QYFM v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs [2023] HCA 15 (17 May 2023)
Last Updated: 13 June 2023
HIGH COURT OF AUSTRALIA
KIEFEL CJ,
GAGELER,
GORDON, EDELMAN, STEWARD, GLEESON AND JAGOT JJ
QYFM APPELLANT
AND
MINISTER FOR IMMIGRATION,
CITIZENSHIP,
MIGRANT SERVICES AND MULTICULTURAL
AFFAIRS &
ANOR RESPONDENTS
QYFM v Minister for Immigration, Citizenship, Migrant
Services and Multicultural Affairs
[2023] HCA 15
Date of Hearing:
13 December 2022
Date of Judgment: 17 May
2023
M53/2022
ORDER
- Appeal
allowed.
- Set
aside the orders of the Full Court of the Federal Court of Australia made on 15
September 2021.
- Remit
the matter to the Federal Court of Australia to be heard and determined by a
differently constituted Full Court.
- The
first respondent pay the appellant's costs of the appeal and of the hearing to
date of the appeal to the Full Court of the Federal
Court of
Australia.
On appeal from the Federal Court of
Australia
Representation
E M Nekvapil SC with N Boyd-Caine and C J
Fitzgerald for the appellant (instructed by Zarifi Lawyers)
S P Donaghue
KC, Solicitor-General of the Commonwealth, with A F Solomon-Bridge and
A N Regan for the first respondent (instructed
by Clayton Utz)
Submitting
appearance for the second
respondent
Notice: This copy of the Court's Reasons for Judgment is subject to formal
revision prior to publication in the Commonwealth Law
Reports.
CATCHWORDS
QYFM v Minister for Immigration, Citizenship,
Migrant Services and Multicultural Affairs
Courts and judges –
Bias – Reasonable apprehension of bias – Where appellant appealed to
Full Court of Federal Court
of Australia from decision dismissing application
for judicial review of non-revocation of decision to cancel his visa on
character
grounds – Where appellant sought recusal of judge sitting as
member of Full Court constituted to hear appeal – Where
reasonable
apprehension of bias on the part of challenged judge said to arise from judge's
appearance, in former capacity as Commonwealth
Director of Public Prosecutions,
as counsel for Crown in opposition to appellant's appeal against conviction
– Where appellant's
conviction causally related to cancellation of visa
and non-revocation decision subject to challenge in Full Court – Whether
fair-minded lay observer might reasonably apprehend that judge might not be
impartial – Whether reasonable apprehension of
bias on the part of
challenged judge vitiated Full Court's jurisdiction.
Courts and judges
– Practice and procedure – Whether application to disqualify judge
for bias should be determined in
the first instance by challenged judge alone or
by all members of court as constituted.
Words and phrases –
"absence of bias", "actual bias", "apprehended bias", "character test",
"disqualification", "fair-minded
lay observer", "impartiality", "impartial
mind", "independence", "judicial power", "judicial practice", "jurisdiction",
"logical
connection", "multi-member bench", "multi-member court", "objection to
jurisdiction", "reasonable apprehension of bias", "recusal",
"substantial
criminal record".
Administrative Appeals Tribunal Act 1975 (Cth),
ss 25, 43.
Federal Court of Australia Act 1976 (Cth), ss 11, 14, 15,
16, 25.
Migration Act 1958 (Cth), ss 476A, 500, 501, 501CA.
- KIEFEL CJ
AND GAGELER J. This appeal from a decision of the Full Court of the
Federal Court of Australia turns not on the merits
of that decision but on
whether the Full Court as constituted had jurisdiction to make it in
circumstances where a prior conviction
of the appellant formed part of the
factual matrix which gave rise to the matter before the Full Court and in
circumstances where
one of the three judges who constituted the Full Court, when
Director of Public Prosecutions of the Commonwealth, had appeared in
opposition
to an appeal by the appellant against that conviction.
- Two
issues arise. One is whether those circumstances were sufficient to have given
rise to apprehended bias on the part of the individual
judge. There being no
dispute between the parties that an apprehension of bias on the part of one
judge must have deprived the Full
Court constituted by three judges of
jurisdiction to make the decision, the determination of that issue is
dispositive.
- The
other issue is whether, objection having been taken during the hearing of the
appeal to the jurisdiction of the Full Court as
then constituted on the ground
of apprehended bias on the part of the individual judge, the objection ought to
have been considered
and determined by the Full Court or by that judge alone.
That issue, although not dispositive, is one of principle, is of general
practical importance, has been squarely raised and fully argued, and for those
reasons is appropriate now to be determined by this
Court.
- For
the reasons which follow, the objection to jurisdiction on the ground of
apprehension of bias ought to have been considered and
determined by the Full
Court rather than by the individual judge alone, ought to have led the Full
Court to find apprehended bias,
and ought therefore to have been upheld. In the
result, the appeal must be allowed. The decision of the Full Court must be set
aside,
and the matter must be remitted to the Federal Court to be heard and
determined by a differently constituted Full Court.
Background to
the appeal
- The
matter before the Full Court was an appeal by the present appellant, who is a
citizen of Burkina Faso. The respondents to the
appeal were the present
respondents, the Minister for Immigration, Citizenship, Migrant Services and
Multicultural Affairs ("the
Minister") and the Administrative Appeals Tribunal
("the AAT"). The appeal was from a decision of a single judge of the Federal
Court[1] dismissing an
application by the appellant for judicial review of a decision of the AAT. The
decision of the AAT had affirmed a decision
of a delegate of the Minister not to
revoke the cancellation of the appellant's visa.
- Under
the Migration Act 1958 (Cth) ("the Act"), the Minister is obliged to
cancel a person's visa if the Minister is satisfied that the person does not
pass the
"character test" and if the person is serving a full-time sentence of
imprisonment[2]. The Act
provides that a person does not pass the "character test" if the person has "a
substantial criminal
record"[3], which exists if the
person has been sentenced to a term of imprisonment of 12 months or
more[4]. Upon notice to the
person and upon representations being made by the
person[5], the Minister has a
discretion to revoke the cancellation decision if, relevantly, satisfied that
there is "another reason" (apart
from the person passing the character test) why
that decision should be
revoked[6]. A decision of a
delegate of the Minister made in the exercise of that discretion is reviewable
on its merits by the
AAT[7].
- Following
a trial on indictment in the County Court of Victoria in 2013, the appellant was
convicted of a drug importation offence
under the Criminal Code (Cth). He
was sentenced to a term of imprisonment of ten years with a non-parole period of
seven years. He appealed against his conviction
to the Victorian Court of
Appeal, which in 2014 dismissed the appeal.
- In
2017, while the appellant was serving the sentence of imprisonment, a delegate
of the Minister made the decision to cancel his
visa on the basis that he did
not pass the "character test" by reason of the sentence of imprisonment. In
2019, another delegate
of the Minister decided not to revoke that cancellation
decision. The decision not to revoke the cancellation of the appellant's
visa
was affirmed by the AAT in 2020. The appellant applied for judicial review of
that decision of the AAT and was unsuccessful
before the primary judge, leading
to the appeal to the Full Court.
