EXTRA DIVISION, INNER HOUSE, COURT OF SESSION |
|
Lord WheatleyLord ClarkeLady Cosgrove |
[2009] CSIH 3XC59/08 OPINION OF THE COURT
DELIVERED BY LORD CLARKE in APPLICATION FOR LEAVE TO
APPEAL UNDER SECTION 11 OF THE TRIBUNAL AND INQUIRIES ACT 1992 In the causa BRIAN KELLY Appellant; against SHETLAND HEALTH BOARD Respondent: _______ |
Act: Party
Alt: Khurana; Scottish Health Service, Central Legal
Office
[1] On
16 January 2008 an Extra Division of the Inner House quashed a
decision of the National Health Service Tribunal, dated 5 January 2007
in so far as (and only in so far as) it disqualified the appellant from
inclusion in (1) the respondents' list of medical practitioners and ophthalmic
opticians undertaking to provide and of persons approved to assist in providing
general ophthalmic services and (2) all lists within sub-paragraph (d) of
sub-section (8) of section 29 of the National Health Service (
[2] The appellant
is a qualified optometrist who from 1985 provided services as an ophthalmic
optician in Lerwick, Shetland, to National Health Service patients. In June 2005 the respondents made
representations to the National Health Service Tribunal which alleged inter alia that between April 1995
and about December 1999 the appellant made a substantial number of false
and inaccurate claims on forms submitted to the respondents in respect of the
provision of spectacles to patients, and that by his actions he had caused, or
risked causing, detriment to the National Health Scheme operated by the
respondents, by securing or trying to secure a financial benefit for himself
and a firm to which he knows he and they were not entitled. The Tribunal, by their decision of
"The Tribunal constituted under and
in terms of section 29(1) of the National Health Service (Scotland) Act
1978 (as amended) ("the 1978 Act") being of the opinion that the Respondent, Mr Brian Kelly,
has by acts or omissions caused or risked causing detriment to a health scheme
by securing or trying to secure for himself or B&C Kelly Opticians a
financial or other benefit to which he knew that he and/or they were not
entitled FIND accordingly that the condition stipulated in sub-section 7
of Section 29 of the 1978 Act has been met and therefore in terms of
sub-sections 2(a) and 2(b) of Section 29B of the 1978 Act DISQUALIFY
the said Brian Kelly from inclusion in (1) the Shetland Health Board's
list of medical practitioners and ophthalmic opticians undertaking to provide
and of persons approved to assist in providing general ophthalmic services and
(2) all lists within sub-paragraph (d) of sub-section (8) of Section 29
of the 1978 Act."
[4] Disposal of
matters such as that dealt with by the Tribunal, in the present case, is covered
by section 29 of the National Health Service (
"S 29...
(2) If the Tribunal receive
from a Health Board representations that a person -
(a) who has applied to be
included; or
(b) who is included
in any list meets any of the conditions for disqualification, the
Tribunal shall inquire into the case.
...
(6) The first condition for
disqualification is that the inclusion or continued inclusion of the person
concerned on the list would be prejudicial to the efficiency of the services
which those included in the list -
(a) in relation to a list referred to in
sub-section (8)(a), perform:-
(b) in
relation to a list referred to in sub-section (8)(d), undertake to provide or
are approved to assist in providing.
(7) The second condition for
disqualification is that the person concerned-
(a) has (whether on his own
or together with another) by an act or
omission caused, or risked causing, detriment to any health scheme by
securing or trying to secure for himself or another any financial or other
benefit; and
(b) knew that he or (as the
case may be) the other was not entitled
to the benefit.
(7A) The
third condition for disqualification is that the person considered is
unsuitable (by virtue or professional or personal conduct) to be included or to
continue to be included in the list.
(8) A 'list' means-
(a) a list of health care
professionals of a prescribed description performing primary medical services;
(d) a list of medical
practitioners and ophthalmic opticians undertaking to provide, and of persons
who are approved to assist in providing, general ophthalmic services; or
prepared (in each case) under or by virtue of this Part or Part 1 of this
Act
...
