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England and Wales Court of Appeal (Civil Division) Decisions |
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You are here: BAILII >> Databases >> England and Wales Court of Appeal (Civil Division) Decisions >> Sastry & Anor v General Medical Council [2021] EWCA Civ 623 (30 April 2021) URL: http://www.bailii.org/ew/cases/EWCA/Civ/2021/623.html Cite as: [2021] 1 WLR 5029, [2021] WLR(D) 256, [2021] ICR 1565, (2021) 180 BMLR 1, [2021] WLR 5029, [2021] Med LR 401, [2021] EWCA Civ 623 |
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ON APPEAL FROM QUEEN'S BENCH DIVISION, ADMINISTRATIVE COURT
Strand, London, WC2A 2LL |
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B e f o r e :
LADY JUSTICE NICOLA DAVIES DBE
and
LORD JUSTICE LEWIS
____________________
(1) DR PANTULA SASTRY (2) DR UDODIRI OKPARA |
Appellants |
|
- and - |
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GENERAL MEDICAL COUNCIL |
Respondent |
____________________
Arfan Khan and Katherine Archer (instructed by DCK Solicitors) for the Second Appellant
Ivan Hare QC and Alexis Hearnden (instructed by GMC Legal) for the Respondent
Hearing dates : 23 & 24 March 2021
____________________
Crown Copyright ©
Lady Justice Nicola Davies giving the judgment of the court:
"I consider that there is a real issue as to whether the judge deferred unduly to the panel's view by approaching the appeal in effect as a challenge to the exercise of a discretion, when arguably the judge was required to exercise her own judgment as to whether the sanction imposed was excessive and disproportionate."
"I consider that there is arguably a tension between the lines of authority reflected in Jagjivan at [40(vi)] and in Bawa Garba, which raises an important point of principle and justifies consideration by the Court of Appeal of the following issues:
(1) Whether the judge failed to have regard to the line of authority which indicates that cases of sexual misconduct fall within a category where an appeal court can more readily assess whether a particular sanction is appropriate and thus give less weight to the expertise of the tribunal; and
(2) If so, whether the judge should have concluded that the tribunal's assessment that erasure was the only proportionate sanction in this case was wrong."
The law and practice
"(1A) The over-arching objective of the General Council in exercising their functions is the protection of the public.
(1B) The pursuit by the General Council of their over-arching objective involves the pursuit of the following objectives—
(a) to protect, promote and maintain the health, safety and well-being of the public,
(b) to promote and maintain public confidence in the medical profession, and
(c) to promote and maintain proper professional standards and conduct for members of that profession"
"40. (1) The following decisions are appealable decisions for the purposes of this section, that is to say—
(a) a decision of a Medical Practitioners Tribunal under section 35D above giving a direction for erasure, for suspension or for conditional registration or varying the conditions imposed by a direction for conditional registration;
…
(4) A person in respect of whom an appealable decision falling within subsection (1) has been taken may, before the end of the period of 28 days beginning with the date on which notification of the decision was served under section 35E(1) above, or section 41(10) below, appeal against the decision to the relevant court.
(5) In subsections (4) and (4A) above, "the relevant court"—
…
(c) in the case of any other person, means the High Court of Justice in England and Wales.
…
(7) On an appeal under this section from a Medical Practitioners Tribunal, the court may—
(a) dismiss the appeal;
(b) allow the appeal and quash the direction or variation appealed against;
(c) substitute for the direction or variation appealed against any other direction or variation which could have been given or made by a Medical Practitioners Tribunal; or
(d) remit the case to the MPTS for them to arrange for a Medical Practitioners Tribunal to dispose of the case in accordance with the directions of the court, and may make such order as to costs (or, in Scotland, expenses) as it thinks fit.
…
(9) On an appeal under this section from a Medical Practitioners Tribunal, the General Council may appear as respondent; and for the purpose of enabling directions to be given as to the costs of any such appeal the Council shall be deemed to be a party thereto, whether they appear on the hearing of the appeal or not."
"40A. Appeals by General Council
(1) This section applies to any of the following decisions by a Medical Practitioners Tribunal—
(a) a decision under section 35D giving—
(i) a direction for suspension, including a direction extending a period of suspension;
(ii) a direction for conditional registration, including a direction extending a period of conditional registration;
(iii) a direction varying any of the conditions imposed by a direction for conditional registration;
…
(c) a decision under section 35D—
(i) giving a direction that a suspension be terminated;
(ii) revoking a direction for conditional registration or a condition imposed by such a direction;
(d) a decision not to give a direction under section 35D;
(e) a decision under section 41 giving a direction that a person's name be restored to the register;
…
(3) The General Council may appeal against a relevant decision to the relevant court if they consider that the decision is not sufficient (whether as to a finding or a penalty or both) for the protection of the public.
