QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
||
B e f o r e :
____________________
ROBERT PHIPPS |
Appellant |
|
- and - |
||
GENERAL MEDICAL COUNCIL |
Respondent |
____________________
Smith Bernal Wordwave Limited, 190 Fleet Street
London EC4A 2AG
Tel No: 020 7421 4040, Fax No: 020 7831 8838
Official Shorthand Writers to the Court)
Ms Dinah Rose (instructed by Field Fisher Waterhouse) for the respondent
____________________
Crown Copyright ©
Mr Justice NEWMAN :
Introduction
"1. The Finding of the Professional Conduct Committee was against the weight of the evidence, not least, and amongst other things, because the appellant was entitled to be awarded the certificate of Higher Surgical Training and the Professional Conduct Committee of the General Medical Council either did not take this into account and/or misdirected itself to the contrary.
2. The Appellant did not receive a fair hearing, within the meaning of Article 6 of the European Convention on Human Rights, at the Professional Conduct Committee hearing of the General Medical Council because of the withdrawal of legal representation by the Medical Defence Union, the denial of legal aid and the subsequent inequality of arms between the parties."
The complaint as to the adequacy of the reasons appeared in the Skeleton Argument.
"… it is, quite simply, unreasonable for a body such as the respondents not to give proper consideration to the circumstances of individual cases when they are considering a matter such as a withdrawal of specialist accreditation". (paragraph 16)
"… that the tribunal set up by the respondents, and in due course the respondents themselves, should have taken the petitioner's full period of training at the Royal Marsden Hospital into account in considering whether he had satisfied the requirements of specialist accreditation. Their failure to do so was unreasonable, in the sense that no reasonable body in their position, properly directed upon the law, could have reached the same conclusion." (paragraph 17)
He pronounced a decree of declarator that, in removing the petitioner's accreditation, the respondents had acted unreasonably and a decree of reduction of the respondent's decision of 13th December 2002 to withdraw the accreditation. Other grounds of challenge which had been advanced were not successful. Contrary to the appellant's argument, Lord Drummond Young did not decide that the appellant was entitled to accreditation. His conclusion was reached in judicial review proceedings and he was not concerned to decide whether the appellant's training and career entitled him to be accredited, but whether the respondents had acted reasonably in withdrawing accreditation.
(1) Did the appellant make any misrepresentations of fact in filling out the record card? If yes,
(2) Did they influence the decision to grant him accreditation? If yes,
(3) Were the representations made (a) dishonestly (b) innocently? If either or both,
(4) Did the appellant's conduct amount to professional misconduct? If so,
(5) What sanction or penalty was appropriate?
"i. That the appellant was accredited with the HST on the basis of the concession outlined in the minutes of the SAC dated 27th November 1990.ii. That the career history of the appellant relevant to the criteria of that concession was correct.
iii. That any inaccuracies, none being admitted, were not relevant to the granting of the concession and were not therefore material misrepresentations.
iv. The PCC misdirected themselves in finding that the appellant was not entitled to accreditation of the HST.
v. That misdirection was fundamental to, and underpinned, their other findings that the appellant was guilty of professional misconduct, which was serious, because they set that in a context of where they erroneously held the appellant was granted something to which he was not entitled."
Miss Rose, for the respondent, did not object to these additional grounds.
The Charges
"The Committee will inquire into the following charge against Dr Robert Francis Phipps, registered as of 1 Beechtree Court, Shipley, West Yorkshire, BD17 5TB, MB BCh 1978 Wales SR:
That being registered under the Medical Act 1983,
1.
a. On 6 November 1992 you wrote to the Joint Committee on Higher Surgical Training ("the JCHST") enquiring whether you could apply retrospectively for accreditation for higher surgical training,2. The submitted record card contained the following misrepresentations;
b. On 14 and 22 June 1993, the Secretary to the JCHST wrote to you bringing to your attention issues relating to accreditation,
c. In order to obtain accreditation, on 18 August 1993 you completed and sent to the JCHST a record card that included details of your previous post-FRCS appointments and higher surgical training programme,
d. On a day in November 1993 the Royal College of Surgeons of Edinburgh awarded you retrospectively a certificate of completion of higher surgical training on the recommendation for accreditation by the JCHST, who in turn followed the recommendation of the Specialist Advisory Committee in General Surgery;
a. That starting in January 1986 for a period of 18 months, you were a research fellow/senior registrar at Queen Alexandra Hospital,3. The said record card influenced the Specialist Advisory Committee in General Surgery to recommend that you be granted retrospectively accreditation for higher surgical training;
b. That starting in August 1987 for a period of five months, you held the post of senior registrar at the Queen Alexandra Hospital, Portsmouth and St Mary's Hospital, Portsmouth,
c. That starting in January 1988 for a period of five months, you held the post of senior registrar at St Helier Hospital, London,
d. Between May 1988 and May 1990 you held the position of senior registrar at the Royal Marsden Hospital, London, implying that it was a substantive post.