- The
appellant was unrepresented before the primary judge and at the time of filing
the original notice of appeal from the decision
of the primary judge to the Full
Court. The appellant subsequently obtained legal representation, resulting in a
written application
to the Full Court for leave to amend the notice of appeal to
raise grounds which had not been advanced before the primary judge.
The proposed
grounds were to the effect that the decision of the AAT was legally unreasonable
and that certain findings of the AAT
were not supported by probative evidence.
The application for leave to amend was listed for hearing at the time scheduled
for hearing
of the appeal.
- The
appeal was scheduled to be heard on the morning of 17 August 2021 before a
Full Court constituted by McKerracher, Griffiths and
Bromwich JJ. It is a matter
of public record that, from 2012 until his appointment to the Federal Court in
2016, Bromwich J held
the office of Director of Public Prosecutions under the
Director of Public Prosecutions Act 1983 (Cth).
- Minutes
before the commencement of the hearing on that day, the associate to Bromwich J
sent an email to the legal representatives
of the parties. The email stated that
his Honour had asked the associate to advise the parties that he had appeared
for "the Crown"
in the appellant's unsuccessful conviction appeal in the
Victorian Court of Appeal in 2014. The fact that his Honour had appeared
as
senior counsel for the respondent in that appeal was apparent from the record of
the decision of the Victorian Court of Appeal,
which was included in the appeal
book for the Full Court proceedings. The email said that his Honour did not
consider that circumstance
to give rise to an apprehension of bias as the appeal
"related to a pure legal question" but nonetheless wished to draw it to the
attention of the parties "in order that any application for his Honour to recuse
himself" could be made.
- At
the commencement of the hearing of the appeal before the Full Court, counsel for
the appellant announced that he had instructions
to apply for Bromwich J
"to recuse himself". Counsel for the appellant proceeded to make that
application orally, relying solely
on the circumstances disclosed in the email.
At the conclusion of the oral submissions of counsel for the appellant there was
a short
adjournment, following which the Full Court reconvened.
- Upon
the Full Court reconvening, McKerracher J invited Bromwich J to "deal with the
application". Bromwich J explained that he declined
to recuse himself from
sitting on the appeal for reasons he proceeded to elaborate. McKerracher J then
invited counsel for the appellant
to continue and the hearing resumed. At the
conclusion of the hearing, the Full Court reserved its decision.
- The
decision of the Full Court was delivered on 15 September
2021[8]. By that decision, the
Full Court granted the appellant leave to rely on the ground that the decision
of the AAT was legally unreasonable,
refused the appellant leave to rely on the
proposed ground that findings of the AAT were not supported by probative
evidence, and
dismissed the appeal.
- Joint
reasons for judgment then published by McKerracher and Griffiths JJ
comprehensively addressed the merits of the application
for leave to amend the
notice of appeal and the
appeal[9]. Those reasons said
nothing about the application which had been made orally at the hearing.
- In
separate reasons for judgment, Bromwich J agreed with McKerracher and Griffiths
JJ as to the merits[10] and
went on to recapitulate the reasons he had given during the hearing for
considering that the circumstances outlined in the email
from his associate did
not give rise to an apprehension of
bias[11]. Those reasons, in
essence, were that: as Director of Public Prosecutions his practice was to
appear only in appeals which raised
issues of principle; the appellant's appeal
against conviction to the Victorian Court of Appeal was an appeal of that
character,
turning wholly on a legal question as to the admissibility of
evidence; by virtue of his appearance in that appeal, he had acquired
no
knowledge of the criminal history of the appellant beyond that which was
apparent to all members of the Full Court from the record
of the decision of the
Victorian Court of Appeal contained in the appeal book for the Full Court
proceedings; the fact of the conviction
was not in issue in the appeal before
the Full Court, it being common ground that the appellant failed the "character
test"; and
the contents of the decision of the Victorian Court of Appeal did not
feature in the appeal before the Full Court in any way, the
record of that
decision having been included in the appeal book only because it had been part
of the material which had been before
the AAT.
- His
Honour also made clear what was in any event to be inferred from the timing of
his associate's email: that he had only noticed
that he had appeared in the
conviction appeal during the course of his final preparation on the morning of
the hearing before the
Full Court on 17 August
2021[12]. His Honour acted
prudently in accordance with standard judicial practice by promptly notifying
the parties of circumstances properly
recognised by him to have the potential to
be seen to give rise to an apprehension of
bias[13].
The
Full Court should have decided the objection
- The
application made to the Full Court by counsel for the appellant at the
commencement of the hearing, although framed as an application
that
Bromwich J "recuse himself", was in substance an objection to the Full
Court as then constituted hearing and determining the
appeal. Was the
application appropriately left by McKerracher and Griffiths JJ to be considered
and determined by Bromwich J alone?
Or should it have been considered and
determined by the Full Court constituted by all three of them?
- Existing
authority provides no direct answer. And a survey of the practices of
multi-member courts in Australia and in comparable
jurisdictions reveals no
consistent approach to questions of this kind.
- Issues
as to apprehension of bias on the part of individual Justices sitting as members
of Full Courts of this Court have arisen
on two occasions in the past 25 years.
On neither occasion, however, was an objection pressed to the Full Court as
constituted hearing
or determining the matter before it.
- The
first occasion arose in relation to Kartinyeri v The
Commonwealth[14]. There,
an issue of apprehended bias on the part of Callinan J was raised by the
plaintiffs informally before his Honour alone in
advance of the hearing of the
substantive proceeding before the Full Court. His Honour took the view that an
apprehension of bias
did not arise for reasons which he then
published[15]. His Honour
went on to sit as a member of the Full Court on the hearing of the substantive
proceeding. After the hearing, the plaintiffs
filed a notice of motion seeking
from the Full Court an order that Callinan J "not further participate in the
deliberations of the
Court". The notice of motion was the subject of a
directions hearing before Brennan CJ, who listed it for hearing before the Full
Court and informed the parties that Callinan J did not propose to sit on its
return[16]. Brennan CJ
also informed the parties that the issue of whether Callinan J should sit on the
hearing of the substantive proceeding
before the Full Court had been raised with
him by Callinan J in advance of that hearing and that "[a]lthough the Judge
would have
welcomed consultation with other members of the Court, the view was
taken by me and by the other Justices that, at least at first
instance, the
decision was one for the Judge
alone"[17]. In the events
which subsequently occurred, the hearing of the notice of motion did not proceed
and Callinan J did not participate
in the determination of the proceeding.
- The
second occasion arose in relation to Unions NSW v New South
Wales[18]. There, senior
counsel for an intervenor stated at the commencement of the hearing before the
Full Court that he needed to draw to
the Full Court's attention that "a member
of the Court in a previous capacity" had given advice which "touched on" an
issue in the
proceeding[19].
No application was made, and no objection was raised. The Full Court adjourned.