(4) Consideration of whether a decision is sufficient for the protection of the public involves consideration of whether it is sufficient—
(a) to protect the health, safety and well-being of the public;
(b) to maintain public confidence in the medical profession; and
(c) to maintain proper professional standards and conduct for members of that profession.
…
(6) On an appeal under this section, the court may—
(a) dismiss the appeal;
(b) allow the appeal and quash the relevant decision;
(c) substitute for the relevant decision any other decision which could have been made by the Tribunal; or
(d) remit the case to the MPTS for them to arrange for a Medical Practitioners Tribunal to dispose of the case in accordance with the directions of the court, and may make such order as to costs (or, in Scotland, expenses) as it thinks fit."
"(1) Every appeal will be limited to a review of the decision of the lower court unless—
(a) a practice direction makes different provision for a particular category of appeal; or
(b) the court considers that in the circumstances of an individual appeal it would be in the interests of justice to hold a re-hearing.
(3) The appeal court will allow an appeal where the decision of the lower court was—
(a) wrong; or
(b) unjust because of a serious procedural or other irregularity in the proceedings in the lower court.
(4) The appeal court may draw any inference of fact which it considers justified on the evidence."
"19.1
(1) This paragraph applies to an appeal to the High Court under –
…
(e) section 40 of the Medical Act 1983;
…
(2) Every appeal to which this paragraph applies must be supported by written evidence and, if the court so orders, oral evidence and will be by way of re-hearing."
The Sanctions Guidance
"20. In deciding what sanction, if any, to impose the tribunal should consider the sanctions available, starting with the least restrictive. It should also have regard to the principle of proportionality, weighing the interests of the public against those of the doctor (this will usually be an impact on the doctor's career, eg a short suspension for a doctor in training may significantly disrupt the progression of their career due to the nature of training contracts).
21. However, once the tribunal has determined that a certain sanction is necessary to protect the public (and is therefore the minimum action required to do so), that sanction must be imposed, even where this may lead to difficulties for a doctor. This is necessary to fulfil the statutory overarching objective to protect the public."
"92. Suspension will be an appropriate response to misconduct that is so serious that action must be taken to protect members of the public and maintain public confidence in the profession. A period of suspension will be appropriate for conduct that is serious but falls short of being fundamentally incompatible with continued registration (ie for which erasure is more likely to be the appropriate sanction because the tribunal considers that the doctor should not practise again either for public safety reasons or to protect the reputation of the profession)."
"108. Erasure may be appropriate even where the doctor does not present a risk to patient safety, but where this action is necessary to maintain public confidence in the profession. For example, if a doctor has shown a blatant disregard for the safeguards designed to protect members of the public and maintain high standards within the profession that is incompatible with continued registration as a doctor.
109. Any of the following factors being present may indicate erasure is appropriate (this list is not exhaustive).
a. A particularly serious departure from the principles set out in Good medical practice where the behaviour is fundamentally incompatible with being a doctor.
b. A deliberate or reckless disregard for the principles set out in Good medical practice and/or patient safety.
c. Doing serious harm to others (patients or otherwise), either deliberately or through incompetence and particularly where there is a continuing risk to patients (see further guidance below at paragraphs 129–132 regarding failure to provide an acceptable level of treatment or care).
d. Abuse of position/trust (see Good medical practice, paragraph 65: 'You must make sure that your conduct justifies your patients' trust in you and the public's trust in the profession').
e. Violation of a patient's rights/exploiting vulnerable people (see Good medical practice, paragraph 27 on children and young people, paragraph 54 regarding expressing personal beliefs and paragraph 70 regarding information about services).
f. Offences of a sexual nature, including involvement in child sex abuse materials (see further guidance below at paragraphs 151 - 159).
g. Offences involving violence.
h. Dishonesty, especially where persistent and/or covered up (see guidance below at paragraphs 120–128).
i. Putting their own interests before those of their patients (see Good medical practice paragraph 1: – 'Make the care of [your] patients [your] first concern' and paragraphs 77–80 regarding conflicts of interest).
j. Persistent lack of insight into the seriousness of their actions or the consequences."
"148. More serious action, such as erasure, is likely to be appropriate where a doctor has abused their professional position and their conduct involves predatory behaviour or a vulnerable patient, or constitutes a criminal offence.
149. This [i.e. sexual misconduct] encompasses a wide range of conduct from criminal convictions for sexual assault and sexual abuse of children (including child sex abuse materials) to sexual misconduct with patients, colleagues, patients' relatives or others. See further guidance on sex offenders and child sex abuse materials at paragraphs 151–159.
150. Sexual misconduct seriously undermines public trust in the profession. The misconduct is particularly serious where there is an abuse of the special position of trust a doctor occupies, or where a doctor has been required to register as a sex offender. More serious action, such as erasure, is likely to be appropriate in such cases."