4. Your actions as described in paragraphs 1(c) and/or 2 above were;
a. inappropriate,5. a. In 1998 you applied for the post of consultant general surgeon with a special interest in breast surgery with the Bradford Hospitals NHS Trust ("the Trust"),
b. intended to mislead,
c. dishonest,
d. unprofessional;
b. In furtherance of the said application;6. The submitted application form and/or curriculum vitae contained the following misrepresentations;
i. On 27 April 1998, the Trust received from you a curriculum vitae,c. On 22 May 1998, the Trust interviewed you for the post of consultant general surgeon with a special interest in breast surgery,
ii. You submitted to the Trust a completed application form dated 18 May 1998,
d. On 17 July 1998, after having interviewed you, the Trust offered you appointment as a consultant general surgeon with a special interest in breast surgery,
e. By letter dated 22 July 1998, you accepted this employment,
f. On 14 September 1998, you commenced your employment with the Trust as a consultant general surgeon with a special interest in breast surgery;
a. During a surgical registrar post at the Kent and Canterbury Hospital, you were promoted to acting consultant for a period of three months,7. The said application form and curriculum vitae failed to include reference to the following;
b. You had held a post as senior registrar employed by Portsmouth and South East Hampshire Health Authority at the Queen Alexandra Hospital, Portsmouth and St Mary's Hospital, Portsmouth, c. That at all times when employed at St Helier Hospital, London, you had held a post as locum senior registrar,
d. You had held a two year post as senior registrar at the Royal Marsden Hospital working on the treatment of breast and colorectal cancer,
e. You had held a four year post as consultant general surgeon in Dunedin Public Hospital, Dunedin, New Zealand but failed to provide information as to the distinction in the use of the term "consultant" in New Zealand and the UK at that time,
f. You were the lead or sole author of the following publications;
i. 'Familial breast cancer and the Lewis antigen system'. European Journal of Surgical Oncology 1988; 14:352,
ii. 'Primary medical treatment in breast cancer'. British Medical Journal 1991; 302: 2-3,
iii. 'Apparent regression of rectal polyps in a patient with Gardner's syndrome receiving concomitant Tamoxifen Therapy'. Australia and NZ Journal of Surgery 1993; 63: 578-579.
a. your appointment as;8. The said completed application form and curriculum vitae formed the basis of the Trust's invitation to you to attend for an interview for the post of consultant general surgeon with a special interest in breast surgery;i. A locum registrar at Bro Taf Health Authority between 7 October 1985-5 January 1986,b. The following periods during which you were not working in any NHS post:
ii. A registrar in South West London between 10-19 March 1986,
iii. A registrar in South West London between 4-16 December 1987,
iv. A locum senior registrar for South West Regional Health Authority between 21 December 1987 and 24 December 1987 and 28 December 1987-1 January 1988;i. 6 January 1986-9 March 1986,
ii. 20 March 1986-1 May 1986,
iii. 16 August 1987-17 September 1987,
iv. 16-21 December 1987,
v. 24-28 December 1987,
vi. 22-25 April 1988;
9. The content of your curriculum vitae, application form and responses in interview for the post of consultant general surgeon with a special interest in breast surgery presented your career history in a way that was consistent with legitimate entitlement to accreditation for higher surgical training and entry on the specialist register when you knew or ought to have known that this was not the case;
10. a. In reliance upon the content of your curriculum vitae and application form and your responses in interview for the post of consultant general surgeon with a special interest in breast surgery, the Trust offered you an appointment as a consultant general surgeon with a special interest in breast surgery,
b. You accepted the appointment when you knew or ought to have known that you were not entitled to be employed as a consultant general surgeon in that having regard to your true career history you were not entitled in 1993 or subsequently to;11. Your actions as described in paragraphs 6, 7, 9 and/or 10(b) above were;i. Accreditation for higher surgical training from the Royal College of Surgeons in Edinburgh and/or elsewhere; and/or,
ii. Entry on the specialist register;
a. inappropriate,And that in relation to the facts alleged you have been guilty of serious professional misconduct."
b. intended to mislead,
c. dishonest,
d. unprofessional;
The Findings of the PCC
(1) On 6th November 1992 the appellant wrote to the Joint Committee on Higher Surgical Training (JCHST) inquiring whether he could retrospectively apply for accreditation for HST.
(2) That, having supplied his curriculum vitae, the Secretary to the JCHST wrote to him by letters dated 14th June 1993 and 22nd June 1993 drawing to his attention some specific points in connection with his ability to qualify for accreditation.
(3) That, by letter dated 18th August 1993 accompanying an attached completed record card, being a record card for enrolment, the appellant acted in order to obtain accreditation upon the basis of the information given on the record card.
Although the PCC's reasons do not refer to a letter dated 8th July 1993 from the appellant to the Secretary of the Joint Committee, a statement made in that letter to the effect that "the Senior Registrar position at the Royal Marsden Hospital was a substantive post … " was in evidence before the PCC.
(i) Starting in January 1986 for a period of eight months, you were a Research Fellow-Senior Registrar at Queen Alexandra Hospital;
(ii) Starting in August 1987 for a period of five months, you held the post of Senior Registrar at Queen Alexandra Hospital, Portsmouth and St Mary's Hospital, Portsmouth;
(iii) That, starting in January 1988 for a period of five months, you held the post of Senior Registrar at St Helier Hospital, London;
(iv) That between May 1988 and May 1990 you held the position of Senior Registrar at the Royal Marsden Hospital, London, implying that it was a substantive post;
(v) The Committee found that the record card influenced the SAC in General Surgery to recommend that the appellant be granted retrospective accreditation for HST;
(vi) The Committee found the misrepresentations in connection with the post of senior registrar for five months at Queen Alexandra Hospital and St Mary's Hospital and of senior registrar for five months at St Helier Hospital to have been dishonest, having been made with the intention to mislead. The balance were found to be inappropriate and unprofessional.