Upon resuming, Gageler J announced that he proposed
to recuse himself from the
hearing for the reasons he then
gave[20]. The hearing
continued in his absence.
- In
neither of the foregoing instances was it necessary for the Full Court of this
Court to consider any objection to the Justice
in question hearing or
determining the matter because each recused himself before any such occasion
could arise. The most that can
be generalised from those sequences of events is
the existence of a practice whereby individual Justices of this Court have been
accepted by their colleagues to have the capacity to recuse themselves from the
hearing or determination of a matter upon becoming
satisfied of an apprehension
of bias on their part, whether before or after the commencement of a hearing. To
note this institutional
practice of collective acquiescence in unilateral
recusal, however, is not to answer the question at hand.
- Procedures
adopted by intermediate courts of appeal in Australia when dealing with
objections to one or more of their members hearing
or determining or continuing
to hear or determine a matter on the basis of apprehension of bias have varied
between and even within
those courts. In the events which led to the decision of
this Court in Livesey v New South Wales Bar
Association[21], for
example, objections to two out of three members of the Court of Appeal of New
South Wales hearing and determining a matter were
raised at the commencement of
a scheduled hearing and renewed during that hearing. Each of those objections
was considered and rejected
by all three members of that
Court[22]. In Bainton v
Rajski[23], in contrast,
discrete objections to two out of three members of the Court of Appeal of New
South Wales hearing and determining a
matter were determined discretely by each
of the two members concerned, with the third expressing no opinion. The approach
adopted
by the Full Court of the Federal Court in the decision under appeal can
similarly be contrasted with that adopted by a differently
constituted Full
Court of that Court several months earlier in CPJ16 v Minister for Home
Affairs[24], where
reasons given by S C Derrington J for refusing to recuse herself were
specifically agreed to by Jagot and Griffiths JJ.
- Internationally,
a diversity of approaches has also been
evident[25]. At one extreme
has been the view famously expressed by Jackson J (with the concurrence of
Frankfurter J) that a complaint about
the participation of an individual Justice
of the Supreme Court of the United States "is one which cannot properly be
addressed to
the Court as a
whole"[26]. Conformably with
that view, the federal statute, first enacted in 1948, which now provides that
"[a]ny justice, judge, or magistrate
judge of the United States shall disqualify
himself in any proceeding in which his impartiality might reasonably be
questioned"[27] has been
interpreted to require any disqualification decision to be made by the
individual judge concerned and none
other[28]. The Supreme Court
of Canada has taken the approach that an application for recusal, although
raised and argued before the Court
as a
whole[29], was appropriately
determined solely by the individual Justice whose recusal was
sought[30]. At the other
extreme has been the view expressed by the Lord Chancellor of England (Lord
Irvine) in an open letter to the Senior
Law Lord (Lord Browne-Wilkinson), in the
wake of R v Bow Street Metropolitan Stipendiary Magistrate; Ex parte Pinochet
Ugarte [No 2][31],
"that [Lord Browne-Wilkinson], or the law lord in the chair, [should] ensure at
the time when any committee is being composed to
hear an appeal, that its
proposed members consider together whether any of their number might appear to
be subject to a conflict
of interest; and in order to ensure the impartiality,
and the appearance of impartiality, of the committee, require any law lord
to
disclose any such circumstances to the parties, and not sit if any party objects
and the committee so
determines"[32]. Each of the
Court of Appeal of England and
Wales[33], the Constitutional
Court of South Africa[34],
the Court of Appeal of
Singapore[35], and the Court
of Appeal in Northern
Ireland[36] has acted on the
view that an objection to one of its members sitting was appropriately
determined by the entirety of the court as
constituted. Varying approaches are
adopted in recusal guidelines published pursuant to statute in New
Zealand[37]. The guidelines
published by the Supreme Court of New Zealand require an objection to be
determined by all available judges other
than the judge who is the subject of
the objection[38]. The
guidelines published by the Court of Appeal of New Zealand provide for an
objection to be determined by the panel of judges
allocated to the hearing of an
appeal including the impugned judge unless the President otherwise
directs[39]. Ultimately,
differences in constitutional structure, legislative instruction, and
institutional experience render comparative analysis
of limited utility.
- The
question arising in the circumstances of the present case falls to be resolved
at the level of principle within the framework
established in Ebner v
Official Trustee in
Bankruptcy[40].
Foundational to that framework are two propositions. One is that impartiality is
an indispensable aspect of the exercise of judicial
power[41]. The other is that
"[b]ias, whether actual or apprehended, connotes the absence of
impartiality"[42]. Leaving to
one side exceptional circumstances of waiver or
necessity[43], an actuality
or apprehension of bias is accordingly inherently jurisdictional in that it
negates judicial power.
- Once
the jurisdictional significance of bias is appreciated, it becomes apparent that
responsibility for ensuring an absence of bias
– whether actual or
apprehended – lies with a court as an institution and not merely with a
member of that court whose
impartiality might be called into question. The duty,
indeed the "first duty"[44],
of any court is to be satisfied of its own jurisdiction. The upshot of that
duty, as elaborated by Gibbs J in The Queen v Federal Court of Australia; Ex
parte WA National Football
League[45], is that:
"When the question is raised before a court of limited jurisdiction whether a
condition of its jurisdiction has been satisfied, that
court is not obliged
immediately to refrain from proceeding further. It can and should decide whether
the condition is satisfied
and whether it has jurisdiction to proceed, but its
decision is not conclusive."
- Thus,
an objection to a multi-member court as constituted hearing and determining a
matter based on an allegation of bias on the
part of one or more of its members
(including an objection brought by way of an application for recusal or
disqualification) raises
a question of jurisdictional fact which that court can
and must determine for itself in order to be satisfied of its own jurisdiction.
The determination of that question of jurisdictional fact is not antecedent to
the performance of the curial function, but part of
that function. The
determination ought to be reflected in a curial order which embodies the court's
formal resolution of the objection,
subject to applicable procedures for
appeal[46] or review for
jurisdictional
error[47].
- In
the case of the Full Court of the Federal Court, precisely who constitutes "the
court" for the purposes of hearing and determining
an appeal is spelt out in the
Federal Court of Australia Act 1976 (Cth). Subject to presently
immaterial exceptions, the appellate jurisdiction of the Federal Court is
required to be exercised by
a Full
Court[48] consisting of three
or more judges sitting
together[49]. The making of
arrangements about which judges are to constitute the Full Court in a particular
matter or class of matters lies within
the responsibility of the Chief
Justice[50]. The process by
which the Chief Justice makes arrangements can be expected to be tailored to
minimise the risk of any issue of bias
arising on the hearing of a matter,
including by allowing a legitimate concern about bias on the part of a judge to
be raised and
addressed administratively as an aspect of that process. But once
a Full Court consisting of three or more judges is constituted
and is seized of
the hearing of an appeal, responsibility for the discharge of the judicial power
involved in hearing and determining
the appeal devolves to those three or more
judges acting institutionally as the Full Court. The institutional
responsibility of the
Full Court as so constituted includes the consideration
and determination of an objection to its jurisdiction. The Full Court as
so
constituted has a duty to hear and determine the appeal unless the court as so
constituted determines that the objection to jurisdiction
is
well-founded[51].