Case law
Ghosh v General Medical Council [2001] 1 WLR 1915
"33. Practitioners have a statutory right of appeal to the Board under section 40 of the Medical Act 1983 , which does not limit or qualify the right of the appeal or the jurisdiction of the Board in any respect. The Board's jurisdiction is appellate, not supervisory. The appeal is by way of a rehearing in which the Board is fully entitled to substitute its own decision for that of the committee. The fact that the appeal is on paper and that witnesses are not recalled makes it incumbent upon the appellant to demonstrate that some error has occurred in the proceedings before the committee or in its decision, but this is true of most appellate processes.
34. It is true that the Board's powers of intervention may be circumscribed by the circumstances in which they are invoked, particularly in the case of appeals against sentence. But their Lordships wish to emphasise that their powers are not as limited as may be suggested by some of the observations which have been made in the past. In Evans v General Medical Council (unreported) 19 November 1984 the Board said:
"The principles upon which this Board acts in reviewing sentences passed by the Professional Conduct Committee are well settled. It has been said time and again that a disciplinary committee are the best possible people for weighing the seriousness of professional misconduct, and that the Board will be very slow to interfere with the exercise of the discretion of such a committee… The committee are familiar with the whole gradation of seriousness of the cases of various types which come before them, and are peculiarly well qualified to say at what point on that gradation erasure becomes the appropriate sentence. This Board does not have that advantage nor can it have the same capacity for judging what measures are from time to time required for the purpose of maintaining professional standards."
For these reasons the Board will accord an appropriate measure of respect to the judgment of the committee whether the practitioner's failings amount to serious professional misconduct and on the measures necessary to maintain professional standards and provide adequate protection to the public. But the Board will not defer to the committee's judgment more than is warranted by the circumstances. The council conceded, and their Lordships accept, that it is open to them to consider all the matters raised by Dr Ghosh in her appeal; to decide whether the sanction of erasure was appropriate and necessary in the public interest or was excessive and disproportionate; and in the latter event either to substitute some other penalty or to remit the case to the committee for reconsideration."
Preiss v General Dental Council [2001] 1 WLR 1926
"In Ghosh v General Medical Council [2001] 1 WLR 1915, 1923f-h the Board has recently emphasised that the powers are not as limited as may be suggested by some of the observations which have been made in the past. … This does not mean that respect will not be accorded to the opinion of a professional tribunal on technical matters. But, as indicated in Ghosh , the appropriate degree of deference will depend on the circumstances. In the instant case the weaknesses already identified in the dental disciplinary structure and the failure to comply with rule 11(2) go to diminish any reluctance that the Board might otherwise have in differing from the PCC. Against this background the Board now gives its own opinion on the case."
Meadow v General Medical Council [2007] QB 462
"The change of approach, which, it seems to me, is more of emphasis than clear definition, is that, though such disciplinary bodies are in general better able than the courts to assess evidence of professional practice in their respective fields, the courts should still accord them an appropriate measure of respect: see, e g, Council for the Regulation of Health Care Professionals v General Medical Council and Ruscillo [2005] 1 WLR 717. …
However, the courts should be ready in appropriate cases and, if necessary, to substitute their own view for that of disciplinary bodies."
"197. On an appeal from a determination by the GMC, acting formerly and in this case through the FPP, or now under the new statutory regime, whatever label is given to the section 40 test, it is plain from the authorities that the court must have in mind and give such weight as is appropriate in the circumstances to the following factors. (i) The body from whom the appeal lies is a specialist tribunal whose understanding of what the medical profession expects of its members in matters of medical practice deserve respect. (ii) The tribunal had the benefit, which the court normally does not, of hearing and seeing the witnesses on both sides. (iii) The questions of primary and secondary fact and the overall value judgment to be made by the tribunal, especially the last, are akin to jury questions to which there may reasonably be different answers."
Raschid and Fatnani v General Medical Council [2007] 1 WLR 1460
"16. In these circumstances it seems to me to be clear that we should follow the guidance given in the cases decided before the change in the appeal system effected on 1 April 2003. First, the Privy Council is of course a source of high authority; but, secondly, we are in any event considering an effectively identical statutory regime. As it seems to me there are in particular two strands in the relevant learning before 1 April 2003. One differentiates the function of the panel or committee in imposing sanctions from that of a court imposing retributive punishment. The other emphasises the special expertise of the panel or committee to make the required judgment."
"19. … As it seems to me the fact that a principal purpose of the panel's jurisdiction in relation to sanctions is the preservation and maintenance of public confidence in the profession rather than the administration of retributive justice, particular force is given to the need to accord special respect to the judgment of the professional decision-making body in the shape of the panel. That I think is reflected in the last citation I need give. It consists in Lord Millett's observations in Ghosh v General Medical Council [2001] 1 WLR 1915 , 1923, para 34:
'the Board will afford an appropriate measure of respect to the judgment of the committee whether the practitioner's failings amount to serious professional misconduct and on the measures necessary to maintain professional standards and provide adequate protection to the public. But the Board will not defer to the committee's judgment more than is warranted by the circumstances.'