The Findings in connection with the Application to Bradford Hospitals NHS Trust ("the Trust")
(1) That, during a surgical registrar post at the Kent and Canterbury Hospital, the applicant had been promoted to acting consultant for a period of three months;
(2) That at all times when employed at St Helier Hospital, London he had held a post as locum senior registrar; and
(3) That he had held a two year post as senior registrar at the Royal Marsden Hospital working on the treatment of breast and colorectal cancer, each to have been misrepresentations.
The claims in relation to the time at St Helier Hospital were found to be dishonest, having been made with the intention to mislead, and the balance to have been inappropriate and unprofessional.
Details of publications submitted with the curriculum vitae.
Admissions in connection with omissions from the application form and CV
Finding in connection with Charge 9 and 10
PCC findings in connection with matters relevant to penalty
"…. remain concerned that this could have been the case as [the appellant] had not undertaken a properly organised and supervised training programme. By claiming accreditation without such training you obtained a post for which you were not qualified, and gained significant advantage over those who were legitimately entitled to hold such a post."…
Understandably the appellant has relied upon this finding in support of his principal argument that the PCC held that he was not entitled to accreditation, and therefore misdirected themselves. In my judgment, the PCC were not required to decide whether the appellant was entitled to accreditation. So far as they might have done, it was at the urging of the appellant. At this part of the reasons the PCC are considering penalty. By this stage it had been concluded that he had influenced the grant of accreditation by making dishonest misrepresentations. Unsurprisingly the PCC regarded the appellant as though he was not accredited.
The accreditation scheme ("the Scheme") and the central facts leading to the appellant's accreditation
"(1) In order to qualify for accreditation, candidates must have completed … four years (… General Surgery …) in their chosen specialty in posts that have been approved by the appropriate Specialist Advisory Committee.
(2) Candidates for accreditation must be enrolled for specialist training by the appropriate Specialist Advisory Committee.
(3) The Joint Committee will obtain written evidence from the surgeons under whom they have worked that in their opinion that work has been satisfactory….".
"(1) At least three years must be spent as a senior registrar or in a post of equivalent responsibility and training potential. The post should rotate through units offering both academic and NHS service commitments.
(2) The remaining year can be in a post approved by the SAC at registrar level provided that it is held in the post-fellowship period. This period may be in a clinical or a research post.
(3) Provided that at least two of the four years are spent in clinical work in general surgery and the approval of the SAC has been obtained, up to one year may be spent in general paediatric surgery, or up to two years in transplant surgery or vascular surgery, or up to two years in urology in a programme approved by the SAC in urology. Up to six months may be spent in another surgical specialty in a programme approved by the appropriate SAC."
The appellant's progress towards accreditation
"… I am currently Locum Senior Surgical Registrar to the Royal Marsden Hospital and have recently been interviewed by members of the College who have inspected the jobs at the Royal Marsden and the question of J-Pac numbers came up. Having completed my research for an MCh for which I took two years out of the clinical scene. I have not had any correspondence regarding the numbering of posts and as I understand it it will be obligatory to have a numbered post in order to apply for a Senior Registrar position. I will be grateful if you could help with my problem as I consider working at the Marsden as a Locum Senior Registrar a slightly anomalous position. I enclose a shortened Curriculum Vitae."
"… You are, indeed, in a difficult situation as a Locum Senior Registrar and, as I am sure you realise, you should attempt to obtain a substantiative (sic) Senior Registrar post as soon as possible.
The Regional Training Committees are interviewing all the Career Registrars in each Region and this includes those trainees who are currently doing research but have nevertheless had a Career Registrar clinical training. You come into this category and if your training has been suitable and the Committee think you have a good chance of getting a Senior Registrarship, they will award you an SAC number.
I must stress that, at the moment, this is purely an educational exercise and has nothing to do with the JPAC target which the Region will eventually be given.
Although JPAC considers the Special Health Authorities separate from the Regions, we have asked the Northwest Thames Regional Training Committee to look at Marsden trainees and so they should have considered your name. May I suggest that you write to Mr John Sayles who is your Regional Adviser and he will explain the situation to you and tell you when the Regional Training Committee will be performing this exercise."
"YOUR APPLICATION FOR CAREER REGISTRAR NUMBER IN GENERAL SURGERY
I am pleased to say that following your interview last month, it has been recommended to the SAC in General Surgery that you be awarded a CR number.
I would remind you that your retention of this number will be reviewed annually."
"In consequence of being awarded a JPAC number my post, as a Senior Registrar at the Royal Marsden, was converted to a permanent position".
I regard this as a deliberate piece of obfuscation.
"Two of the SRs rotate with The Westminster and St George's Hospitals respectively, and carry their numbers with them from their parent Hospital. The third SR has a Royal Marsden number (approved by JPAC). The present incumbent of this numbered post is on secondment to St Mark's and has held his current appointment for 10 years. We interviewed one SR in post (St George's Rotation), two locum SRs and the newly appointed middle grade registrar from the Academic Unit."