- The
view that an allegation of bias on the part of a member of an appellate or
collegiate court can and should be considered and
determined by the court as
distinct from the impugned member alone was cogently developed by Sir Anthony
Mason, writing soon after
Kartinyeri[52]. Sir
Anthony concluded that the court has an institutional responsibility to ensure
that it is constituted "in accordance with the
provisions of the law governing
the judicial process, the exercise of judicial power and natural
justice"[53]. He pointed out
that that institutional responsibility of the court as constituted was entirely
congruent with what then was, and
remains, the common practice in Australian
courts according to which judges at first instance hear and determine
allegations of bias
raised against themselves. The rationale for that practice
he explained to be that "[a]t first instance, the judge who is the target
of the
objection determines the objection because [that judge] constitutes the
court"[54].
- To
require an allegation of bias on the part of a member of a multi-member court to
be considered and determined by the court as
constituted should not be thought
to place an undue strain on judicial collegiality. In the context of explaining
the appropriateness
of appellate review of non-recusal decisions, it was
emphasised in
Livesey[55] that the
determination of questions of apprehended bias can involve evaluations of degree
on which reasonable minds might differ
and that a conclusion of apprehended bias
on the part of an individual judge implies no criticism of that judge. As for
sensitivities
between judges at different levels of the judicial hierarchy, so
for sensitivities between judges within a multi-member court.
- If,
upon objection being taken, a procedure is followed according to which the judge
in question places his or her knowledge of all
relevant facts on the record at
the outset, there is no reason why the requisite evaluative judgment ought not
be formed by each
judge of a multi-member court on the totality of the
evidentiary material before that court. The judge's state of mind itself being
a
question of fact, there is also no reason why the same procedure should not be
adopted in the unusual (and ordinarily unnecessary
and inappropriate) event of
an objection being made on the ground of actual bias. In such an event, the
determination of the objection
would remain for the court even though the
disclosure by the judge in question of his or her state of mind would in
practice resolve
the question of jurisdictional fact as to whether or not actual
bias existed.
- Nor
is there any reason why the judgment of the majority of the multi-member court
should not prevail in the event of disagreement
on an issue of apprehended bias
as it would in the determination of any other issue before the court. The
potential for a judge persuaded
of apprehended bias on their own part to find
themselves in the minority, and so to find themselves duty-bound by the decision
of
the majority to hear and determine a matter contrary to their own judgment,
cannot be gainsaid. But a potential of that kind will
arise in relation to any
jurisdictional objection. Moreover, the predicament of a judge persuaded of
apprehended bias on their own
part finding themselves bound by the decision of
the majority is little different from the predicament of a judge persuaded of
apprehended
bias on their own part finding themselves reversed on appeal or
compelled to exercise jurisdiction by a writ of mandamus.
- Bearing
reiteration in this context is that the systemic function served by providing
curial mechanisms to ensure an absence of bias
is the maintenance of public
confidence in the judiciary. That function is better served by an allegation of
bias on the part of
a member of a multi-member court being, and being seen to
be, considered and determined by the court as an institution, according
to the
same procedure and in the application of the same decision-making rule as would
any other objection to jurisdiction.
- The
application that Bromwich J "recuse himself" ought therefore to have been
considered and determined by the Full Court.
Apprehended bias
should have been found
- The
basis on which apprehended bias should have been found remains to be
explained.
- The
criterion for the determination of an apprehension of bias on the part of a
judge was definitively stated in Ebner by reference to previous
authority[56] and has often
been repeated[57]. The
criterion is whether "a fair-minded lay observer might reasonably apprehend that
the judge might not bring an impartial mind
to the resolution of the question
the judge is required to
decide"[58]. The "double
might"[59] serves to
emphasise that the criterion is concerned with "possibility (real and not
remote), not
probability"[60].
- Application
of the criterion was identified in
Ebner[61], and has
been reiterated[62],
logically to entail: (1) identification of the factor which it is said might
lead a judge to resolve the question other than on
its legal and factual merits;
(2) articulation of the logical connection between that factor and the
apprehended deviation from deciding
that question on its merits; and (3)
assessment of the reasonableness of that apprehension from the perspective of a
fair-minded
lay observer.
- Ebner[63]
specifically rejected the notion that there exists a category of case, involving
some "interest" or "association" on the part of
a judge, in respect of which
an apprehension of bias will be presumed without
needing to undertake such an analysis in order to determine that the criterion
is
satisfied. The submission by the appellant that this Court should now
recognise "incompatibility" between the judicial role and another
role
previously performed by a judge as a category of "interest" in respect of which
an apprehension of bias will be presumed is
irreconcilable with Ebner and
must be rejected.
- The
reasoning of the plurality in Isbester v Knox City
Council[64], upon which
the appellant sought to rely for the proposition that an apprehension of bias
should be presumed in a case of "incompatibility
of roles", is not to be
understood as having departed from the analysis in Ebner. That reasoning
is rather to be understood as demonstrating that the outcome of the Ebner
analysis in some cases may be so obvious as to warrant little or no
elaboration. Isbester, where a person who laid charges which resulted in
a criminal conviction went on to participate in impugned decision-making
concerning
a civil consequence of that conviction, was such a
case[65]. Dickason v
Edwards[66] and
Stollery v Greyhound Racing Control
Board[67] can be
similarly regarded.
- In
the present case, close adherence to the logic of the Ebner analysis has
greater utility.
- Although
the appellant placed some emphasis on the fact of Bromwich J having held the
statutory office of Director of Public Prosecutions
at the time of the
appellant's conviction appeal, and by inference at the time of his indictment,
trial and conviction, the appellant
failed to articulate how that factor alone
might logically be said to lead to an apprehension that his Honour might not
resolve the
questions in the appeal to the Full Court on their legal and factual
merits. None is
apparent[68].
- The
appellant is on firmer ground in relying on the fact that Bromwich J had
appeared as counsel against him in his conviction appeal.
It will be recalled
that becoming aware of that fact had prompted Bromwich J correctly to cause the
parties to be notified of the
potential for an apprehension of bias to have
arisen.
- In
articulating the logical connection between that factor and an apprehension that
Bromwich J might not bring an impartial mind
to the resolution of the legal
questions before the Full Court on their merits, the appellant relied on the
observation of Gageler
J in Isbester that "a person who has been the
adversary of another person in the same or related proceedings can ordinarily be
expected to have
developed in that role a frame of mind which is incompatible
with the exercise of that degree of neutrality required dispassionately
to weigh
legal, factual and policy considerations relevant to the making of a decision
which has the potential adversely to affect
interests of that other
person"[69].