20. These strands in the learning then, as it seems to me, constitute the essential approach to be applied by the High Court on a section 40 appeal. The approach they commend does not emasculate the High Court's role in section 40 appeals: the High Court will correct material errors of fact and of course of law and it will exercise a judgment, though distinctly and firmly a secondary judgment, as to the application of the principles to the facts of the case."
Cheatle v General Medical Council [2009] EWHC 645 (Admin)
"15. In my view the approaches in Meadow and Raschid are readily reconcilable. The test on appeal is whether the decision of the Fitness to Practise Panel can be said to be wrong. That to my mind follows because this is an appeal by way of rehearing, not review. In any event grave issues are at stake and it is not sufficient for intervention to turn on the more confined grounds of public law review such as irrationality. However, in considering whether the decision of a Fitness to Practise Panel is wrong the focus must be calibrated to the matters under consideration. With professional disciplinary tribunals issues of professional judgment may be at the heart of the case. Raschid was an appeal on sanction and in my view professional judgment is especially important in that type of case. As to findings of fact, however, I cannot see any difference from the court's role in this as compared with other appellate contexts. As with any appellate body there will be reluctance to characterise findings of facts as wrong. That follows because findings of fact may turn on the credibility or reliability of a witness, an assessment of which may be derived from his or her demeanour and from the subtleties of expression which are only evident to someone at the hearing. Decisions on fitness to practise, such as assessing the seriousness of any misconduct, may turn on an exercise of professional judgment. In this regard respect must be accorded to a professional disciplinary tribunal like a Fitness to Practise Panel. However, the degree of deference will depend on the circumstances. One factor may be the composition of the tribunal. In the present case the Panel had three lay members and two medical members. For what I know the decision the Panel reached might have been by majority, with the three lay members voting one way, the two medical members the other. It may be that some at least of the lay members sit on Fitness to Practise Panels regularly and have imbibed professional standards. However, I agree with the submission for the appellant in this case that I cannot be completely blind to the current composition of Fitness to Practise Panels."
Khan v General Pharmaceutical Council [2017] 1 WLR 169
"36. An appellate court must approach a challenge to the sanction imposed by a professional disciplinary committee with diffidence. In a case such as the present, the committee's concern is for the damage already done or likely to be done to the reputation of the profession and it is best qualified to judge the measures required to address it: Marinovich v General Medical Council [2002] UKPC 36 at [28]. Mr Khan is, however, entitled to point out that (a) the exercise of appellate powers to quash a committee's direction or to substitute a different direction is somewhat less inhibited than previously: Ghosh v General Medical Council [2001] 1 WLR 1915, para 34; (b) on an appeal against the sanction of removal, the question is whether it 'was appropriate and necessary in the public interest or was excessive and disproportionate': the Ghosh case, again para 34; and (c) a court can more readily depart from the committee's assessment of the effect on public confidence of misconduct which does not relate to professional performance than in a case in which the misconduct relates to it: Dad v General Dental Council [2000] 1 WLR 1538, 1542–1543."
General Medical Council v Jagjivan and Another [2017] 1 WLR 4438
"The correct approach to appeals under section 40A
39. As a preliminary matter, the GMC invites us to adopt the approach adopted to appeals under section 40 of the 1983 Act, to appeals under section 40A of the 1983 Act, and we consider it is right to do so. It follows that the well-settled principles developed in relation to section 40 appeals (in cases including: Meadow v General Medical Council [2007] QB 462; Raschid v General Medical Council [2007] 1 WLR 1460; and Southall v General Medical Council [2010] 2 FLR 1550) as appropriately modified, can be applied to section 40A appeals.
40. In summary:
(i) Proceedings under section 40A of the 1983 Act are appeals and are governed by CPR Pt 52. A court will allow an appeal under CPR Pt 52.21(3) if it is 'wrong' or 'unjust because of a serious procedural or other irregularity in the proceedings in the lower court'.
(ii) It is not appropriate to add any qualification to the test in CPR Pt 52 that decisions are 'clearly wrong': see Raschid's case at para 21 and Meadow's case at paras 125–128.
(iii) The court will correct material errors of fact and of law: see Raschid's case at para 20. Any appeal court must however be extremely cautious about upsetting a conclusion of primary fact, particularly where the findings depend upon the assessment of the credibility of the witnesses, who the Tribunal, unlike the appellate court, has had the advantage of seeing and hearing: see Assicurazioni Generali SpA v Arab Insurance Group (Practice Note) [2003] 1 WLR 577, paras 15–17, cited with approval in Datec Electronics Holdings Ltd v United Parcels Service Ltd [2007] 1 WLR 1325, para 46, and Southall's case at para 47.