One of the two locum SRs there referred to was the appellant. The Royal Marsden SR numbered post was held by Mr Montgomery, the surgeon on secondment to St Mark's, and the appellant was in post as locum in his absence having replaced a previous locum and in response to an advertisement for a locum. Mr Montgomery had been absent during many of the ten years he had held the appointment, but he had not relinquished his SR post at the Royal Marsden, which was the only Royal Marsden-held SR position. It is obvious that there can be but one incumbent of an SAC approved numbered post and the appellant could not have thought otherwise.
"You are, indeed, in a difficult situation as a Locum Senior Registrar and, as I am sure you realise, you should attempt to obtain a substantive Senior Registrar post as soon as possible…."
the appellant stated in his letter dated 8th July 1993 that "the Senior Registrar position at the Royal Marsden was a substantive post …". The PCC had to decide whether that was a misrepresentation and, if so, whether it was made dishonestly. The appellant maintained that reasonable grounds existed for him to state that it was a substantive post.
"… I was the Senior Surgical Registrar for two years at the Royal Marsden Hospital, London. Before that I was Rotating Surgical Registrar on the St Thomas's surgical rotation, followed by a period of research for which I was granted a thesis by the Welsh National School of Medicine.
I believe a year on the St Thomas's rotation, and a research post, can be counted towards higher surgical training".
"Thank you for your letter of 6 November regarding your wish to be considered for Accreditation in retrospect. The usual procedure is for a trainee to enrol with the appropriate Specialist Advisory Committee on being appointed to an approved Senior Registrar post. This enables the Committee to monitor his progress during the period of training leading to Accreditation. I must also point out that the usual requirement is for three of the four years of higher training to be at Senior Registrar level.
Nevertheless, if you can kindly send me your CV, I shall ask the Chairman if the Committee can consider your request at their next meeting."
"I believe my position as consultant surgeon for the past two years and eight months practising in a university teaching hospital would make me eligible for retrospective accreditation."
The next paragraph of his letter demonstrates that he had available to him the Joint Committee on Higher Surgical Training Fourth Report. He wrote:
"The regulations for general surgery higher training (Joint Committee on Higher Surgical Training fourth report) states that three years must be spent as a senior registrar or in a post of equivalent responsibility and training potential. I believe this would apply to the post of consultant surgeon at the University Hospital of Otago. The department is recognised for higher training for the Royal College of Australasian Surgeons (enclosed is a report from a higher surgical trainee). The regulations further state that a remaining year can be spent in a post approved at registrar level provided it is held in a post fellowship period. This I believe can be applied to the position of surgical registrar of St Thomas's rotation which I held for two years. I was also a senior surgical registrar at Royal Marsden Hospital for a further two years."
"… The reason for applying for retrospective accreditation is that the health services in New Zealand are being reorganised and to obtain specialist status the Higher Surgical Training Certificate is necessary. A recent application was turned down (attached document) due to the lack of a higher certificate. However, specialist status will be granted on obtaining retrospective accreditation from the United Kingdom. Not having specialist status does have employment and financial implications."
"… I understand that he had not quite completed full training as a surgeon under the aegis of the Royal College of Surgeons but he had been practising as a Consultant Surgeon at Dunedin Hospital for the past two years".
"I must make it clear that time spent as a Consultant cannot be counted towards Accreditation. A Consultant would not be regarded by this Joint Committee as equivalent as a trainee for this purpose. You would therefore have to rely on your time in the training grades of Registrar and Senior Registrar."
"… I must add that Accreditation is not only a matter of completing so many years of training. It has always been the rule that training must have been completed to the satisfaction of the Consultants with whom the trainee has worked. This means that the SAC would be obliged to seek reports from those with whom you worked as a Senior Registrar. The SAC would also wish to be assured that your post at the Royal Marsden Hospital was a recognised and substantive Senior Registrar post obtained after advertisement and in open competition."
"He did not apply for enrolment when he was a Senior Registrar at the Royal Marsden Hospital. I would be glad of your advice on whether or not I should now invite him to apply for Accreditation if he can confirm that his time there was in a recognised substantive post".
"Locum Senior Registrar St Helier Hospital, London January 1988 to May 1988
Senior Registrar, the Royal Marsden Hospital, Fulham Road, London May 1988 to May 1990….."
"Yes – please check the facts. He has 2 years post Fellowship and 2 years SR (if it was a substantive post). He needs another 1 year [indecipherable]. Is the locum SR on the same rotation (@Marsden and St Helier) …"
"In my letter of 14 June I mentioned that I would be seeking advice from the Chairman of the SAC regarding your request for Accreditation. He confirms that the crucial issue will be the standing of the Senior Registrar post you held at the Royal Marsden Hospital. He also points out, as indicated in my letter of 26 November 1992, that three of the four years of higher training need to be at Senior Registrar level.
If therefore your two years at the Royal Marsden Hospital were in a substantive post, the question will be how to find a third acceptable Senior Registrar year. The Chairman has suggested that your five months as a locum Senior Registrar at St Helier Hospital could be counted if the post you held as a locum formed part of a rotation with the Royal Marsden Hospital. It would also be helpful if you could let me know how much, if any, of your time as a Research Fellow (January 1986 – January 1988) was spent in clinical work.
