QUEEN'S BENCH DIVISION
ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
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B e f o r e :
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R (on the application of B) |
Claimant |
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- and - |
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The Nursing and Midwifery Council |
Defendant |
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Ms A Thompson (instructed by the Nursing and Midwifery Council) for the Defendant
Hearing dates: 30th March 2012
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Crown Copyright ©
Mrs Justice Lang:
Introduction
Facts
"That you, while working as nurse at Cardiff and Vale NHS Trust, failed to provide adequate care to patient A in that you:
Failed to create a care plan even after identifying a re-occurring pressure sore, between the dates of March 2004 and June 2004.
Over 12 days following 9 June 2004 there were no recordings made of turning or monitoring [the] patient."
"The panel reviewed all the information before it including the on-table papers provided by the RCN. The panel agreed that these allegations appear to relate to failures of the Home in question to provide a good standard of care to its service users. The panel agreed that other nursing staff would have been involved in this patient's care and according to the report written by the consultant physician, all qualified nursing staff provided severely sub-standard general nursing care. The panel therefore concluded that there was evidence of system failures and insufficient information to suggest that this registrant was solely responsible for the inadequate care of the service user in question. The panel therefore agreed that there was no realistic prospect of a finding of impairment of fitness to practice."
"if the NMC are final in their decisions and do not wish to consider any further available documentation then I will endorse our records accordingly."
a failed to ensure a care plan was put in place and adhered to;
b failed to keep adequate records in relation to daily patient care;
c failed to act on instructions given from other duty nurses.
"Panel decision
The panel also decided to set aside the decision made by the previous panel of the Investigating Committee.
Reasons for decision
The panel considered the submissions from the NMC's Regulatory Legal Team and those from the Royal College of Nursing related to the power to set aside a decision of the Investigating Committee under R (on the application of Jenkinson) v. The Nursing and Midwifery Council [2009] EWHC 1111 (Admin). The panel note that the legal authorities cited in Jenkinson indicate that a Committee may have a limited power to set aside previous decisions where there has been a slip or an accidental error. The panel notes that ordinarily decisions about overturning an announced decision would be made by a higher authority e.g. the High Court. The panel carefully considered whether the original decision had been a slip or an accidental error. The panel considers that the definition of a slip is a 'faulty action' and that the application of the case to answer test by a previous panel represented a faulty action insomuch as:
a) The panel appeared to consider the allegations against the individual registrant in the context of systems failures within the home. The panel believes that this was an error as such considerations may be relevant at the sanction stage of a substantive hearing but play no part in considering whether there is a case for an individual registrant to answer.
b) The panel did not apply the guidance provided by the NMC on the case to answer test when considering the medical expert reports commissioned by another public body (in this case Gwent Police) in that they failed to offer any specific reason for making a finding which was inconsistent with the expert's findings.
Taking this into account the panel have concluded that the original decision should be set aside in order to correct the slip made by the previous panel."
Submissions
Conclusions
The Investigating Committee's powers
"Reconsideration of allegation after a finding of no case to answer
7(1) This rule applies where –
(a) the Investigating Committee has considered an allegation that the registrant's fitness to practise is impaired and decided that there is no case to answer in respect of that allegation; and
(b) at any time within three years from service of the notice of decision, the Council receives a fresh allegation about the registrant.
(2) Where this rule applies, the Investigating Committee may –
(a) when considering whether or not there is a case to answer in respect of a fresh allegation, take account of the original allegation; and
(b) may refer both the original allegation and the new allegation to the Conduct and Competence Committee or Health Committee."
a) the IC is a statutory committee of the NMC (a statutory body) whose powers and duties are set out in the Order and the Rules;b) neither the Order nor the Rules confer any power to set aside and reverse a decision of IC that a registrant has no case to answer, outside the specific circumstances provided for in Rule 7, which do not apply to this case.
"But there is a larger issue: can even a full tribunal rescind its own or another tribunal's decision? I can find no explicit power to do so in the Rules, and I see a number of reasons why no such power should be inferred or implied.
Rule 38 provides:
"Any irregularity resulting from failure to comply with these Rules before an appellate authority has reached its decision shall not by itself render the proceedings void, but the appellate authority may, and shall if it considers that any person may have been prejudiced, take such steps as it thinks fit before reaching its decision to cure the irregularity, whether by amendment of any document, the giving of notice or otherwise."
The limit in point of time of this power to cure irregularities is thus the point at which a decision is reached. From then on the maximum power must be to correct accidental errors which do not substantially affect the rights of the parties or the decision arrived at. Mr Riza has drawn our attention to a passage in Wade & Forsyth on Administrative Law. 7th ed. (1994), p.262. Having instanced cases where powers of review are expressly conferred on administrative tribunals, the authors say:
"Even where such powers are not conferred, it is possible that statutory tribunals would have power, as has the High Court, to correct accidental mistakes; to set aside judgments obtained by fraud; and to review a decision where facts subsequently discovered have revealed a miscarriage of injustice."