(iv) When the question is what inferences are to be drawn from specific facts, an appellate court is under less of a disadvantage. The court may draw any inferences of fact which it considers are justified on the evidence: see CPR Pt 52.11(4) .
(v) In regulatory proceedings the appellate court will not have the professional expertise of the Tribunal of fact. As a consequence, the appellate court will approach Tribunal determinations about whether conduct is serious misconduct or impairs a person's fitness to practise, and what is necessary to maintain public confidence and proper standards in the profession and sanctions, with diffidence: see Raschid's case at para 16; and Khan v General Pharmaceutical Council [2017] 1 WLR 169, para 36.
(vi) However there may be matters, such as dishonesty or sexual misconduct, where the court 'is likely to feel that it can assess what is needed to protect the public or maintain the reputation of the profession more easily for itself and thus attach less weight to the expertise of the Tribunal …': see Council for the Regulation of Healthcare Professionals v General Medical Council and Southall [2005] EWHC 579 (Admin) at [11], and Khan's case at para 36. As Lord Millett observed in Ghosh v General Medical Council [2001] 1 WLR 1915, para 34, the appellate court 'will accord an appropriate measure of respect to the judgment of the committee … But the [appellate court] will not defer to the committee's judgment more than is warranted by the circumstances'.
(vii) Matters of mitigation are likely to be of considerably less significance in regulatory proceedings than to a court imposing retributive justice, because the overarching concern of the professional regulator is the protection of the public.
(viii) A failure to provide adequate reasons may constitute a serious procedural irregularity which renders the Tribunal's decision unjust: see Southall's case at paras 55–56."
Bawa-Garba v General Medical Council [2019] 1 WLR 1929
"That technical difference may not be significant. Whether the appeal from the MPT is pursuant to section 40 or section 40A, the task of the High Court is to determine whether the decision of the MPT is 'wrong'. In either case, the appeal court should, as a matter of practice, accord to the MPT the same respect: Meadow v General Medical Council [2007] QB 462, paras 126–128."
"61. … an evaluative decision based on many factors, a type of decision sometimes referred to as 'a multi-factorial decision'. This type of decision, a mixture of fact and law, has been described as 'a kind of jury question' about which reasonable people may reasonably disagree: Biogen Inc v Medeva plc [1997] RPC 1, 45; Pharmacia Corp v Merck & Co Inc [2002] RPC 41, para 153; Todd v Adams and Chope (trading as Trelawney Fishing Co) (The Maragetha Maria) [2002] 2 All ER (Comm) 97, para 129; Datec Electronic Holdings Ltd v United Parcels Service Ltd [2007] 1 WLR 1325, para 46. It has been repeatedly stated in cases at the highest level that there is limited scope for an appellate court to overturn such a decision."
At [62] the court cited Clarke LJ in Assicurazioni Generali SpA v Arab Insurance Group (Practice Note) [2003] 1 WLR 577 as follows:
"'15. In appeals against conclusions of primary fact the approach of an appellate court will depend upon the weight to be attached to the findings of the judge and that weight will depend upon the extent to which, as the trial judge, the judge has an advantage over the appellate court; the greater that advantage the more reluctant the appellate court should be to interfere. As I see it, that was the approach of the Court of Appeal on a "rehearing" under the Rules of the Supreme Court and should be its approach on a "review" under the Civil Procedure Rules 1998.
16. Some conclusions of fact are, however, not conclusions of primary fact of the kind to which I have just referred. They involve an assessment of a number of different factors which have to be weighed against each other. This is sometimes called an evaluation of the facts and is often a matter of degree upon which different judges can legitimately differ. Such cases may be closely analogous to the exercise of a discretion and, in my opinion, appellate courts should approach them in a similar way.'"
In respect of the caution of appellate courts to interfere with conclusions of fact which involve an assessment of a number of different factors, at [67] it was stated:
67. That general caution applies with particular force in the case of a specialist adjudicative body, such as the Tribunal in the present case, which (depending on the matter in issue) usually has greater experience in the field in which it operates than the courts: see the Smech case [2016] JPL 677, para 30; Khan v General Pharmaceutical Council [2017] 1 WLR 169, para 36; Meadow's case [2007] QB 462, para 197; and Raschid v General Medical Council [2007] 1 WLR 1460, paras 18–20. An appeal court should only interfere with such an evaluative decision if (1) there was an error of principle in carrying out the evaluation, or (2) for any other reason, the evaluation was wrong, that is to say it was an evaluative decision which fell outside the bounds of what the adjudicative body could properly and reasonably decide: the Biogen case [1997] RPC 1, para 45; Todd v Adams and Chope [2002] 2 All ER (Comm) 97, para 129; Designers Guild Ltd v Russell Williams (Textiles) Ltd (trading as Washington DC) [2000] 1 WLR 2416, para 129; Buchanan v Alba Diagnostics Ltd [2004] RPC 34, para 31. As the authorities show, the addition of 'plainly' or 'clearly' to the word 'wrong' adds nothing in this context.".