(10) Detriment to a health scheme
includes detriment to any patient of, or, person working in, that scheme or any
person liable to pay charges for services provided under that Scheme.
(11) Cases in which
representations are made that the first condition for disqualification is met
are referred to below as efficiency cases; cases in which representations are
made that the second condition for disqualification is met are referred to
below as fraud cases and cases in which representations are made that the third
condition for disqualification is met are referred to below as unsuitability
cases".
[5] Section 29B of the 1978 Act
which is headed "Powers of NHS Tribunal" is to the following effect.
(1) Sub-section (2)
applies where the Tribunal are of the opinion-
(a) on inquiring into an
efficiency case, that the person meets the first condition for
disqualification;
(b) on inquiring into a fraud
case, that the person meets the second condition for disqualification;
(c) on inquiring into a
unsuitability case, that the person meets the third condition for disqualification.
(2) The Tribunal shall
disqualify him for inclusion in-
(a) the list to which the
case relates;
(b) all lists within the same
paragraph of subsection (8) of section 29 as that list;
(4) The Tribunal shall not
make a disqualification under this section if they are of the opinion that it
would be unjust to do so.
(5) The disqualification
under this section shall have effect when the case is finally concluded.
(6) If a person is
disqualified for inclusion in any list prepared by a Health Board, the Board
must not enter him on the list and (if he is already included on the list) must
remove him from the list".
"(1) The functions of making
disqualifications under section 29B include making a conditional
disqualification, that is, a disqualification which is to come into effect only
if the Tribunal determine (on a review under section 30) that the person
subject to the inquiry has failed to comply with any conditions imposed by
them.
(2) Conditions may be imposed
by virtue of subsection (1) with a view to-
(a) removing any prejudice to the
efficiency of the services in question;
(b) preventing any acts or
omissions within section 29(7)(a);
(c) ensuring that the person-
(i) performs, undertakes to
provide or assist in providing only services specified (or of a description
specified) in the condition;
(ii) undertakes an activity (or
course of activity) of a personal or professional nature, or refrains from
conduct of a personal or professional nature, so specified (or of a description
so specified), (as the case may be)
(iii) Conditions so imposed
shall have effect when proceedings of the case are finally concluded.
(4) Section 29B(4) applies to
a conditional disqualification as it applies to a disqualification.
(5) The Tribunal may by
directions -
(a) vary the terms of service
of the person subject to the inquiry (including the terms imposed by
regulations under this Part);
(aa) vary any requirements to which the
person subject to the inquiry is subject under or by virtue of Section 17F,
17P or 17X of this Part.
(b) confer functions on any Health Board, for
the purpose of or in connection with the imposition of any conditions by
virture of this section... ".
"Notwithstanding that, there is no mention anywhere of what, if anything,
the Tribunal made of it. Instead, to use
the language of the well known test, the informed reader and the Court is (sic) left in real and substantial doubt
as to what the Tribunal's reasons were for rejecting the submission which was
made. In this respect the Tribunal can,
in our opinion, be said to have erred in law".
It was for
that reason, and on that basis, that the Extra Division pronounced the
interlocutor in the terms it did, as set out above.
[8] It should be noted, at this stage, that
the procedure to be followed by the Tribunal in such a case, as the present, is
covered by, inter alia,
regulation 21 of the National Health Service (Tribunal) (
"Statement By
The Tribunal
(a)
its findings of fact;
(b) the conclusions which it has
reached;
(c) where it is of the opinion that the
respondent meets any of the conditions for disqualification, the
disqualification (including any conditional disqualification) as it makes under
section 29B(2) of the 1978 Act.
...
(2) Where the Tribunal makes a
conditional disqualification, the statement referred to in paragraph (1)
shall set out the conditions which are imposed on the respondent and any
directions made by the Tribunal under section 29C(5) of the 1978 Act..."