- The
pivotal stage in the analysis on this strand of the appellant's argument lies in
the assessment of the reasonableness, in the
circumstances of the case, of an
apprehension of that kind from the perspective of a fair-minded lay observer. In
undertaking that
assessment, "it is the court's view of the public's view, not
the court's own view, which is
determinative"[70]. The
hypothetical fair-minded lay observer is a deliberate and necessary construct
which tethers the court's analysis to the ultimate
purpose of maintaining public
confidence in the impartiality of the judicial system. The construct provides
the "standard by which
the courts address what may appear to the public served
by the courts to be a departure from standards of impartiality and independence
which are essential to the maintenance of public confidence in the judicial
system"[71].
- Here,
as the parties properly recognised in argument, much depends on the
characteristics to be attributed to the hypothetical fair-minded
lay observer in
applying that standard. The observer is to be placed in a contemporary setting.
Uncritical attitudes of the past
cannot be assumed to be those of the present.
- Being
"fair-minded", the observer "is neither complacent nor unduly sensitive or
suspicious"[72]. Yet the
observer is cognisant of "human
frailty"[73] and is all too
aware of the reality that the judge is human. The observer understands that
"information [as well as attitudes] consciously
and conscientiously discarded
might still sometimes have a subconscious effect on even the most professional
of decision-making"[74].
- Being
"lay", the observer "is not to be assumed to have a detailed knowledge of the
law, or of the character or ability of a particular
judge"[75]. Though the
observer may be taken to understand that the judge, by reason of professional
training and experience and fidelity to
the judicial oath or affirmation, will
have a greater capacity than most to discard "the irrelevant, the immaterial and
the prejudicial"[76] and to
discharge the judicial function uninfluenced by past professional
relationships[77], "the
public perception of the judiciary is not advanced by attributing to the ...
observer a knowledge of the law and an awareness
of the judicial process that
ordinary experience suggests not to be the
case"[78]. This indicates
that the observer will see the person who is currently a judge as the person who
was formerly an advocate and may
be less inclined to dissociate the advocate
from the cause advocated than would someone steeped in the adversary process
with a cultivated
sense of the ethics of the legal profession and the profundity
of the judicial oath.
- Nor
is the observer so abstracted and dispassionate as to be insensitive to the
impression that the circumstances in issue might
reasonably create in the mind
of the actual party who is asserting an apprehension of
bias[79]. The observer can be
taken to appreciate that a party – especially an individual, and
especially a non-citizen facing deportation
on the basis of his conviction
– might understandably experience a justifiable sense of disquiet in
seeing his former prosecutor
turn up as one of his judges.
- Though
the lesson of Ebner is that each case must be considered by reference to
the totality of its own circumstances, the combination of such considerations
makes likely the conclusion that a fair-minded lay observer might reasonably
apprehend that a judge who has been involved as an advocate
in the prosecution
of an individual in the past might have developed in that role, and might be
unable completely to discard, a mind-set
that is unfavourable to the individual
to a degree incompatible with the dispassionate resolution of such question as
the judge may
be called on to decide in a subsequent case to which that
individual is a party. The conclusion is even more likely where the earlier
prosecution is in some way connected with the case before the court.
- The
Minister drew attention to two cases in which courts of criminal appeal in
Australia have declined to set aside convictions in
circumstances where the
trial judge had acted as counsel for the prosecution in earlier proceedings
against the accused for unrelated
offences.
- In
one of those cases, R v
Garrett[80], the judge
when Solicitor‑General for South Australia had acted against the accused
only as counsel for the respondent in an
appeal against conviction and in an
application for special leave to appeal. King CJ, with the concurrence of the
other members of
the Full Court of the Supreme Court of South Australia, opined
that the transcript of the earlier appeal and application for special
leave
contained "nothing to suggest that the then Solicitor-General had formed any
personal view of the case and was doing other
than making submissions on behalf
of the Crown in the ordinary way of
advocacy"[81]. For present
purposes, it is unnecessary and would be inappropriate to canvass the
correctness of the outcome in that case at the
time it was decided. It is enough
to record that the fact that the judge had acted unexceptionally in performing
the role of advocate
would not now be accepted as sufficient to assuage a
reasonable apprehension on the part of a lay observer that the judge might have
carried over a perception of the accused formed during the performance of that
role.
- In
the other case, McCreed v The
Queen[82], the judge had
acted as counsel for the prosecution in the trial of the accused for murder. In
concluding that circumstance not to
have given rise to an apprehension of bias,
it was emphasised in the Full Court of the Supreme Court of Western Australia
sitting
as the Court of Criminal Appeal that the prosecution had been more than
a decade earlier, that "nothing unusual or untoward" occurred
in the course of
it, that the judge had said that he had no independent recollection of it, and
that the case against the accused
before the judge was for unrelated sexual
offences[83]. Again, without
canvassing the correctness of the outcome at the time that case was decided, it
would be difficult now to accept
those factors as sufficient to assuage a
reasonable apprehension on the part of a lay observer that the judge might have
formed as
a prosecutor and retained as a judge an adverse perception of the
accused.
- The
reasoning of Bromwich J in the present case understandably reflected the
approach taken in those earlier cases. For the reasons
stated, however, that
approach cannot be accepted as a correct contemporary application of the
criterion for the determination of
apprehended bias in circumstances where a
judge has acted as counsel against a party in or in relation to an earlier
criminal prosecution.
- His
Honour's appearance as counsel against the appellant in his earlier conviction
appeal was sufficient to give rise to a reasonable
apprehension on the part of a
fair-minded lay observer of the possibility that his Honour had formed and
retained an attitude to
the appellant incompatible with the degree of neutrality
required dispassionately to resolve issues in a subsequent proceeding to
which
the appellant was a party. The circumstance that the conviction led to the
cancellation of the appellant's visa so as to be
causally related to the
subject-matter of the appeal concerning the non-revocation of the cancellation
decision reinforced the reasonableness
of that apprehension in the circumstances
of the case. The facts that his Honour had been concerned as counsel only to
argue a question
of law and had acquired no knowledge of the criminal history of
the appellant not apparent from the record of the decision of the
Victorian
Court of Appeal were not to the point. Neither that nor any other of the
considerations referred to by his Honour was sufficient
to allay the
apprehension of bias which reasonably arose.
The effect of
apprehended bias
- The
Solicitor-General of the Commonwealth, who appeared for the Minister, conceded
that it followed from a conclusion of apprehended
bias on the part of Bromwich J
that the Full Court was deprived of jurisdiction to hear and determine the
appeal even though the
decision was in fact unanimous. Despite being prepared to
concede that bias on the part of one out of three members of a multi-member
court was sufficient to deprive the court of jurisdiction, the Solicitor-General
sought to reserve to a future case whether bias
on the part of one out of, say,
five or seven members of a multi-member court would have that effect. The
attempted reservation indicates
that something needs to be said about the basis
on which the concession is correct.