Background facts
Dr Sastry
"That being registered under the Medical Act 1983 (as amended):
1. On 8 April 2014 your collection of stem cells from Patient A was inappropriate in that the bone marrow would not have had sufficient time to recover from the first stem cell collection on 18 March 2014.
2. Between April 2014 and June 2014 your recommendation that Patient A undergo high dose chemotherapy with BEAM and autologous stem cell transplantation was inappropriate in that:
a. Patient A had failed to mobilise an adequate number of CD34 positive cells; and/or
b. you did not know the number of CD34 positive cells which Patient A had mobilised.
3. Between 16 and 25 June 2014 you proceeded to high dose chemotherapy with BEAM and autologous stem cell transplantation on Patient A which was inappropriate in that:
a. an adequate number of CD34 positive cells/kg had not been collected;
and/or
b. you did not know the number of CD34 positive cells/kg which had been collected."
Evidence/misconduct
"Before the admission in June 2014 [Dr Sastry] simply took the day to day details i.e. what would be done on each day with regards to the administration of high dose chemotherapy and re-injection of harvested cells as well as where my mother would be staying throughout the hospitalisation. Going ahead with the cell transplant in a case of massively less than sufficient CD34 cells was never ever (during the entire period between February 2014 and June 2014) mentioned or discussed with me or my father or anyone for that matter. If it has been then we would never have gone ahead with this procedure."
Impairment
"27. The Tribunal went on to consider if your misconduct had been remediated. It had very serious concerns about your attitude regarding the treatment you provided to Patient A. It bore in mind that you have not demonstrated any recognition regarding the concerns of this Tribunal or acceptance that you did anything wrong in your treatment of Patient A. It determined that this demonstrates very little insight into your failings.
28. Furthermore, the Tribunal considered that you had demonstrated knowledge during these proceedings in that you knew it to be inappropriate to proceed with autologus stem cell transplantation with a CD34 count lower than 0.75 x 106 CD34 cells/kg. Given this position and that you recommended and proceeded with an autologus stem cell transplantation with a CD34 cell count of 0.47 x 106 cells per/kg, the Tribunal determined that this further demonstrates your lack of insight into your failings in this case.
29. The Tribunal considered your failure to fully inform Patient A of the importance of the CD34 count, the implications that went with this failure and therefore a failure to obtain fully informed consent for your treatment plan. It determined that these factors and your failings in the management of Patient A's treatment demonstrates a lack of insight. The Tribunal determined that during this hearing you repeatedly sought to mislead it. It determined that this is a further indication that your insight is poorly developed. Whist the Tribunal acknowledged your supplementary statement and CPD undertaken, it was not satisfied that this went far enough to demonstrate insight into your actions or that you had addressed any of the concerns before this Tribunal. For these reasons the Tribunal was not persuaded that you have remediated your misconduct."
Sanction
Mitigating factors:
- No previous or subsequent regulatory findings in the UK;
- Dr Sastry had been practising at an acceptable level since these events;
- There was no MDT structure in Kokilaben Dhirubhai Ambani Hospital, as Dr Sastry would have been used to in the UK. Whilst the Tribunal considered this in mitigation, it noted that Dr Sastry had seen a documented second opinion;
- Palliative care in India is less well developed than in the UK;
- Dr Sastry provided evidence of some non-targeted Continuing Professional Development; and
- Positive testimonials from recent colleagues.
Aggravating factors:
- Dr Sastry's actions left Patient A with no realistic chance of survival;
- He was practising in an area outside his specific expertise;
- Dr Sastry made no expression of remorse, regret or apology;
- Whilst the Tribunal accepted that denial is not an aggravating factor, it found that Dr Sastry had attempted repeatedly to mislead it;
- Dr Sastry was not open and honest in his evidence to the Tribunal;
- He demonstrated a complete lack of insight into his failings and their consequences.
Dr Okpara
i) Allegation 1: During the periods when Dr Okpara worked at UHW, he told Ms A that he liked her bottom, or was obsessed with her bottom, or words to that effect. He pulled suggestive faces at Ms A, touched her bottom with his hands, tried to link his legs with hers whilst sitting next to her at a desk, stood closer to her than was necessary and made unnecessary physical contact ("the touching incidents").
ii) Allegation 2: On an occasion prior to 16 May 2015, Dr Okpara invited Ms A out to "drink champagne" and then gave her his telephone number ("the drinks invitation"). Shortly after the drinks invitation, Dr Okpara led Ms A into a relatives' room in the hospital having asked to speak confidentially to her about a patient. That was a pretence. He then shut the door, stood in front of it, pressed his hand against the door, told Ms A that he wanted a hug, or words to that effect, ignored Ms A's comments that she felt threatened and said "if you give me a hug I'll let you out", or words to that effect ("the incident in the relatives' room").
