21 There was little in the way of expert evidence as to the impact of the depressive illness upon the capacity to recall the events of 1991-93. I do note however that Ms Duffy said (Blue 949):
That her memory for events surrounding her practice were not clear, or that she may have made errors can be explained by her heightened emotional arousal during this period of time.
22 Ms Duffy was cross-examined before the Appeal Panel. Some questions were asked about the genuineness of the appellant's professed difficulty of recalling events of the early 1990s. Other questions were aimed at establishing that continuing symptoms reflected adversely upon fitness to practise.
23 On 11 August 2004, the Appeal Panel delivered its second Decision, confirming the findings of professional misconduct (Stanoevski v Law Society of New South Wales (No 2) (LSD) [2004] NSWADTAP 35).
24 The Appeal Panel referred in detail to the psychological evidence from Ms Duffy and Dr Westmore. It accepted Dr Westmore's opinion that in the early 1990s the appellant was suffering depression of her mood state, associated with a recent miscarriage "at the time her problems with the Family Law Court occurred" (Reasons at [37]-[38]).
25 The Appeal Panel also appeared to accept Ms Duffy's opinion that the appellant's ability to remember (when giving evidence before the Tribunal) may have been adversely affected by her emotional stress (Reasons at [43], [46]).
26 As to the appellant's present situation, the Appeal Panel recorded and apparently accepted Ms Duffy's evidence that the appellant's personality traits continued, although the stresses in her life had been significantly reduced by June 2003 (Reasons at [46]-[48]).
27 The Appeal Panel then proceeded to make its own findings as to professional misconduct, albeit in the context of reconsidering the decision under appeal (Reasons at [2]). It addressed the Grounds of the Information seriatim. Its task was not an easy one, because (a) the insights of the psychiatric evidence had to be taken into account so far as they reflected on the appellant's reasons for doing what she did and her performance as a witness before the Tribunal, and (b) the appellant chose not to give evidence before the Appeal Panel.
28 The approach of the Appeal Panel as it grappled with these difficulties can be illustrated by its findings on the charge of misleading the Law Society in the estate matter (Reasons at [50]-[60]). The evidence and submissions in the Tribunal below were summarised in detail. The Appeal Panel continued at [56]-[60]:
56 We would be quite prepared to accept that, as she was giving evidence in 2002, she would have difficulty remembering what her precise intention had been as she wrote the letters in January and March 1993, not only because of the lapse of time, but also because of the evidence about her emotional state at that time and its effect upon her memory. We may not feel forced to draw such adverse inferences about her credibility from her prevarications on this issue as did the members of the Tribunal.
57 Nevertheless, we are convinced that the concessions that she made in her reply and in her affidavit were the truth. There is a vast difference between delay caused by inexperience and the traumas that she was suffering, on the one hand, and delay caused by conduct of the executrix on the other. Our conclusion does not need to depend upon concessions in cross-examination. It rests on the objective facts and that difference.
58 We are quite satisfied that at the time she wrote the letters she knew that she was misleading the Law Society, and she deliberately did so.
59 Her emotional condition may well have been the reason why she did so. We note that in early 1993 her first child was less than 1 year old, she suffered a miscarriage in February, and at about this time she was having difficulties in her relationship with her husband. Nevertheless we have no doubt that she deliberately gave to the Law Society an explanation for the delay that she then knew was false, and repeated it. That conduct amounts to professional misconduct.
60 The force of her acknowledgement and expression of regret in her affidavit are also lessened by the prevarications to which we have referred.
29 The Appeal Panel adopted a similar process in reasoning to its conclusions that particular matters of professional misconduct charged with reference to the Buldioski and Fowler matters were also established.
30 The Appeal Panel examined the whole of the evidence, including the recorded testimony of the appellant. The Panel took into account the appellant's emotional turmoil in the early 1990s. It also recognised that the appellant had not acted with intent to obtain any improper financial benefit or to cause harm to her client or anyone else (Reasons at [87] and [107]). Nevertheless, the deliberate conduct involving the proffering of false documents to the Family Court and the deliberate misleading of the Law Society in an attempt to render an account of her conduct showed that the appellant had been guilty of professional misconduct. The Appeal Panel made its own findings to that effect (at [86] and [106]-[108]).