We therefore need to establish the facts before deciding whether or not we can take the matter further."
In the light of this letter, it cannot be suggested that the appellant was unaware how important "the facts" were and of an attendant need for care in presenting them.
(1) Two years as a senior registrar;
(2) Two years as a registrar;
(3) An additional fifth year in clinical practice.
Counsel for the GMC does not dispute that, in some circumstances, two years as a senior registrar may be regarded as sufficient, if compensated by other training over a period of three years.
"During my research period at Portsmouth I spent a proportion of my time in clinical work. This consisted of ward rounds with the consultant as well as a regular breast clinic. The then "soft money" for this position ran out at eighteen months and for the remaining six months while writing my thesis I filled in as locum senior registrar (part of the St Thomas's rotation) both in Queen Alexandra and St Mary's Hospital, Portsmouth. I would also point out that during the research position I also filled in for holidays and study leave for the senior registrar which I believe accounts for a further two months in all. It is not unusual for research fellows to occupy senior registrar locums. Following my research I moved on as locum senior registrar at St Helier's Hospital for five months which is also part of the St Thomas's surgical rotation and then on to the Royal Marsden Hospital for a further two years."
I read that paragraph as a case for concluding that he did six months as a locum senior registrar both in Queen Alexandra and St Mary's Hospital in Portsmouth. In addition, filling in for holidays and study leave as a senior registrar another two months could be found. That, thereafter, he moved on as locum senior registrar at St Helier's Hospital for five months. Those months totalled thirteen months and were put forward to qualify for the third year as a third acceptable senior registrar year. This letter has to be contrasted with charges 2(a), 2(b) and 2(c) which were based on the Record card (page 264-5) where no reference was made to the posts being locum.
"My post fellowship training has been
1. two years St Thomas's surgical rotation
2. eighteen months research fellowship plus six months senior registrar locums
3. five months senior registrar locum St Helier Hospital (St Thomas's rotation)
4. two years senior registrar at the Royal Marsden Hospital….".
Apart from the absence of a reference to the two months filled in for holidays and study leave as a senior registrar, this was a summary of the previous paragraph.
"He has no more than two years as a substantive Senior Registrar but was appointed to that post in May 1988, having obtained the FRCS in 1983. It may be possible therefore for him to qualify for the concession that would allow him two years of retrospective recognition.
If you think his case is strong enough, I shall ask him to complete the usual Record card and seek reports from the Consultants with whom he worked at the Royal Marsden Hospital."
On that letter Professor Johnson marked in manuscript the comment "Yes. May".
"… placed in a position of losing my employment due to a technicality over retrospective accreditation, ie on my three years as a consultant surgeon not being regarded for accreditation purposes…."
"Mr Phipps has suggested that I write both to you and to Mr Griffiths regarding his time as a Senior Registrar at the Royal Marsden Hospital from May 1988 to May 1990."
Mr McKinna replied by a letter dated 6th September 1993 detailing the character of the elective general surgery in breast and abdominal disease which the appellant had carried out and speaking to the experience in the surgical assessment of patients and exposure to the management of breast cancer and medical treatment and chemotherapy for the advanced disease of breast cancer and his participation in the programme concerned with primary medical therapy in operable breast cancer with large tumours. The opinion of Mr McKinna was stated as follows:
"Mr Phipps is a good, well trained surgeon and I was delighted to hear that he had obtained a formal consultant post in New Zealand soon after he arrived in that country. I can support his application for recognition of higher surgical training and the appropriate accreditation without any hesitation."
Mr Griffiths replied by a letter dated 6th September 1993 stating:
"Mr Phipps worked with me as Senior Registrar at the Royal Marsden Hospital from May 1988 to May 1990. He was a very capable surgeon and able to undertake all duties with skill and caring. He got on well with all his colleagues and was well liked by patients and staff. I recommend him most highly for accreditation."
"it be recommended to the appropriate Colleges that Certificate of completion of training be awarded to … Robert Francis Phipps Royal Marsden…".
The minutes do not disclose the basis upon which the Committee resolved to grant accreditation. It accepted the SAC recommendation. The appellant was informed by a letter dated 30th September 1993 that the Committee had agreed that he had satisfactorily completed higher surgical training and the matter was left for the Edinburgh College to award the certificate. Contrary to paragraph 41 of the appellant's statement to this court, Mr Webber did not confirm to the PCC that the appellant had been granted accreditation upon the "… basis of the alternative method of qualifying". Mr Webber was asked by the Legal Assessor:
"… So, you cannot tell this Committee what the SAC took into account and what it left out of account when deciding to make its recommendation?
To which Mr Webber replied:
"That is right. I mean I can only, you know, by looking at the papers that are with you, surmise" (transcript B6. 1282).
Issues on the Appeal
"3. It is respectfully submitted that the Respondent has correctly crystallised and identified the issue of the status of the position of the two years that the appellant spent at the Royal Marsden Hospital ("RMH") as the 'crucial issue' in the first ground of appeal.
4. If, as the appellant submits, the two years spent at the RMH as a senior registrar ought to be recognised towards his period of training then he was entitled to be accredited with the certificate of Higher Surgical Training ("HST") and his first ground of appeal ought to be upheld.
5. If, as the Respondent submits, the two years spent at the RMH as a senior registrar ought not to be recognised towards his period of training then he was not entitled to be accredited with the certificate of HST and his first ground of appeal ought to be dismissed.