iii) Allegation 3: On an occasion prior to 16 May 2015, whilst Ms A was in the process of taking blood from a patient, Dr Okpara walked in and drew the curtain around the patient's bed, stood behind Ms A, and remained standing with his groin touching Ms A's bottom ("the blood sample incident").
iv) Allegation 4: Dr Okpara offered to buy Ms A underwear. Ms A was said to have "laughed it off" by "walking away" and making a flippant comment ("the underwear incident").
v) Allegation 5: During a night shift between 10 and 11 June 2016, Dr Okpara sent a message to Ms A stating "thanks gorgeous" following her acceptance of his invitation to become friends on Facebook. He then followed her into a sluice room. He stood behind her, placed his arms around Ms A's waist trapping her arms by her sides, and placed his groin against her bottom, and then placed his one hand down the waist of Ms A' s trousers and touched the right side of her bottom with the cup of his hand and commented on her underwear. He smelled her neck, made groaning noises and ignored her request for him to desist. He said, "please just a little longer" and "it's ok you just have this effect on me", or words to that effect ("the sluice room incident").
vi) Allegation 6: During a night shift at 3am on 8 August 2016, when Ms A was eating her meal in the staff room, Dr Okpara came in and stood behind her and placed his hand on her shoulder and his groin against the back of her torso. He ignored her request to stop, and said, "Why? I'm just standing here. When you like someone it's hard not to be this close", or words to that effect ("the staff room incident").
Misconduct, impairment and sanction
The approach of the High Court – Dr Sastry
"66. The observations in Bawa-Garba, set out above, are of particular relevance here. Where it comes to an evaluation of clinical behaviour and the treatment of patients, particularly in connection with a sophisticated procedure like autologous cell transfer, a court is totally ill-equipped to arrive at a view of what public protection and reputation of the profession requires. It would be wrong to substitute its own untutored view for that of a panel drawn from the profession in question.
67. The MPT here was not obliged to apply the sanction sought by the GMC. For the reasons which it gave, it came to the view that proper protection of the public and the profession required the more serious sanction. I can see no proper reason for interfering with that decision."
Dr Okpara
"42. The proper approach of an appeal court to the sanctions determination of a Tribunal was recently discussed in Bawa-Garba v General Medical Council [2018] EWCA Civ 1879, [60]-[67]. The Court of Appeal (Lord Burnett of Maldon CJ, Sir Terence Etherton MR and Rafferty LJ) said that a Tribunal's sanctions determination (in that case, that suspension rather than erasure was an appropriate sanction for the failings of Dr Bawa-Garba which had led to her conviction for gross negligence manslaughter) is an evaluative decision based on many factors, a type of decision sometimes referred to as 'a multi-factorial decision'. This type of decision, a mixture of fact and law, has been described as 'a kind of jury question' about which reasonable people may reasonably disagree: Biogen Inc v Medeva Plc [1997] RPC 1, 45; Pharmacia Corp v Merck & Co Inc [2002] RPC 41, [153]; Todd v Adams (t/a Trelawney Fishing Co) (The Maragetha Maria) [2002] 2 Lloyd's Rep 293, [129]; Datec Electronics Holdings Ltd v United Parcels Service Ltd [2007] 1 WLR 1325, [46].
43. It has been repeatedly stated in cases at the highest level that there is limited scope for an appellate court to overturn such a decision. At [64] the Court of Appeal quoted Lord Clarke in Re B (A Child) (Care Proceedings) [2013] 1 WLR 1911, [137]:
'… it has traditionally been held that, absent an error of principle, the Court of Appeal will not interfere with the exercise of a discretion unless the judge was plainly wrong. On the other hand, where the process involves a consideration of a number of different factors, all will depend on the circumstances. As Hoffmann LJ put it in In re Grayan Building Services Ltd (In Liquidation) [1995] Ch 241, 254, "generally speaking, the vaguer the standard and the greater the number of factors which the court has to weigh up in deciding whether or not the standards have been met, the more reluctant an appellate court will be to interfere with the trial judge's decision".'
44. At [67] of Bawa-Garba the Court said that this general caution applies with particular force in the case of a specialist adjudicative body, such as the Medical Practitioners Tribunal, which (depending on the matter in issue) usually has greater experience in the field in which it operates than the courts: see Smech Properties Ltd v Runnymede Borough Council [2016] EWCA Civ 42, [30]; Khan v General Pharmaceutical Council [2017] 1 WLR 169 at [36]; Meadow at [197]; and Raschid v General Medical Council [2007] 1 WLR 1460, [18]-[20]. It therefore said that an appeal court should only interfere with such an evaluative decision on sanction if (a) there was an error of principle in carrying out the evaluation, or (b) for any other reason, the evaluation was wrong, that is to say it was an evaluative decision which fell outside the bounds of what the adjudicative body could properly and reasonably decide (citations omitted)."
