed by the material received in the disciplinary proceedings which may not be revealed on an application for readmission to a health profession. An order of disqualification must 'bring home to the practitioner the seriousness of the practitioner's departure from professional standards'. A Tribunal which finds professional misconduct and must fix the period of disqualification is best placed to make the assessment of the period necessary to achieve that purpose. > > I accept that there is an overlap between the length of disqualification to be imposed for the purposes of enforcing professional standards and an evaluation of the suitability of the practitioner at a future time, but in assessing the suitability of an applicant it would duplicate the function of the Tribunal, and twice vex the disqualified practitioner, if a National Board were to ask itself whether an applicant, whose period of disqualification has ended, has been unregistered for a sufficient period of time to have learnt his or her lesson, and thereby to have become a suitable person for registration. > > The Tribunal is responsible for professional discipline; its orders should be effectively final and not interim measures. A National Board should not have the function of second guessing the sanctions it imposes. > > In any event, the Tribunal must also impose a period of disqualification which emphasises to other members of the profession that unprofessional conduct will be visited with significant sanctions. Even though that consideration has some analogy with general deterrence, its purpose is to maintain public confidence in the system of regulation of registered practitioners. If those wider considerations were absent, and if the Tribunal were to confine itself to a subjective assessment of when the particular practitioner is likely to have changed his or her ways, relatively shorter periods of disqualification might be imposed. > > After a period of disqualification fixed by the Tribunal has expired, the function of a National Board, when considering an application for registration, is not to revisit the wider considerations evaluated by the Tribunal, but to assess how the applicant has responded to the sanctions and the steps he or she has taken to address and correct the root causes of his or her misconduct.[28]
In cases such as this, the Tribunal and this Court should not assume that the doctor has become a reformed person. As Walsh J said in Ex Parte Tziniolis; Re Medical Practitioners Act (1996) 67 SR (NSW) 448 at 468; 84 WN (NSW) (Pt 2) 275 at 286: > > ".... Reformations of character and of behaviour can doubtless occur but their occurrence is not the usual but the exceptional thing. One cannot assume that a change has occurred merely because some years have gone by and it is not proved that anything of a discreditable kind has occurred. If a man has exhibited serious deficiencies in his standards of conduct and his attitudes it must require clear proof to show that some years later he has established himself as a different man'.
Honesty is fundamental to the concept of professionalism. Calculated dishonesty can be inimical to membership of a profession. This case involved a calculated course of conduct over a period of just under a year. The misconduct is serious.[32]
In the absence of any explanation for the conduct, it is difficult to accept that there is little or no likelihood that the respondent will not repeat the conduct some time in the future. Given that no motive has been identified, there remains a risk that similar circumstances may occur in the future, which cause the respondent to reoffend. Not only has the respondent demonstrated no insight into his conduct, he has rejected the finding of the SACAT completely. This stance can only lead to a conclusion that there can be no confidence that reoffending will not occur. > > ... > > To provide adequate protection to the public and to maintain the standards in the profession, the sanction to be imposed must take into consideration the fact that it is difficult, if not impossible, to make a judgment as to the risk of reoffending. In the absence of any explanation for the conduct or even an acceptance of the findings of the SACAT, there can be no confidence that the respondent will not reoffend. The respondent's conduct was significantly below the standard required in the profession. It was deliberate, dishonest, and prolonged. It caused harm to patients, a colleague, and his employer.
As to the applicant's risk of recidivism and prospects of rehabilitation, the applicant continued to deny the conduct. He had not taken responsibility for the conduct and there was no explanation for it, nor insight into it. In those circumstances, it was difficult for the appeal Judge to have any confidence that there would not be repetition of the conduct by the applicant. Whilst there was evidence of the applicant's otherwise good character and subsequent employment where there was no suggestion that he had not behaved other than appropriately, there was still a considerable risk of recidivism in the face of the applicant's denials and failure to take responsibility for his conduct. > > In light of the serious nature of the applicant's conduct, which was far below the standard required in the profession, and the risk that the applicant would repeat such conduct, a substantial sanction was required to protect the public and maintain confidence in the profession. The appeal Judge was correct in concluding that the Tribunal's disqualification of the applicant from applying for registration as an optometrist for 12 months was inadequate. The sanction imposed in its place, that the applicant be disqualified from applying for registration as an optometrist for five years was a significant one, but for the reasons we have outlined, it was necessary to protect the public and maintain confidence in the profession and was appropriate.
(a) The Tribunal finds that the respondent has behaved in a way that constitutes professional misconduct. > > (b) The respondent is reprimanded. > > (c) The respondent is disqualified for a period of five years from applying for registration as a health practitioner. > > (d) The respondent is prohibited for a period of five years from providing any health service ("Health service" has the meaning it bears in the National Law). > > (e) The respondent must pay the costs and disbursements of the Board, to be agreed, or in default of agreement, to be fixed by the Tribunal.