The footnote to this sentence cites the slip rule (R.S.C., Ord 20, r.11) and the decision of the Privy Council in Hip Foong Hong v. H. Neotia & Co. [1918] A.C, 888, a case concerning the power of His Britannic Majesty's Supreme Court for China, sitting at Shanghai, to order a new trial for the admission of fresh evidence in a dispute between two firms of opium merchants encountering difficulties with China's attempts to ban importation of the drug. For my part I do not think that, slips apart, a statutory tribunal – in contrast to a superior court – ordinarily possesses any inherent power to rescind or review its own decisions. Except where the High Court's jurisdiction is unequivocally excluded by privative legislation, it is there that the power of correction resides."
"Decisions
As noted above once a tribunal has announced its decision it has, as a general rule, no power to reconsider it or to reopen the case[1] unless of course its decision is quashed by the High Court. This applies equally where one of the parties later discovers fresh evidence which might well alter the decision, and in such a case the court has no power to assist by quashing.[2] But there is exceptional power to reopen the case where the tribunal's decision is given in ignorance that something has gone wrong, e,g. that a notice sent to one of the parties has miscarried. But this power must be exercised sparingly and only where the party prejudiced by the mistake has a reasonable excuse.[3] There are also important statutory exceptions. Social security tribunals have been given wide powers to review their own decisions, and so have employment tribunals. As we have see the 2007 Act introduces a wide power of 'internal review' that will enable the First-Tier Tribunal and the Upper Tribunal to set aside earlier decisions in the circumstances specified. A binding decision by a tribunal is res judicata and cannot be relitigated by the same parties.[4] " (p.791-2)
"Revocable and irrevocable action
It may be necessary to determine whether there is power to revoke or modify the decisions or orders of an administrative authority or tribunal.[5] The question here is whether the authority itself has power to do this. This is different from the question whether some other authority has power to do so, which may be affected by a statutory provision that the decision 'shall be final', as explained elsewhere.[6]
In the interpretation of statutory powers and duties there is a rule that, unless the contrary intention appears, 'the power may be exercised and the duty shall be performed from time to time as occasion requires.'[7] But this gives a highly misleading view of the law where the power is a power to decide questions affecting legal rights. In those cases the courts are strongly inclined to hold that the decision, once validly made, is an irrevocable legal act and cannot be recalled or revised. The same arguments which require finality for the decisions of courts of law apply to the decisions of statutory tribunals, ministers and other authorities.
For this purpose a distinction has to be drawn between powers of a contributing character and powers which, once exercised, are finally expended so far as concerns the particular case. An authority which has a duty to maintain highways or a power to take land by compulsory purchase may clearly act 'from time to time as occasion requires'. But if in a particular case it has to determine the amount of compensation or to fix the pension of an employee, there are equally clear reasons for imposing finality. Citizens whose legal rights are determined administratively are entitled to know where they stand.
There is a third class of cases where there is power to decide questions affecting private rights but where there is also an inherent power to vary an order[8] or power to entertain fresh proceedings and make a different decision. Decisions on licensing applications and other decisions of policy will usually fall into this class, since policy is essentially variable. Thus, decisions on planning applications may be varied at any time if a fresh application is submitted.
There are also cases where a power of review by the body making the decision is expressly given by statute. The social security authorities, for example, have extensive powers to review their decisions on grounds of fresh evidence, change of circumstances, or mere mistakes.[9] Powers of much the same kind have been conferred on employment tribunals.[10] But if it proposes to vary its decision under such a power the tribunal should first hear any party prejudiced.[11] Even where such powers are not conferred, it is possible that statutory tribunals would have power, as has the High Court, to correct accidental mistakes; to set aside judgments obtained by fraud; and to review a decision where facts subsequently discovered have revealed a miscarriage of justice.[12] In the absence of such special circumstances the tribunal's decision is irrevocable as soon as it has been communicated to the parties, even though orally[13] and even though the reasons for it remain to be given later.[14]
A mistake may lead to action being taken upon a wholly wrong basis so that some different action needs to be substituted. This happened where a local education authority agreed to pay the cost of school transport for a girl, supposing that she lived more than three miles from the school and that they therefore had a statutory duty to pay. When it was found that the distance was less than three miles, so that they had a power to pay but no duty, they refused to do so. The Court of Appeal rejected the plea that the original decision was irrevocable, since it was not taken in the exercise of any power to determine a question of legal right and could not affect the duty to exercise discretion when the true facts appeared.[15]" (p.193-4)
Legitimate expectation
"…a public body's promise or practice as to future conduct may only be denied…in circumstances where to do so is the public body's legal duty or is otherwise, to use a now familiar vocabulary, a proportionate response (of which the court is the judge, or the last judge) having regard to the legitimate aim pursued by the public body in the public interest."
a. The letter of 22 March 2011 contained the statement 'The panel decided that there is no case to answer' under the heading 'Panel decision'. This was a clear and unambiguous representation devoid of relevant qualification on which the Claimant was entitled to rely. It was reasonable for the Claimant to assume that in line with the statutory scheme this would mean that no further action would be taken in her case with respect to the allegations considered and determined by the IC. It was a specific undertaking, directed to the Claimant, not limited in time or otherwise.
