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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> D'Sa v University Hospital Coventry & Warwickshire NHS Trust [2001] EWCA Civ 983 (18 June 2001) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2001/983.html Cite as: [2001] Lloyds Rep Med 442, [2001] EWCA Civ 983, (2001) 62 BMLR 39, [2001] IRLR 691, [2001] Lloyd's Rep Med 442 |
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ON APPEAL FROM THE QUEEN'S BENCH DIVISION
(Mr Justice Blofeld)
The Strand London WC2A |
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B e f o r e :
Vice President of the Court of Appeal, Civil Division
LORD JUSTICE MAY
LORD JUSTICE DYSON
____________________
ALBAN AVELINO JOHN BARROS D'SA | ||
Claimant/Respondent | ||
and: | ||
UNIVERSITY HOSPITAL COVENTRY AND WARWICKSHIRE NHS TRUST | ||
Sued as | ||
WALSGRAVE HOSPITAL NHS TRUST | ||
Defendant/Appellant |
____________________
MR D MATTHEWS (instructed by Le Brasseur J Tickle, Drury House, 34-43 Russell Street, London WC2B) appeared on behalf of the Respondent
____________________
Crown Copyright ©
Monday 18 June 2001
"We have no doubt at all that dismissal, having regard to the nature and circumstances of the misconduct we have found and to Mr Barros D'Sa's long and hitherto unblemished service, would be wholly unjustified and could not be regarded as an appropriate disciplinary measure in this case."
"Taking all the relevant facts into account, our conclusion is that the appropriate disciplinary action is a first written warning; and we so recommend."
"At the disciplinary hearing which is to commence on a date to be fixed by mutual agreement in respect of the finding of serious professional misconduct against the Claimant contained in the Inquiry Panel's reports dated the 6th and 25th October 2000 the Defendant must not rely on:
(a) any allegations relating to the conduct of the Claimant other than those relating to the offence found proved by the Inquiry Panel and the surrounding circumstances of that offence
(b) the contents of the Claimant's letter to Mr James Cunningham MP dated 29th July 2000 referred to in paragraph 26 of the Defendant's Statement of Case dated November 2000."
"The Claimant is a long-serving consultant general surgeon with high standards of skill, patient care personal and professional integrity. He is 62 years old.
Since November 1997 he has been working as a part-time consultant general surgeon. Originally, this part-time contract was for one year. He was then offered a further four months. On 11th January 1999, however, he was offered and accepted a new contract for five sessions for an unspecified period commencing 31st March 1999.
He has worked predominantly, of recent years, at the Walsgrave Hospital. His new contract is with Walsgrave Hospital's NHS Trust, the Respondent to this action. He was suspended by them from duty on full pay on 29th October 1999 and remains so suspended.
At the time of his suspension the Trust alleged that he had intimidated and oppressed three junior doctors. Those proceedings went no further for a certain amount of time, so in January 2000 the Claimant started proceedings in the High Court seeking orders against the Trust that it should either substantiate the allegations of misconduct alleged against him or withdraw them.
In February 2000 somewhat surprisingly the Trust's solicitors informed him that the allegations in respect of two of the junior doctors were not to be pursued. The third one was to be pursued. Another allegation was also brought against him on a day that I have not been told about, but somewhere either late in 1999 or early in 2000.
An Inquiry Panel appointed under rule 5.1 of the Respondent's Medical and Dental Staff Disciplinary Procedure was appointed to investigate and report on the two allegations of serious professional misconduct brought again the Claimant. I set them out:
'1. That he failed at a meeting on 23 July 1999 to divulge the true facts surrounding a second operation on patient number LC No B35201.
'2. He intimidated and oppressed in September 1999 a junior doctor Mr Abdul-Mageed in relation to matters arising from patient care.'
The Inquiry Panel hearing took place on 22nd to 26th May 2000 inclusive. They produced the first part of their report on 6th October 2000. That report dismissed the first allegation or charge, as I shall call it. The Inquiry Panel found in relation to the second charge:
'Our terms of reference require us to inquire as to whether Mr Abdul-Mageed as a junior doctor was subjected by Mr Barros D'Sa to intimidation or oppression in relation to matters arising from patient care. Our conclusion was that he was not intimidated but that the conduct of Mr Barros D'Sa towards Mr Abdul-Mageed clearly amounted to oppression. He was unfairly and unjustifiably put into a difficult, distressing and embarrassing position when a conflict was raging among the general surgeons and in which he should not have been involved. Whether Mr Barros D'Sa's conduct was in relation to matters arising from patient care is difficult to say.'
The Panel added shortly after that paragraph:
'In our view, the Claimant acted as he did not because of ill will towards Mr Abdul-Mageed, nor because he desired to oppress him; he may not even have realised he was doing so.'
So much for the first part of the report.
The second part of the Panel's report is dated 25th October 2000. There the Panel concluded that the first allegation did not amount to serious professional misconduct. They then turned to the second charge to find:
'We have not been satisfied that the oppression of Mr Abdul-Mageed was "in relation to matters arising in patient care" as alleged, but we see no reason why that part of the allegation should be regarded as an essential ingredient in this case. We are wholly satisfied that the oppression of Mr Abdul-Mageed by the Claimant in September 1999 constituted serious professional misconduct'. . .