6. Accordingly, it is respectfully submitted that the only issue relevant to ground one that this Honourable Court needs to determine is whether or not the two years that the appellant spent at the RMH, as a senior registrar, ought to count towards the period of training required in order to be accredited with the certificate of HST."
(1) had been approved by the appropriate SAC;
(2) that the appellant was enrolled with the SAC for specialist training;
(3) that the appellant was employed as a senior registrar;
(4) that Mr McKinna had provided a witness statement testifying to his belief that the post was a substantive post and that:
"Nevertheless, I can state quite categorically that the post which he held for two years at the Royal Marsden was 'a post of equivalent responsibility and training potential' as prescribed by the regulations in force at that time".
(5) that the addition of the term "locum' for a limited period of time can only be indicative of a temporary contract rather than a permanent one and can have no relevance to whether the SAC training requirements had been met.
(6) that on the relevance of "locum" the Opinions of Lord Drummond Young should be followed.
Upon what basis was accreditation granted?
(1) the SAC would only put forward his application to a committee for consideration if his position at the Royal Marsden was a substantive position, obtained after advertisement and in open competition;
(2) it was essential to establish all the facts in connection with the appellant's career history and record of training;
(3) that the purpose in requiring the appellant to fill out a Record card to include such facts was to enable the Committee to consider the facts as they appeared from the card;
(4) that the Joint Committee must have made its decision to recommend accreditation after considering all the facts on the card.
I have no hesitation in concluding that all the facts in connection with his career history and record of training as stated on the card must be taken as having influenced the decision. In truth, there has been no submission to the contrary, despite the lengthy convoluted arguments addressed to support an entitlement to accreditation.
The issue of entitlement to accreditation as it affected charges 9 and 10
(1) Two years as a senior registrar at the Royal Marsden Hospital;
(2) Two years as a registrar at the Kent and Canterbury Hospital and St Thomas's Hospital.
(3) The final requirement, of a fifth year in clinical practice, post-fellowship, was said to be met by a combination of a number of positions, including a variety of locum registrar and registrar positions at various hospitals, but not, at least expressly, the five months as "senior registrar" at the Queen Alexandra Hospital and St Mary's Hospital at Portsmouth asserted in the Record card nor the five months from January 1988 as "senior registrar" at St Helier Hospital. Such reference as appears to a position at the St Helier Hospital is as a registrar.
"The Appellant wrote to the JCHST and SAC on 6th November 1992, 4th June 1993, 8th July 1993, 3rd August 1993, 10th August 1993 and 18th August 1993. In that correspondence the Appellant disclosed fully the nature of his appointments and whether, for example, they were locum positions or not…"
The breadth of this assertion is wholly unjustified by the letters referred to save that the letter of 8th July 1993 did refer to the locum status of the senior registrarships at Queen Alexandra and St Mary's Hospital, Portsmouth and the senior registrar position at St Helier Hospital, but no reference was made to the locum nature of the post at the Royal Marsden then or at any other time. The impact of the assertion, so far as it is correct, is limited because the charges were based on the statements in the Record card.
"It is to do with the issue of the minutes and their relevance and whether it matters what the Council, the relevant Committee or in the end the College might have done if they had known that things were different assuming that there was something wrong with what was submitted to them in the CV…. Because everyone agreed yesterday that we are not re-running the actual decision that was made to grant accreditation… and most of the minutes seem to be geared towards showing 'Well, this is probably what was in the collective mind of the Committees…', if they have such a thing '… when accreditation was granted'".
In response, the Legal Assessor correctly identified that in the first part of the Heads of Charge, namely 1 to 4, there was no need to discuss the grounds upon which accreditation was in fact granted, but he turned to charges 9 and 10 and to the phrase "legitimate entitlement to accreditation … when you knew or ought to have known that this was not the case". The Legal Assessor asked Mr Tehrani:
"And what I want to know really there is does the Council say, well, at that stage it is legitimate to look at what the various Committees and the College might have done if they had known the true facts, or should in Head of Charge 9 "consistent with legitimate entitlement" read for example or be understood to mean, "It was consistent with you having legitimately obtained accreditation which you would not have done if you had submitted false information?"
Mr Tehrani, replied "It is the latter position".
"The Council's case is that it does not matter what might have happened. If the information was false, deliberately or otherwise, you were not entitled to accreditation".
And then he went on to refer to charge 10:
"… having regard to your true career history you were not entitled in 1993 or subsequently to …" again is it the Council's case that that simply means, "Well, because you had submitted – allegedly submitted – false information you were not entitled to it on any ground".
Mr Tehrani replied "Yes", to which the Legal Assessor added:
"You might have been if you had submitted correct information, but that is irrelevant?"
Mr Tehrani replied "Yes", and the Legal Assessor added:
"And that you never became entitled at any time after 1993 because you never corrected any errors?"
Mr Tehrani replied "Yes", and the Legal Assessor added "That is the way the case is put?"
Mr Tehrani again replied "Yes".
"What I was trying to see is that there might be an argument as to entitlement, whether, for example, I am entitled to call myself a Bachelor of Arts because I have done the exam, or because it has been marked as a pass, or because I have been to see the Vice-Chancellor or I have had the certificate in the post, and I just wanted to be clear about that and how the Council understands the charge."