31 I detect no error in these conclusions or the reasoning upon which they are based.
32 There are, however, two passages in the second Decision, in which the Appeal Panel reasoned from these findings to an additional finding that the appellant had given deliberately false evidence to the Tribunal at first instance. Thus, having stated the findings of professional misconduct in the Buldioski matter, the Appeal Panel said (at [88], emphasis added):
On the other hand, in making those findings, we have found ourselves forced to the conclusion that we could not accept her sworn evidence. For example, her evidence that the documents may have been placed in front of her already signed is contradicted by her own letters to the Law Society, by her Reply and by her affidavit. It follows from our findings that she has attempted to mislead the Tribunal by giving false evidence, in particular by denying that she placed the signatures of the Buldioskis on the documents, and that fact must be taken into account when deciding on the proper order to be made : Bannister v Walton (1993) 30 NSWLR 699; Barwick v Council of the Law Society of NSW (12 March 2004) NSWCA 40237/03.
33 Similarly, having stated the findings of professional misconduct referable to Mrs Fowler, the Appeal Panel added (at [109]):
Further, it is a necessary consequence of our findings that she has attempted to mislead the Tribunal by false statements in her Reply, in her affidavit and in her evidence. That again is a matter that must be taken into account in deciding upon the proper orders to make.
34 Given the way the case was fought before the Appeal Panel, there could be no ground for complaint about the Panel concluding that it was unable to accept the sworn evidence of the appellant. After all, the divisional Tribunal came to a similar position, the evidence was compelling, and the psychiatric evidence did not compel the opposite conclusion. Furthermore, the two passages just set out show that this finding was an inference from conclusions as to misconduct already arrived at, and that it was made solely for the purpose of considering the proper order to be made about continuing to practise.
35 Accordingly, no reason has been shown in this Court that would justify setting aside the Appeal Panel's findings of professional misconduct.
36 The order made at the conclusion of the second Decision was that the appeal was to be relisted at a time to be fixed "for submissions about the proper orders to be made in light of these findings".
37 There is, however, a problem with reference to the strike-off order subsequently imposed by the Appeal Panel on 20 September 2004.
38 The parties were represented by their solicitors when the matter came before the Appeal Panel on that day.
39 The appellant's solicitor, Mr Walsh, made some general submissions to the effect that striking-off was inappropriate. He referred to circumstances affecting the appellant and impacting on her capacity to act properly in the early 1990s.
40 Mr Walsh also took some legal points, the rejection of which forms the basis of the present appeal, itself limited to questions of law (Administrative Decision Tribunal Act 1997, s119).
41 First it was submitted that the Briginshaw standard applied with reference to the decision whether striking-off was an appropriate response to the findings of professional misconduct.
42 Secondly, it was submitted that the Appeal Panel ought not in its second Decision have made the findings that the appellant gave false evidence before the Tribunal at first instance. This argument was advanced on two bases, namely (a) in light of the psychiatric evidence and (b) because the possibility of making such findings had not been raised in the hearing before the Appeal Panel.
43 These submissions were rejected for reasons given extempore by the Deputy President (Red 79-82, hereafter the third Decision).
44 The Reasons briefly summarised the second Decision. It was acknowledged that the earlier findings were to the effect that the psychological condition and stresses in the personal life of the appellant had played a large part in explaining the original acts of misconduct. The Deputy President further recognised that the appellant had not obtained or intended to obtain any personal advantage from her conduct, nor had she caused or attempted to cause any financial or other harm to her clients or others.
45 Mr Walsh's Briginshaw submission was rejected on the basis that:
… the Briginshaw test applies only to findings of fact, and we have applied that test in making the findings of fact that we have made, but the Briginshaw test or any other similar formulation plays no part in deciding what is the proper order to be made.
46 Turning to Mr Walsh's submission as to procedural unfairness, the Appeal Panel ruled [at Red 80]:
In our view the possibility of our making such findings was clearly in prospect during the hearing and in argument before us. In addition there has been the period between our publishing our findings of fact and the hearing of submissions about the proper order to make.
47 The dispositive reasons leading to the orders that the appellant's name be removed from the roll and that the appellant pay the Law Society's costs were as follows:
The objective conduct that we have found could justify an order striking off but does not mandate it. All the circumstances must be taken into account and the decision to be made concerns the practitioner's fitness to practise at today's date.