In part 2 of its report the Panel drew attention to the fact that the procedure provides that the Chief Executive, following receipt of part 2 of its report, may decide upon the following disciplinary actions (a) first written warning, (b) final written warning, (c) dismissal. The Panel has a duty under the procedure code to make recommendations. They drew attention to the fact that the suspension of the Claimant had now continued for almost precisely one year and they made the strong comment that it had been a substantial and extended punishment. They continued that they had no doubt at all that dismissal would be wholly unjustified and could not be regarded as an appropriate disciplinary measure in this case. They concluded that the appropriate disciplinary action is a first written warning and they so recommended."
"The procedures set out are designed to ensure that the fullest and fairest consideration is accorded to medical and dental practitioners in the event of incidents or complaints regarding their conduct or competence",
"The Trust and the practitioner have a right to be represented at the Inquiry Panel hearing by a lawyer. The practitioner also has the right to appear personally at the hearing, to hear all the evidence presented, to cross-examine witnesses and to present his/her own witnesses who in turn may be cross-examined."
"On receipt of Part Two of the report, the Chief Executive shall decide what action is appropriate. If the panel finds the practitioner to be at fault the substance of the panel's views and recommendations shall be made available to the practitioner, in good time before any hearing, giving him the opportunity to put in a plea of mitigation."
"If disciplinary action is decided upon, the Chief Executive will arrange a disciplinary hearing at which, depending upon the circumstances and the Inquiry Panel's recommendations, he/she will:
(a) Issue a First Written Warning, or
(b) Issue a Final Written Warning, or
(c) Dismiss [the practitioner]".
"The Trust Chairman [who is the Chairman of the appeal body] shall decide on the basis of the Appeal Panel's recommendations what action is required and will inform the practitioner accordingly of both the recommendation and the decision."
"In terms of mitigation over the issue of Mr Barros D'Sa and the oppression of Mr Abdel Mageed, there is nothing within the report to mitigate in favour of Mr Barros D'Sa."
"After the Inquiry Panel disclosed the second part of their report to the Trust's Chief Executive there was an exchange of letters between the Trust and the Claimant's solicitors. On behalf of the Claimant his solicitors pointed out that he had not been given the substance of the Panel's views and their recommendations as required by paragraph 5.5.10 in good time before any hearing. At that time the hearing was fixed to take place on 23rd November 2000.
In a letter from the Trust's solicitors of 13th November 2000 they state that the disciplinary hearing scheduled for that date should be postponed to a later date. Even by that date, neither the substance nor the recommendations to the Inquiry had been adequately disclosed to the Claimant, certainly none of the recommendations had. They should have been. I have heard no satisfactory explanation as to why they were not. I regard that as most unfortunate. It behoves trusts of this nature to be scrupulous in following properly the procedures laid down by them. It was not done so here.
I return to the letter of 13th November 2000. The Trust's solicitors write:
'We would point out that although the hearing is referred to as a Disciplinary Hearing, it is, in fact, a hearing at which Mr Loughton [the Chief Executive] will be considering the appropriate disciplinary sanction in light of the Inquiry Panel's Report, mitigation put forward by the Claimant and the Management Case in respect of sanction and mitigation.'
I can find no reference to the production of a Management Case in respect of sanction and mitigation in paragraph 5 of the policy statement referred to. Nevertheless one was prepared by the Trust and served upon the Claimant. I am in no way saying that they were not entitled to serve such a document, but they must be careful to consider what it contains.
The first three paragraphs are introductory. Paragraphs 4 to 14 deal with the Claimant's employment history. Paragraphs 15 to 24 purport to summarise the findings of the Inquiry. So far I find nothing wrong with that document. I do, however, then come to paragraphs 25 to 31. I must assume that this document was carefully considered before it was sent. Those remaining paragraphs are headed by the word 'Mitigation'. Nothing could be further from the truth. The matters thereafter included are matters of aggravation, not mitigation, and in my view should not have been included at all. They make reference to a letter sent by the Claimant to a Member of Parliament in July 2000. Part of this Management Case states:
'This letter clearly demonstrates a total lack of trust and confidence in Mr Loughton on the part of Mr Barros D'Sa.'
The next paragraph states that:
'If Mr Barros D'Sa were to return to his post it is unlikely to be in the overall interests of patient care.'
The general thrust of those paragraphs is to refer to matters that were never the subject of any allegation of professional misconduct or any other form of misconduct and have not been decided by an Inquiry Panel under paragraph 5 and have not been decided in any other way in accordance with the procedure laid down in policy statement number 3A."
"I bear in mind that the Panel expressly declined to rule on a large number of matters, specifically relating to the allegation of lack of trust and confidence. I am no in doubt that it would be a breach of natural justice for the Trust, at the disciplinary hearing, to rely on any matters which have not been the subject of a finding by the Inquiry Panel when considering what the appropriate punishment is.
In addition to that finding on natural justice, I make the following finding: the policy statement number 3 contains the complete disciplinary procedure of the Trust. The proposal that the Disciplinary Panel can ignore their own disciplinary procedure and deal with this Claimant without having alleged any further misconduct by him but yet sentencing him, as it effectively is, for other misconduct is wholly misconceived."
"Having decided that the appropriate course was to deal with these matters by the Inquiry Panel, they are bound by the findings of that panel. If the Panel makes no findings they are not entitled to raise other matters and make their own findings, particularly as Mr Loughton in this case is very closely connected with these allegations.
Consequently, I rule that it would be inappropriate for the Trust to consider that letter at the disciplinary hearing."