This led to confusion in the minds of at least one of the Committee and the Legal Assessor was asked to sum the matter up again. He went on to say:
".. my understanding of the Council's case – and, as I say, it is entirely open for Mr Phipps to argue that actually the charge means something different. But as I understand the way it has been presented is that these two charges or Heads of Charge are interlinked in this sense, that it is the Council's case that accreditation was granted on the basis of wrong or inaccurate information. It may have been deliberately false, it may have been innocently false, and that is a matter for discussion and decision, but wrong/inaccurate information.
If it was granted on the basis of inaccurate information then the candidate was not properly entitled to accreditation, because no Committee or College would have granted accreditation on the basis of inaccurate information if they had known it to have been inaccurate, and therefore it does not matter whether had they known the true facts they would actually have given accreditation because that position never arose.
And then 10(b) as I understand it follows on automatically that, if that is the position and if Mr Phipps knew that he had given inaccurate information, then it is said he ought to have realised that the College would not have given him accreditation on the basis of inaccurate information and therefore he knew that he had not been entitled to accreditation. In other words, that is why I use the phrase it had not been obtained legitimately because it was on the basis of inaccurate information."
Upon this Mr Tehrani commented:
"Yes, that is exactly how the Council puts its case".
The Opinions of Lord Drummond Young
(1) that the decision made by the SAC in granting accreditation appeared to have been based on misleading information. In particular, the training record (the Record card) had stated that the appellant had undergone five months of training from August 1987 at Queen Alexandra Hospital and St Mary's Hospital in Portsmouth at senior registrar level whereas, in reality, only a few short periods were carried out at locum senior registrar level and the rest at various other grades to cover a series of holidays and other absences;
(2) that the training record stated he had undergone five months' training from January 1988 at St Helier Hospital at senior registrar level whereas, in reality, only a few short periods were actually carried out at locum senior registrar level to cover a series of holidays and other absences;
(3) the training record stated he underwent a two year period from 1988 to May 1990 as senior registrar at the Royal Marsden Hospital and that, notwithstanding the fact that Mr McKinna and Mr Griffiths, "his trainers", were under the impression that the senior registrar post filled by the appellant at the Royal Marsden was a substantive post, in reality this was a locum senior registrar appointment;
(4) that the appellant knew, as a result of his correspondence with Professor Browse, that he was in an anomalous position as a locum senior registrar at the Royal Marsden and that he understood it would be obligatory to have a numbered post in order to apply for a senior registrar post;
(5) that the appellant had received a career registration number for one year subject to annual review and, despite this clearly referring to a career registration number, the appellant had erroneously assumed that he was now in a substantive senior registrar post. That he had made no attempt to correct this assumption or to obtain confirmation of it in writing. Further, he did not enrol with the SAC as would have been required on gaining a substantive senior registrar post.
"On the purely technical matter as to whether Mr Phipps had fulfilled the requirements for accreditation as laid down by the Fourth Report of the Joint Committee on Higher Surgical Training, dated 1987, and on the basis of the above, the tribunal do not feel that the accreditation is valid. It is our opinion that had the SAC in General Surgery been aware that all the SR posts listed in his JCHST application were locum and not substantive, Mr Phipps would not have been awarded retrospective accreditation. Our recommendation to the Council of the Royal College of Surgeons of Edinburgh is that Mr Phipps' accreditation be withdrawn."
The Opinion of Lord Drummond Young records that the conclusions of the tribunal in connection with the posts at senior registrar level at Queen Alexandra and St Mary's Hospital and at the St Helier Hospital being only locum posts and not being held for as long a period as the training record indicated, was not in dispute. This part of the case has not been in dispute on this appeal.
"That view seems to have been shared by the Consultants for whom he worked, as appears from the letters referred to in paragraph [29] above, at least to the extent that they believed that the original locum post had been converted into a substantive post. The requirement that the post should be obtained after advertisement and in open competition does not appear to be a condition of the JCHST Fourth Report. Nevertheless, the petitioner in his written statement to the tribunal indicated that he had obtained the locum post at the Royal Marsden Hospital after advertisement and in open competition, and Mr McKinna in his letter of 11 September 2000 to the respondents' Chief Executive stated that the locum post had been advertised."
"Counsel for the respondent stated at the outside of his submission that any question of fraud or dishonesty on the part of the petitioner had nothing to do with the decision of the tribunal and was not pled in justification of that decision. If such question arose, it was a matter for the GMC only".
Conclusion on Ground 1
(1) he must have known that the "crucial issue" in connection with the Royal Marsden was whether it was substantive or not;
(2) he knew it was not; and
(3) nevertheless he implied that it was.
It has not been suggested that there was insufficient evidence to support the conclusion he was dishonest in the respects as found. The decision to grant accreditation was clearly influenced by the contents of the Record card and the dishonest misrepresentations. The PCC were not led into error by their consideration of his entitlement to accreditation. Once it had concluded he had been dishonest the PCC were entitled to regard the actual grant as vitiated by deception and illegitimate. The findings were not against the weight of the evidence, but were in accordance with the evidence and there was no misdirection.