[9] In response to the Extra Divisions'
interlocutor, the Tribunal reconvened and heard representations, on behalf of
the parties, at a hearing on the
"That this Tribunal should consider a conditional disqualification on the
basis that Mr Kelly undertook to apply for inclusion in a list of those
approved to assist in the provision of services by those ophthalmic medical
practitioners and opticians who have undertaken to provide general ophthalmic
services under arrangements with Greater Glasgow and Clyde Health Board in
terms of Regulation 6 of the National Health Service General Ophthalmic
Services (Scotland) Regulations 2006/135 and that Mr Kelly would be
prepared to restrict himself to working for one Health Board only viz Greater
Glasgow and Clyde; this would permit
Mr Kelly to carry out work to National Health Service patients under the
supervision of a principal, as a locum or in some such similar capacity, and of
the Board"
At
paragraph 7 of the Tribunal's decision, the submissions made on behalf of
the respondents are noted. At
paragraph 7.1 it is noted as follows
"The decision
to make an immediate disqualification was appropriate and just. The nature of Mr Kelly's deceit, the
length of the deceit and the mechanism by which it was ultimately discovered
(on a detailed examination of Mr Kelly's records) were cumulatively
sufficient to justify an immediate disqualification".
At
paragraphs 7.2 to 7.4 submissions regarding the conduct of the appellant
particularly during the Tribunal proceedings are set out. At paragraph 7.5 the Tribunal records
that it was submitted, on behalf of the respondents, that
'The nature of Mr Kelly's evidence in the course of the Hearing was
such as to draw the reasonable inference that any condition that might be
applied by the Tribunal would not be adhered to'.
"This Tribunal is cognisant of the gravity of the effect an immediate
disqualification will have on Mr Kelly.
It will, in essence, deprive him of his livelihood. We are fully aware of the consequences
Mr Kelly's behaviour has had on him as we acknowledged in
paragraph 94 of our original Statement.
Our considered decision is that conditional disqualification is not
appropriate in the circumstances of this case for the following reasons"
At
paragraph 9 the Tribunal refers to the content of the evidence given by
the appellant to the Tribunal at the previous Hearing and his manner of giving
it. They note "We felt that throughout
Mr Kelly's evidence was hesitant, evasive, contradictory and unreliable" At paragraph 10
the Tribunal notes a submission made by counsel for the respondents to the
effect that any condition to be imposed in light of section 29(7)(a) and
(b), would require to have "considered whether the act or omission complained
of is likely to be prevented by such a conditional disqualification"(sic).
Counsel apparently went on, as recorded, to submit that
"the act or omission in this case was either a
positive act on Mr Kelly's part in defrauding the Board in the knowledge
of the Regulations or Mr Kelly's failure to read and understand and apply
the Regulations that he was working under on (ie an omission). Whether or not he was intending to work under
supervision or as a locum was not going to address either of these
problems".
The Tribunal
do not, in their decision, say what they made of this observation, and, in
particular, whether they accepted it or rejected it. The Tribunal go on to state:-
"We were concerned as to what the incentive to him might be were
Mr Kelly to be restricted in terms of a conditional disqualification and
we were satisfied that a locum working in a particular area would be more valued
if more services were provided as the income to the business flows from the
voucher scheme. There were difficulties
in policing it".
We pause to
observe at this stage that no specification is given as to the difficulties
which the Tribunal envisaged would arise if a conditional disqualification was
imposed. Far less is there any reference
to any evidential basis for holding that view.
The Tribunal goes on to state that:
"Mr Khurana made the point that anyone who has committed a fraud as a
practitioner could merely just work as a locum and potentially earn as
much. In addition there was no guarantee
that Mr Kelly would restrict himself to merely one Health Board standing
his past dishonesty. We feel that the
conditions suggested on Mr Kelly's behalf do not address the problem".
Once again it
is not immediately apparent to the Court as to what 'problem' the Tribunal is
referring to at this point in their decision.