b. The benefit promised to the Claimant was substantive, in that she was informed that the allegations would not proceed and that she had no case to answer. In the absence of any change of circumstances to frustrate this expectation is so unfair as to amount to an abuse of power.
c. The standard of review is proportionality (Nadarajah). The Defendant cannot show that the decision (i) was no more than necessary to achieve the legitimate aim and (ii) struck a fair balance between the rights of the Claimant and the wider public interest because:
i. The allegations against the Claimant were not amongst the most serious allegations which could be made against a nurse;
ii. The Claimant has an extensive history of safe nursing practice without any other complaint;
iii. This history had been extended by some nine further months at the time the second IC decided to re-open the case against the Claimant; and
iv. There was no other change of circumstance to justify re-opening these allegations.
d. As the decision was disproportionate, the Claimant's case fell outside the category of cases identified by Laws LJ in Nadarajah at [68] where a substantive legitimate expectation can lawfully be resiled from.
"…the court will (subject to the overriding public interest) insist on such a requirement, and enforce such an obligation, where the decision-maker's proposed action would otherwise be so unfair as to amount to an abuse of power, by reason of the way in which it has earlier conducted itself. In the paradigm case of procedural expectations it will generally be unfair and abusive for the decision-maker to break its express promise or established practice of notice or consultation. In such a case the decision-maker's right and duty to formulate and re-formulate policy for itself and by its chosen procedures is not affronted, for it must itself have concluded that that interest is consistent with its proffered promise or practice. In other situations the two kinds of legitimate expectation we are now considering something no less concrete must be found. The cases demonstrate as much. What is fair or unfair is of course notoriously sensitive to factual nuance. In applying the discipline of authority, therefore, it is as well to bear in mind the observation of Sir Thomas Bingham MR as he then was in Ex p Unilever at 690f, that '[t]he categories of unfairness are not closed, and precedent should act as a guide not a cage'."
Note 1 Akewushola v Home Secretary [2000] 1 WLR 2295, followed several times since (e.g. R (Home Secretary) v Immigration Appeal Tribunal [2001] QB 1224). An oral decision of an employment tribunal, communicated to the parties, but not recorded in a document signed by the chairman (as required by the procedural rules), is a decision of the tribunal and cannot be reopened: Spring Grove Services Group PLC v Hickinbottom [1990] ICR 111; and see Guinness (Arthur) Son & Co. (Great Britain) Ltd. v Green [1989] ICR 241. Even though an interlocutory order, such as a striking out order, is not a ‘decision’ by the tribunal in terms of its procedural rules, the chairman of the tribunal has no power to reconsider that order: Casella London Ltd v Banai [1980] OCR 215. Cf. Re Darley’s Application [1997] NI 384. [Back] Note 2 Above, p.235. See also Jones v Douglas Ltd [1979] ICR 278 (new point requiring evidence not entertained by Employment Appeal Tribunal) [Back] Note 3 R v. Kensington & Chelsea Rent Tribunal ex p. MacFarlane [1974] 1 WLR 1486; and see Charman v Palmers Ltd [1979] ICR 335 (power to order rehearing); Hanks v Ace Productions Ltd [1989] ICR 1158 [Back] Note 5 On this subject see [1982] PL 613 (M. Akehurst). [Back] Note 7 Interpretation Act 1978, s.12 [Back] Note 8 As in Re Wilson [1985] AC 750 (justices’ order as to payment of fines; Interpretation Act 1978 invoked); R. v Hillingdon LBC ex p. London Regional Transport The Times, 20 January 1999 (bus shelter consent revocable.) [Back] Note 11 The Times Newspapers Ltd. v Fitt [1981] ICR 637. [Back] Note 12 CPR 40.12 (though the jurisdiction is inherent). The High Court has an exceptional power to reopen proceedings it has already determined where it was shown there would otherwise be ‘significant injustice’ and there was no other remedy (such as an appeal) (Taylor v Lawrence [2002] EWCA Civ 90, [2003] QB 528, paras. 54-5. Note Porteous v West Dorset District Council [2004] EWCA Civ 244 even local authority had power to retake decisions where a fundamental error of fact found. See similarly Crawley Borough Council v B [2000] EWCA Civ 50 disapproving of R v Southwark LBC ex p. Dagou (1995) 28 HLR 72 to the opposite effect. For the position of tribunals, including the statutory power of internal review under the Tribunals, Courts and Enforcement Act 2007, see below, p.791. [Back] Note 13 Lamont v Fry’s Metals Ltd [1985] ICR 566. [Back] Note 14 Jowett c Bradford (Earl) [1977] ICR 342; R v Cripps ex p. Muldoon [1984] QB 686; R v Oxford Regional Mental Health Review Tribunal ex p. Home Secretary [1988] AC 120. Contrast Hanks v Ace High Products [1978] ICR 1155; R v Greater Manchester Valuation Panel x p. Shell Chemicals Ltd [1982] QB 255. [Back]