Fair Hearing
(1) the appellant was facing disciplinary charges under the procedures operated by the PCC which are relatively informal by comparison with the High Court;
(b) the burden of proof was on the GMC and not the appellant;
(c) the appellant had legal advice and representation until shortly before the hearing;
(d) the law was straightforward; the issue was whether the appellant had committed serious professional misconduct and, if so, what penalty could be appropriate. Having read the record, I am satisfied that the appellant conducted his case with skill and tenacity. He never failed to take a point;
(e) the issues in the case were issues of fact which were within the appellant's own knowledge. The most important issue (the misrepresentation of the nature of the Royal Marsden post) was a simple one. There was no need for expert evidence to establish whether the appellant had misrepresented the facts.
(f) the appellant, being an educated professional, was capable of representing himself;
(g) no specific prejudice to the appellant as a result of not having legal representation has been demonstrated.
REASONS
RECORD CARD | POSITION | PLACE | OBSERVATION |
October 1983 1 year |
Registrar | Kent & Canterbury Hospital |
Confirmed that he held the position of registrar from 1October 1983 to 2 October 1984 |
October 1984 1 year |
Registrar | St Thomas's Hospital | Confirmed that he held the position of registrar from 3 October 1984 until 5 October 1985 |
January 1986 18 months |
Research Fellow/SR | Queen Alexandra Hospital | See summary below |
Pension records indicate that during this period Mr Phipps worked as a: Locum Registrar 7 Oct 1985 to 5 Jan 1986 Bro Taf HA Cardiff Registrar 10 Mar 1986 to 19 Mar 1986 South West London Registrar 1 May 1986 to 16 Aug 1986 Portsmouth Research Fellow 17 Sept 1986 to 30 Oct 1987 Portsmouth |
Pension records indicate that during this period Mr Phipps worked as a: Locum Registrar 7 Oct 1985 to 5 Jan 1986 Bro Taf HA Cardiff Registrar 10 Mar 1986 to 19 Mar 1986 South West London Registrar 1 May 1986 to 16 Aug 1986 Portsmouth Research Fellow 17 Sept 1986 to 30 Oct 1987 Portsmouth |
Pension records indicate that during this period Mr Phipps worked as a: Locum Registrar 7 Oct 1985 to 5 Jan 1986 Bro Taf HA Cardiff Registrar 10 Mar 1986 to 19 Mar 1986 South West London Registrar 1 May 1986 to 16 Aug 1986 Portsmouth Research Fellow 17 Sept 1986 to 30 Oct 1987 Portsmouth |
Pension records indicate that during this period Mr Phipps worked as a: Locum Registrar 7 Oct 1985 to 5 Jan 1986 Bro Taf HA Cardiff Registrar 10 Mar 1986 to 19 Mar 1986 South West London Registrar 1 May 1986 to 16 Aug 1986 Portsmouth Research Fellow 17 Sept 1986 to 30 Oct 1987 Portsmouth |
August 1987 5 months |
Senior Registrar | Queen Alexandra Hospital | See summary below |
January 1988 5 months |
Senior Registrar | St Helier Hospital | |
This period seems to be confused. However, pension records indicate that Mr Phipps worked as a: Registrar 4 Dec 1987 to 16 Dec 1987 South West Reg HA Locum SR 28 Dec 1987 to 1 Jan 1988 Registrar 2 Jan 1988 to 7 Feb 1988 South West London Locum SR 8 Feb 1988 to 12 Feb 1988 Registrar 13 Feb 1988 to 31 Mar 1988 Locum SR 1 April 1988 to 22 April 1988 |
This period seems to be confused. However, pension records indicate that Mr Phipps worked as a: Registrar 4 Dec 1987 to 16 Dec 1987 South West Reg HA Locum SR 28 Dec 1987 to 1 Jan 1988 Registrar 2 Jan 1988 to 7 Feb 1988 South West London Locum SR 8 Feb 1988 to 12 Feb 1988 Registrar 13 Feb 1988 to 31 Mar 1988 Locum SR 1 April 1988 to 22 April 1988 |
This period seems to be confused. However, pension records indicate that Mr Phipps worked as a: Registrar 4 Dec 1987 to 16 Dec 1987 South West Reg HA Locum SR 28 Dec 1987 to 1 Jan 1988 Registrar 2 Jan 1988 to 7 Feb 1988 South West London Locum SR 8 Feb 1988 to 12 Feb 1988 Registrar 13 Feb 1988 to 31 Mar 1988 Locum SR 1 April 1988 to 22 April 1988 |
This period seems to be confused. However, pension records indicate that Mr Phipps worked as a: Registrar 4 Dec 1987 to 16 Dec 1987 South West Reg HA Locum SR 28 Dec 1987 to 1 Jan 1988 Registrar 2 Jan 1988 to 7 Feb 1988 South West London Locum SR 8 Feb 1988 to 12 Feb 1988 Registrar 13 Feb 1988 to 31 Mar 1988 Locum SR 1 April 1988 to 22 April 1988 |
May 1988 to May 1990 | Senior Registrar | Royal Marsden Hospital | This was a locum SR post throughout |
MR JUSTICE NEWMAN: For the reasons given in a judgment which I now hand down, this appeal is dismissed. The parties have agreed a form of order, which is that the appeal be dismissed and that there be no order as to costs, save for the costs of the appellant to be assessed and paid by the Legal Services Commission. Thank you.