- Once
it is accepted that absence of bias is inherent in the exercise of judicial
power and that the jurisdiction of a multi-member
court is to be exercised by
all of the judges who constitute the court for the hearing and determination of
a matter, it becomes
apparent that bias on the part of any one of those judges
deprives the court as so constituted of jurisdiction to proceed with the
hearing
and determination of that matter. Where bias on the part of an individual judge
is established, that is the end of the jurisdictional
inquiry. No numerical
exercise is involved. It is not a question of counting apples in a
barrel[84]. Nor is it to the
point to inquire into whether the outcome of the exercise of jurisdiction by the
court as so constituted would
or could have been different if the judge was not
biased or if the biased judge did not participate.
- That
jurisdictional consequence of bias on the part of any of its members has an
important practical dimension for a multi-member
court. Each member of the court
has an individual duty to give effect to his or her own true view of the facts
and applicable law[85]. In
the discharge of that duty, however, members of the court can properly be
expected to confer together in private in order to
obtain the benefit of each
other's views and to agree where they
can[86]. For the public to be
able to have confidence in the outcome of such a closed deliberative process,
the public must be confident
that each participant in the process is free from
bias. The process and the outcome would be tainted were a biased judge "in the
room"[87].
Orders
- The
appeal should be allowed. The decision of the Full Court should be set aside.
The matter should be remitted to the Federal Court
to be heard and determined by
a differently constituted Full Court. The Minister should pay the appellant's
costs of the appeal and
of the hearing to date of the appeal to the Full
Court.
- GORDON J.
This appeal from the Full Court of the Federal Court of Australia deals solely
with the law and procedure of apprehended
bias of a judge.
- The
appellant, a citizen of Burkina Faso, was convicted in 2013 of one count of
importing a border controlled drug and sentenced
to more than 12 months'
imprisonment. His appeal to the Court of Appeal of the Supreme Court of Victoria
against conviction was dismissed
on 21 November 2014. As a consequence of
his conviction and sentence of imprisonment, the appellant's visa was cancelled
under s 501(3A) of the Migration Act 1958 (Cth) on 8 November 2017.
The appellant unsuccessfully sought revocation of the cancellation decision
under s 501CA(4) of the Migration Act, merits review of that
decision in the Administrative Appeals Tribunal ("the Tribunal"), and judicial
review of the Tribunal's decision
in the Federal Court of Australia.
- On
appeal, the Full Court of the Federal Court was constituted by McKerracher,
Griffiths and Bromwich JJ. On the morning of the hearing
on 17 August
2021, Bromwich J's associate emailed the parties to advise that Bromwich J
had "appeared for the Crown in the appellant's
unsuccessful conviction appeal
before the Victorian Court of Appeal on 12 August 2014". The email
further stated that "Justice Bromwich
does not consider that this is a cause for
apprehended bias because that appeal related to a pure legal question, but
nonetheless
his Honour wishes to raise it with the parties in order that any
application for his Honour to recuse himself can be made".
- At
the commencement of the hearing, counsel for the appellant sought the recusal of
Bromwich J. The presiding judge, McKerracher
J, invited counsel to make
submissions, and following those submissions announced that the Court would
adjourn to consider what steps
to take next. After a brief adjournment,
McKerracher J invited Bromwich J to "deal with the application". Bromwich J gave
ex tempore
reasons for declining to recuse himself. The Court then proceeded to
hear the substantive matter and handed down judgment on 15 September
2021,
unanimously dismissing the appeal.
- The
question is whether the Full Court erred in hearing and determining the matter
with Bromwich J as a member of the Court. The
answer is "Yes", because
his Honour's involvement in the appeal gave rise to a reasonable apprehension of
bias and lack of judicial
independence, due to the incompatibility
between his earlier role as the Commonwealth Director of Public Prosecutions
("the Commonwealth Director") appearing personally in
the conviction
appeal, and his later role as a judge of the Full Court of the Federal Court
hearing the appellant's migration appeal.
- Where
a judge sits as a member of a Full Court in circumstances that give rise to a
reasonable apprehension of bias, the jurisdiction
of the Court as constituted is
vitiated. For that reason, the appeal should be allowed, the orders of the Full
Court of the Federal
Court should be set aside, and the matter should be
remitted to the Full Court of the Federal Court before a differently constituted
bench for rehearing and determination of the appeal according to law.
- This
appeal also raises the question of whether the Full Court erred by adopting a
procedure for deciding the recusal application
whereby Bromwich J alone
determined the question of apprehended bias raised by the appellant. As will be
explained, there is not,
nor should there be, a single set of universally
applicable procedures for dealing with recusal applications in multi-member
courts.
However, if an objection is raised or there are matters giving rise to a
real potential for apprehended bias, and the judge in question decides
not to recuse themselves (as occurred here), the Full Court as constituted
must be satisfied it has
jurisdiction before proceeding to hear the matter. In
most, if not all, cases, the judge in question should have the opportunity
initially to decide to recuse themselves, without that matter needing to be
decided by the Full Court. If the judge decides not to
recuse themselves and the
objection is maintained, or the other judges consider that there are matters
giving rise to a real potential
for apprehended bias, a procedure that might be
followed is set out below.
Did Bromwich J's involvement in the
appeal give rise to a reasonable apprehension of bias?
Test for apprehended bias
- As
this Court held in Ebner v Official Trustee in Bankruptcy, a judge is
disqualified, subject to qualifications relating to waiver or necessity, "if a
fair‑minded lay observer might reasonably
apprehend that the judge might
not bring an impartial mind to the resolution of the question the judge is
required to decide"[88].
The Ebner test has two
steps[89]: first, it requires
the identification of what it is said might lead a judge to decide a case other
than on its legal and factual
merits; and second, there must be an articulation
of the logical connection between the matter and the feared deviation from the
course of deciding the case on its merits. Once those two steps are taken, the
reasonableness of the asserted apprehension of bias
can then ultimately be
assessed[90].
- Four
aspects of the test are critical to observe. First, it is an objective test: it
does not require a conclusion about the judge's
actual state of mind or
an assertion of actual bias. The principle gives effect to the
requirement that justice should both be done and be seen to be
done[91].
- Second,
it is a test of possibility, not
probability[92] –
whether the fair-minded lay observer might reasonably think that the
judge might be biased. It has even been said that the fair-minded lay
observer is generally taken to be mistaken because decision-makers will
rarely
be biased in the ways attributed to them, as the observer might have
appreciated if fully apprised of the operation of a particular
decision‑maker[93].
That said, a finding of apprehended bias is "not to be reached
lightly"[94]. In determining
whether an apprehension of bias arises, relevant considerations include
"the legal, statutory and factual contexts
in which the decision is made"
and "the nature of the decision ..., what is involved in making the decision and
the identity of the
decision‑maker"[95].
- Third,
the test is not prescriptive about the ways in which a reasonable apprehension
might arise. "The apprehension of bias principle
admits of the possibility of
human frailty. Its application is as diverse as human
frailty"[96]. Indeed, the
apprehension may not even be of a consciously impartial mind. The test
encompasses apprehension of unconscious bias:
"the hypothetical observer would
recognise that judges are human, not a 'passionless thinking machine' or robot
just assessing
information"[97].