"The starting point is, as I have said, that the Tribunal is the body best equipped to determine the sanction to be imposed. The assessment of the seriousness of the misconduct is essentially a matter for the Tribunal in the light of its experience. It is the body best qualified to judge what measures are required to maintain the standards and reputation of the profession: Bawa-Garba, supra, [67] and [94]. I remind myself that I can only intervene if (a) there was an error of principle in carrying out the evaluation, or (b) for any other reason, the evaluation was wrong, that is to say it was an evaluative decision which fell outside the bounds of what the adjudicative body could properly and reasonably decide."
"In its decision the Tribunal said that Dr Okpara's conduct fell within [148], [149] and [150] of the Sanctions Guidance. In my judgment it was right to do so. Therefore, erasure was open to the Tribunal as a sanction which was likely to be appropriate for Dr Okpara's misconduct. The question for me is whether the Tribunal made an error of principle in carrying out its evaluation that erasure was in fact the appropriate sanction, or for any other reason, that that evaluation was wrong, that is to say it was an evaluative decision which fell outside the bounds of what the adjudicative body could properly and reasonably decide."
"The Tribunal said that Dr Okpara's misconduct was fundamentally incompatible with continued registration, and for that reason suspension was not appropriate. In my judgment it was not wrong (in the sense I have explained) so to conclude, whether or not Dr Okpara had acknowledged fault (which, in my judgment, he had not). As a specialist Tribunal, it was entitled to conclude that sustained sexually predatory behaviour by Dr Okpara towards a colleague whilst on duty, once in the presence of a patient, and once following deception that he wanted to discuss a patient, was fundamentally incompatible with his continued work as a doctor."
Grounds of appeal
Dr Sastry
i) CPR Rule 52.21(1A) and PD 52D para 19.1(1)(e) and (2) expressly providing that the appeal be by way of rehearing and not by way of review; and
ii) Privy Council and Supreme Court authority that the test to be applied is whether the sanction was necessary and appropriate as opposed to excessive and disproportionate. The High Court did not purport to apply that test.
i) it was a single incident of alleged negligence four years earlier, in an otherwise unblemished record;
ii) Dr Sastry was providing care for a seriously ill patient in a jurisdiction that did not have the benefit of support mechanisms for doctors such as multidisciplinary team meetings, national or hospital guidelines and where the alternative of palliative care is less well developed;
iii) in appearing before the MPT, Dr Sastry was in a difficult position due to ongoing proceedings in India where doctors do not have the benefit of the protection of the Compensation Act and where expressions of apology or regret are viewed differently;
iv) at the hearing before the MPT, the GMC had proposed a lesser sanction, namely suspension. In Arunachalam v General Medical Council [2018] EWHC 758 at [76], Kerr J, when substituting a sanction of suspension for a sanction of erasure, stated that the stance of the GMC was "strong evidence" of what a reasonable and informed member of the public would think.
Dr Okpara
"73. Dr Gupta referred to the passage in Jagjivan, supra, at [39(vi)], referring to Southall, supra, where the Court said that there may be matters, such as dishonesty or sexual misconduct, where the court is likely to feel that it can assess what is needed to protect the public or maintain the reputation of the profession more easily for itself and thus attach less weight to the expertise of the MPT. To the extent that that suggests a different approach, and permits me more readily to make my own assessment, I bound to say I fully agree with the MPT's decision. That is because the crimes Dr Gupta committed are shocking. No amount of mitigation could have produced an outcome which allowed a man who became sexually aroused by the violent genital abuse of distressed women to continue working as an obstetrician, even after a period of suspension. Realistically, erasure was the only appropriate sanction that could have been imposed."
i) the unblemished record of the doctor. The MPT accepted that the public interest was served through the retention of clinically competent doctors, which is relevant to public confidence. The alleged misconduct was not with a patient, it did not relate to the doctor's professional performance;
ii) the appellant did not pose any risk. A witness stated that following the incident she was assured that Ms A felt safe and not at risk;
iii) the appellant accepted fault and responsibility, it was accepted on his behalf that it would be appropriate for the MPT to find misconduct and impairment;
iv) the testimonials pointed away from the risk of repetition.
The GMC
Discussion and conclusions
i) an unqualified statutory right of appeal by medical practitioners pursuant to section 40 of the 1983 Act;
ii) the jurisdiction of the court is appellate, not supervisory;
iii) the appeal is by way of a rehearing in which the court is fully entitled to substitute its own decision for that of the Tribunal;
iv) the appellate court will not defer to the judgment of the Tribunal more than is warranted by the circumstances;
v) the appellate court must decide whether the sanction imposed was appropriate and necessary in the public interest or was excessive and disproportionate;
vi) in the latter event, the appellate court should substitute some other penalty or remit the case to the Tribunal for reconsideration.
Dr Sastry
Dr Okpara