[1] The National Law is to be found in Schedule 2 to the Health Practitioner Regulation National Law (South Australia) Act 2010 (the Act).
[3] Direction of Tribunal given 18 October 2022.
[4] Affidavits of Pablo Mujica sworn 1 July 2022 and David Robert Holland sworn 21 November 2022; Tribunal Records of service.
[5] Briginshaw v Briginshaw [1938] HCA 34; (1938) 60 CLR 336, per Dixon J at 361-362; Neat Holdings Pty Ltd v Karajan Holdings Pty Ltd [1992] HCA 66; (1992) 67 ALJR 170 per Mason CJ, Brennan, Deane and Gaudron JJ, at 171.
[8] Exhibit C1, comprising BD Vols 1 and 2.
[18] Legal Practitioners Conduct Board v Ardalich [2005] 243 LSJS 145, [2005] SASC 478 at [42] - [49]; Medical Board of Australia v Dapp [2008] QCA 44 at [21] - [33].
[20] (2013) 228 A Crim R 201 at [66]-[67].
[21] Medical Board of Australia v Nicholas - Unreported decision 2 March 2022 (Matter 2021/SHP000032) at [37] - [43].
[22] Craig v Medical Board of South Australia [2001] SASC 169, [43]; [2001] SASC 169; (2001) 79 SASR 545, 554.
[23] Craig v Medical Board of South Australia [2001] SASC 169, [61]-[62]; Health Care Complaints Commission v Litchfield [1997] NSWLR 630, 636; Medical Board of Australia v Singh [2017] WASAT 33.
[24] Cf. Nursing and Midwifery Board of Australia v Freeman [2020] SACAT 88, [16], [18].
[25] [2020] SASCFC 74, [65]-[66], [70].
[26] [2020] SASCFC 74 [70] - [74].
[27] [2020] SASCFC 74 [70] - [74].
[28] [2020] SASCFC 74 [70] - [74].
[29] Medical Board of Australia v Nicholas - Unreported decision 2 March 2022 (Matter 2021/SHP000032) at [47].
[30] Pharmacy Board of Australia v Ramsey [2021] SACAT 21 at [32] - [33]; Pharmacy Board of Australia v Foo [2019] VCAT 203 at [28] - [29]; Pharmacy Board of Australia v Hanna [2018] VCAT 1817 at [16]; Pharmacy Board of Australia v Balci [2017] VCAT 1309 at [36]; Pharmacy Board of Australia v Sayegh [2011] NSWPHT 1at [207] - [209].
[32] Optometry Board of Australia v Bhoola (No 2) [2020] SACAT 47 at [25].
[33] Optometry Board of Australia v Bhoola [2021] SASC 51 at [67] and [69].
[34] Bhoola v Optometry Board of Australia [2022] SASCA 20 at [66] and [67].
[35] Bhoola v Optometry Board of Australia [2022] SASCA 20.
[36] Marin v Chiropractic Board of Australia [2020] SASCFC 74 at [73].
Pharmacy Board of Australia
Roberts [2022] SACAT 111
Legal Practitioners Conduct Board v Ardalich [2005] 243 LSJS 145; [2005] SASC 478
Medical Board of Australia v Dapp [ 2008] QCA 44
Carpenteri v Registrar of Firearms [2021] SASC 27
NSW Bar Association v Evatt (1968) 117 CLR 177; [1968] HCA 20
Craig v Medical Board of South Australia [2001] SASC 169; (2001) 79 SASR 545
Medical Board of Australia v Nicholas - [2022] SACAT 98
Health Care Complaints Commission v Litchfield [1997] NSWSC 297; (1997) 41 NSWLR 630
Medical Board of Australia v Singh [2017] WASAT 33
Physiotherapy Board of Australia v Adey [2017] SAHPT 3
Nursing and Midwifery Board of Australia v Freeman [2020] SACAT 88
Marin v Chiropractic Board of Australia [2020] SASCFC 74
Pharmacy Board of Australia v Ramsey [2021] SACAT 21
Pharmacy Board of Australia v Foo [2019] VCAT 203
Pharmacy Board of Australia v Hanna [2018] VCAT 1817
Pharmacy Board of Australia v Balci [2017] VCAT 1309
Pharmacy Board of Australia v Sayegh [2011] NSWPHT 1
Optometry Board of Australia v Bhoola (No 2) [2020] SACAT 47
Optometry Board of Australia v Bhoola [2021] SASC 51
Bhoola v Optometry Board of AustraliaI [2022] SASCA 20
(1968) 117 CLR 177
(2001) 79 SASR 545
(1997) 41 NSWLR 630
(1938) 60 CLR 336
(1992) 67 ALJR 170