At paragraph 11 the Tribunal revisit the nature of the conduct
involved on the part of the appellant and state "we are of the firm view that
where there is dishonesty and intention that places an offender within the
highest level of culpability". They also
state that the appellant had placed in him a great deal of trust by the
respondent which he had breached.
At
paragraph 13 the Tribunal observe:-
"We were not apprised of any mitigating factors of any moment other than
the fact that the sum of £12,400 had been repaid and which appears to have been
an arrangement come to between Mr Kelly's representatives and the
Procurator Fiscal; as a result the
Procurator Fiscal deserted the charges against Mr Kelly pro loco
et tempore but reserving the Board's right to seek recovery of the
unpaid balance of approximately £16,600 and which has not been recovered".
The
Tribunal's conclusion at paragraph 14 is recorded as follows:
"In all the circumstances we consider that the Board's submissions were
well founded and that a conditional disqualification is entirely inappropriate
and that immediate disqualification is not excessive, unjust or wrong in
principle"
"The Tribunal failed to give proper consideration to conditions which
could have been imposed so as to protect the position of a Health Board. It incorrectly held that any condition could
not be policed. Such an assertion was
not justified on the evidence. A
condition could have been imposed such that the respondent undertook to
restrict himself to assisting in the provision of services by those ophthalmic
services (sic) under arrangements
with [a Health Board] in terms of regulation 6 of the National Health
Service (General Ophthalmic Services) (Scotland)
Regulations SSI 2006/135.
Having regard to the terms and operation of the regulations on the
1978 Act as amended there was no reason to suppose that such a condition
could not have been "policed".
2. The Tribunal was not
entitled "to be satisfied that a locum working in a particular area would be
more valued if more services were being provided as the income to the business
flows from the voucher scheme". There
was no evidence that would be the case.
On the contrary an optometrist registered under Part 1 of
paragraph 6 of the Regulations would have every incentive to ensure that
the Regulations were complied with.
3. The proposition "that
anyone who has committed a fraud as a practitioner could merely just work as a
locum and potentially earn as much" is irrelevant and in any event incorrect.
4. The Tribunal erred in
holding that "there was no guarantee that Mr Kelly would restrict himself
to merely one Health Board standing his past dishonesty". Any employer could check whether he was
registered with any given Health Board.
Unless he was so registered no payment would be received for any work
carried out.
5. The Tribunal's statement
at paragraph 11 in relation to the level of culpability is inconsistent
with its statement in its original decision, in paragraph 94, that the
amount obtained "was not one on a grand scale".
Further it has placed excessive weight upon the conduct of his defence
as opposed to the character of the conduct complained about".
Decision
Having regard
to those considerations we are left with a significant question as to what
relevant reasons, if any, there were in the mind of the Tribunal in reaching
the decision it did. We are particularly
concerned about the apparent dismissal of the possibility of a conditional disqualification
by the brief remark at paragraph 10 "There were difficulties in policing
it". It is not clear to us whether, at
that point, the Tribunal is simply recording a submission made by counsel for
the respondent or stating their own thoughts on the matter. If it was intended to be a reason adopted by
the Tribunal for rejecting outright the possibility of a conditional disqualification,
then we consider it is inadequate, since neither the informed reader nor the
Court is left with any explanation as to why, and in what respects, "policing"
might be difficult and, secondly, why such difficulties could not be met by
appropriate further conditions. The
language of the relevant statutory provisions, in our judgement, clearly gives
the Tribunal wide powers as to conditions that might be imposed. It is, in our view, all the more important
that a reason of that sort, if it is to be one of the reasons for the
Tribunal's decision is evidence based, and that some reference is made to the
evidence which supports it. A matter of
such significance should not, in our view, be left simply on the basis of an
assertion. If the legislation
contemplates, as it does, conditional disqualification as one of the means of
disposal of such a case, it is for the Tribunal, when that has been proposed to
it as a suitable means of disposal, to address carefully the factual and legal
reasons which point against it, if that is the conclusion that they choose to
arrive at.