One of the matters that has had weight with us is that the appellant has not availed herself of the opportunity to give evidence before us about her present fitness to practise. There is evidence from Ms Duffy that one of the significant stresses presently operating is her inability to practise, and that her condition would be alleviated if she were allowed to be a lawyer in some way. She has acknowledged and expressed her regret with respect to the delay matters and the misleading letters in the Marks Estate. However, despite the findings about the objective facts made by the Tribunal below and the course of the hearing before us, she has adhered to her version denying the forgery of the signatures in the Buldioski matter and altering her explanation of the false attestations in the Fowler matter.
There is no admission by her that she has given false evidence and there is no evidence before us acknowledging her misconduct in that regard.
The testimonials submitted also predate the findings of the Tribunal below. There has been no attempt to place before us material that takes into account those findings or indeed our findings despite the period of time since those findings were published.
In all the circumstances we are convinced that the Law Society has demonstrated that the appellant is not now fit to practise.
48 Ms Adamson SC represented the appellant in this Court.
49 She submitted that the Appeal Panel erred in law in rejecting the Briginshaw submission. I would reject this aspect of the appellant's case. The Briginshaw principle is a guide as to judicial method in resolving factual issues. Briginshaw has never been invoked as a method of arriving at the "instinctive synthesis" of "sentencing" decisions, including decisions made in the essentially protective jurisdiction with which the present case is concerned. The general remarks of Young CJ in Eq in Prothonotary of the Supreme Court of NSW v P [2003] NSWCA 320 at [17] must be read as addressing the fact-finding stage of the overall process. As Mr Wales SC, senior counsel for the Law Society, pointed out in argument, it would lead to absurd results if a sentencing judge's mind was wavering between a range of years of imprisonment as the appropriate sentence.
50 The appellant's alternative attack stands on firmer ground. The material already summarised shows that the Appeal Panel took into account the conclusion reached in its second Decision that the appellant had given deliberately false evidence before the Tribunal at first instance. Indeed, in the third Decision itself, the Tribunal regarded adversely the failure by the appellant to admit that she had given false evidence or to acknowledge "her misconduct in that regard".
51 The transcript from the first instance hearing shows that the appellant's credibility was strongly challenged in cross-examination and submissions. That challenge was maintained before the Appeal Panel where submissions that the appellant had not been frank in her testimony were repeated. But what did not occur before the Appeal Panel was any enlargement of the grounds of professional misconduct charged or any submission that put into the ring before the Appeal Panel the question whether the appellant had given deliberately false evidence before the Tribunal (cf Smith v New South Wales Bar Association (1992) 176 CLR 256, Barwick v Council of the Law Society of New South Wales [2004] NSWCA 32, (2004) Aust Torts Rep ¶81-370 at [109]). The divisional Tribunal had made no such finding and there was a live issue on the psychiatric evidence as to the reasons why the appellant may have been an unimpressive witness.
52 The Law Society had a lot of material it could point to in seeking to persuade the Appeal Panel to come to the same position as the Tribunal at first instance as regards the appellant's credibility. The well-known principles concerning the advantage of the trial judge summarised in Fox v Percy (2003) 214 CLR 118 were very much in play. The appellant faced a particularly uphill battle when she elected not to give evidence before the Appeal Panel despite its ruling to extend the review to the merits and permit fresh evidence to be called.
53 As indicated, the Grounds of the Information were never amended. We were taken to passages in the submissions before the Appeal Panel. They do not support the submission that the proceedings before the Appeal Panel were treated as a hearing de novo in the sense that the Law Society had to establish its case afresh (see eg Black 367, 413-4). Nor do they show that the parties ran the review on the merits as if a charge of false swearing were before the Appeal Panel, either generally (or as one would have expected) in identified particulars.
54 There was and is ample material that could justify a strike-off order even if the deliberately false testimony is factored out. Indeed, subject to procedural fairness, I see no reason why the Law Society may not argue that the appellant's "lack of candour" as a witness before the Administrative Tribunal may be a factor going to continuing fitness to practise. But the duty of procedural fairness must be observed. Failure to have done so vitiates the strike off order (Stead v State Government Insurance Commission (1986) 161 CLR 141 at 145-6).
55 The Appeal Panel's statement that the lapse of time between publishing of its findings of fact and the hearing of submissions about the proper order to make somehow remedied the situation does not answer the difficulty. Those findings were themselves vitiated by the same want of procedural fairness; and the adjournment was for a confined purpose, namely "for submissions about the proper orders to be made in the light of these findings".