- Fourth,
the adjective "lay" in relation to the fair-minded observer is
critical – "[i]t would defy logic and render nugatory
the principle
to imbue the hypothetical observer" with the knowledge and professional
self-appreciation of a
lawyer[98], let alone that of
an experienced judge[99]. The
fair-minded lay observer is a member of the public because the principle is
concerned with maintenance of public confidence
in the justice system. "[I]t is
the court's view of the public's view, not the court's own view, which is
determinative"[100].
Knowledge of the fair-minded lay observer
- The
fair-minded lay observer is taken to be aware of the nature of the decision and
the context in which it was
made[101], and the
circumstances leading to the
decision[102]. The
fair-minded lay observer is taken to have "a broad knowledge of the material
objective facts", as distinct from a detailed knowledge
of the law or of the
character and ability of the
decision-maker[103]. In
considering whether an allegation of apprehended bias on the part of a judge is
made out, "the public perception of the judiciary
is not advanced by attributing
to a fair-minded member of the public a knowledge of the law and the judicial
process which ordinary
experience suggests is not the
case"[104].
- As
the test is objective, the state of mind of the judge in question is
irrelevant[105]. So too are
the reasons for judgment given by the judge ex tempore or published by the judge
after the trial[106].
The test turns on the facts and circumstances that might give rise to the
apprehension of bias at the time of the hearing and
determination[107]. For
that reason, Bromwich J's reasons are not within the knowledge of the
fair-minded lay observer. The material facts stated by
his Honour in his ex
tempore reasons should have been provided to the parties in the associate's
email or stated in open court during
the hearing. That would have allowed
the parties to address those facts in their submissions to the Court. It would
also have allowed
any facts known only to Bromwich J – for example, his
level of conscious recollection – to form part of the knowledge
of the
fair‑minded lay observer, to the extent relevant.
- In
this case, the fair-minded lay observer would have known and understood that his
Honour was the Commonwealth Director at the time
of the appellant's conviction
appeal, and may have inferred that was also the case when the appellant was
tried on indictment, convicted
and sentenced to more than 12 months'
imprisonment. The fair-minded lay observer would understand that the
Commonwealth Director
had a formal role in the prosecution. In this case, there
is no evidence and no basis to infer that the Commonwealth Director had
any
actual role in the institution or carrying on of the prosecution against the
appellant. However, the fair‑minded lay observer
would see the
Commonwealth Director embodied in the official name in which the appellant was
prosecuted and the conviction appeal
defended.
- Next,
as the Commonwealth Director, his Honour had personally appeared as senior
counsel to oppose the conviction appeal, which was
dismissed. Although the
observer would understand that the appeal was about a legal point of general
principle, they would see his
Honour as the person who stood at the bar table in
the Court of Appeal on 12 August 2014 and persuaded the Court to dismiss
the appeal.
They would observe that in that capacity his Honour had stepped in
and successfully defended the appellant's conviction on behalf
of the
Commonwealth Executive.
- Third,
the criminal conviction led to the mandatory cancellation of the appellant's
visa by a delegate of the Minister (also of the
Commonwealth Executive) under
s 501(3A) of the Migration Act on the basis that he failed the
"character test" because he had been sentenced to a term of imprisonment
exceeding 12 months, and
was serving that sentence on a full-time basis in a
custodial institution. The appellant applied for the cancellation to be revoked
under s 501CA(4) of that Act, and then applied for merits review of the
refusal to revoke the cancellation of the visa in the Tribunal. The fair-minded
lay observer would know that the question for the Tribunal under s 501CA(4)
was, because the appellant failed the character test, whether it was satisfied
that there was "another reason" why the cancellation
decision should be
revoked.
- Finally,
the fair-minded lay observer would understand that the Federal Court, and on
appeal the Full Court of the Federal Court,
were not deciding the merits of the
Tribunal's decision not to revoke the cancellation or considering the
correctness of the appellant's
criminal conviction. Rather, the Court's role was
to determine whether the Tribunal, in deciding not to revoke the cancellation of
the appellant's visa, had stayed within the legal limits of its power.
Apprehension of bias
What might lead a judge to decide a case other than on its legal and factual
merits
- As
the plurality observed in Ebner, "the fundamental principle to
which effect is given by disqualification of a judge is the necessity for an
independent and impartial
tribunal. Concepts of independence and impartiality
overlap, but they are not
co-extensive"[108]. This
case is usefully considered through the lens of independence, as well as
impartiality. There are three aspects. His Honour
appeared as the Commonwealth
Director against a party to the migration appeal – the appellant –
in or in relation to
an earlier criminal prosecution of the appellant. That
criminal proceeding and the migration appeal were related. Finally, and no
less
significantly, the other party in both the criminal proceeding and the migration
appeal was the same – the Commonwealth
Executive. That is, Bromwich J had
represented the Commonwealth Executive against the appellant –
now embodied by the Minister
in the migration appeal – in the
criminal proceeding.
- Using
Deane J's typology set out in Webb v The
Queen[109], the matter
might usefully be framed as an issue of incompatibility of roles, or of
association between his Honour and the respondent to the migration
appeal, or past conduct by his Honour in relation to the
appellant. The incompatibility is between the role of an adversary
speaking against the appellant and his interests, and the role of sitting in
judgment on him in
related proceedings. The association is his Honour's
association with the Commonwealth Executive in a past case involving the
appellant which is connected to the present
appeal. The conduct is
advocating on behalf of the Commonwealth Executive against the appellant in the
earlier proceeding, and now deciding on a related
dispute between the Executive
and the appellant.
- This
case might also be considered through the concept of interest.
That concept is most salient in prosecutor/defendant cases where the
decision‑maker was the person who decided to institute,
or who carried on,
the prosecution. As the plurality held in Isbester v Knox City
Council, "a person bringing charges, whether as a prosecutor or other
accuser, might be expected to have [an interest] in the outcome of the
hearing
of those charges"[110]. The
interest of a prosecutor or other moving party "may be in the vindication of
their opinion that an offence has occurred or that
a particular penalty should
be imposed, or in obtaining an outcome consonant with the prosecutor's view of
guilt or punishment"[111].
As the decision in Isbester demonstrated, that interest does not
necessarily end with the prosecution, and may create an apprehension of bias in
later decision-making
processes in relation to the same
person[112]. But in this
case, there is no evidence that his Honour instituted or had any actual
involvement in the prosecution (as opposed to
the conviction appeal).
The logical connection between the matter and the feared deviation
from the course of deciding the case on its merits
- It
must be explained how the existence of the incompatibility, association, conduct
or interest (or other identified matter) might
be thought by the fair-minded lay
observer possibly to divert the judge from deciding the case on its merits.
- In
this case, the logical connection is clear – as encapsulated by Gageler J
in Isbester, "a person who has been the adversary of another person in
the same or related proceedings can ordinarily be expected to have developed
in
that role a frame of mind which is incompatible with the exercise of that degree
of neutrality required dispassionately to weigh
legal, factual and policy
considerations relevant to the making of a decision which has the potential
adversely to affect interests
of that other
person"[113]. The
incompatibility is between the adversarial frame of mind or attitude in the
earlier proceeding, and the need for a deliberative
or adjudicative frame of
mind and attitude in the later proceeding.
- This
does not mandate that a judge who was formerly the prosecutor of a party now
before the court is per se disqualified. The Ebner test must still
be applied. However, in such cases, particularly where there is a connection
between the proceedings, it will generally
be easy to establish the second limb
of Ebner. That connection need not be causal, nor does it require that
the proceedings deal with the same subject matter, issues or evidence.
The
observer does not take an overly technical legalistic approach – the
observer is a fair‑minded lay person. The intermediate
appellate
court authorities of R v
Garrett[114],
McCreed v The
Queen[115] and
Muldoon v The
Queen[116]
should be considered wrong by modern standards – where the later
proceeding is also a criminal prosecution, the fact that the
judge was formerly
the prosecutor of the same defendant in an earlier criminal prosecution will
nearly always give rise to a reasonable
apprehension of bias. That is
because both proceedings are criminal in nature – that is the connection.
- Here,
the Minister submitted that the conviction appeal and the Full Federal Court
appeal were not sufficiently connected to give
rise to a reasonable apprehension
of bias because the subject matters of the two proceedings were "completely
different". One was
a decision relating to the appellant's migration
status; the other a conviction appeal. That submission has an air of
unreality –
the fair-minded lay observer would clearly see the two
proceedings as connected. The second proceeding would never have arisen if
not
for the Crown's successful defence of the conviction at the conviction appeal.
The subject matter of the conviction appeal was
the appellant's conviction and
the subject matter of the Full Federal Court appeal was the cancellation of
the appellant's visa because
of that conviction. The observer would
understand that the appellant's appeal to the Full Court was the last check
on the power and obligation of the
Commonwealth Executive under the Migration
Act to remove him from Australia as a consequence of his visa cancellation.
An apprehension of bias might be more readily made by the
fair-minded lay
observer where the decision relates to a person's right to be at liberty in
Australia.
- Ultimately,
in cases raising a question of apprehended bias, what must be involved is "an
assessment (through the construct of the
fair‑minded observer) of the
behaviour of a person or persons in a position to exercise power over another,
and whether that
other person was treated in a way that gave rise to the
appearance of unfairness being present in the exercise of state
power"[117].
The fair‑minded observer will be sensitive to how the circumstances
might reasonably appear to the actual party who is asserting
the apprehension of
bias, in this case the
appellant[118]. Here, the
performance by his Honour of the two incompatible roles in the exercise of
public power in relation to the appellant gave
rise to the appearance of
unfairness, impartiality and a lack of independence being present in the
exercise of power to dismiss the
migration appeal. The appeal should be allowed.
Procedure for deciding recusal application
- The
appellant's first appeal ground was that the Full Court erred by proceeding to
hear the appeal after Bromwich J alone, instead
of the Full Court, determined
the question of apprehended bias raised by the appellant. This ground does not
need to be decided.
As there was a reasonable apprehension of bias,
the Full Court's orders must be set aside. If there had not been a
reasonable apprehension
of bias, it would have followed that the Full Court
would have been properly constituted when it decided the appeal and ground one
would not have provided a basis to set aside the Full Court's orders. The
procedure for deciding a recusal application might therefore
never need to be
decided on an appeal to this Court. However, as the Minister accepted,
while the matter may not need to be decided, this Court may well decide to
address it.
- It
is appropriate to address this appeal ground because the procedure for deciding
objections for apprehended bias raises issues
that go to the heart of judicial
duty, process and, indeed, the protection of impartiality, independence and
procedural fairness,
all essential characteristics of Ch III courts under the
Constitution[119].
- The
practice and procedure for raising apprehended bias and determining objections
has historically been
informal[120]. The
conventional, although not universal, practice in Australia has been that the
judge who is alleged to be affected by apprehended
bias determines whether they
are disqualified irrespective of whether they are sitting as a single judge or
on a multi-member
court[121].
- A
plurality of this Court in Ebner confirmed that the decision on
disqualification being made by the challenged judge is "the ordinary, and the
correct, practice"[122].
However, the plurality was there referring to a single trial judge matter.
Rightly, their Honours queried, if another judge was
to decide the matter, what
would be "the power of that other judge to determine the question" and how would
"that other judge's conclusion
... find its
expression"[123].
- Sir
Anthony Mason said, extra-curially: "[i]n principle there is no compelling
reason why the practice followed at first instance
should be followed by
appellate and collegiate courts. At first instance, the judge who is the target
of the objection determines
the objection because he constitutes the court.
Correspondingly, it can be said that an appellate or collegiate court should
determine
an objection taken to one of its number
sitting"[124].
- The
Australian Law Reform Commission report "Without Fear or Favour: Judicial
Impartiality and the Law on Bias" (the "ALRC Bias Report")
recommended in
December 2021 that objections on bias grounds to one or more judges sitting on a
multi-member court be determined
by the court as constituted, observing
that[125]:
"Consultations suggested that this is already informally the practice in some
appellate courts, and has been explicitly adopted on
some
occasions[126],
and therefore should be formalised. It is also a process that has been
adopted by courts in other comparable jurisdictions, including
England and
Wales[127], New
Zealand[128], Northern
Ireland[129],
Singapore[130], and South
Africa[131]."
However, the processes adopted by courts in other jurisdictions are not
consistent[132], or even
consistent between courts in the same
country[133]. And that
inevitably raises the next question – are there to be uniform rules and
procedures?
- As
this case has demonstrated, a reasonable apprehension of bias in respect of one
judge on a Full Court means its jurisdiction –
the authority of the whole
of the Court to decide – is
vitiated[134]. The Court as
constituted is required to be and to appear to be independent and impartial:
"[i]t is for the court itself to be satisfied
that it is so constituted that it
will exercise its judicial function impartially and with the appearance of
impartiality"[135]. The
Court must be satisfied that it has jurisdiction to hear the
matter[136]. That is the
"first duty" of any
court[137].
- Given
the differences in the practices, jurisdiction, level in the judicial hierarchy,
composition and work of the various courts,
as well as the variety of
circumstances and the various stages of a proceeding (from prior to or at the
initial allocation of a judge
to the matter, all the way through until after the
judgment has been handed down) in which the question of an apprehension of bias
may arise, there can be no universally applicable rules or procedures.
- The
preferable, if not the proper, course is for the judge in question to be given
the opportunity initially to decide for themselves
whether they will recuse.
This may happen informally at or around the time of allocation of the matter, or
it may occur later –
for example, after hearing an objection from one of
the parties. Only if the judge does not recuse themselves, and an objection is
maintained or there are matters that the other judges consider may give rise to
a potential for apprehended bias, does the Full Court
as a whole need to
determine the issue.
- There
are at least three basic reasons why it is appropriate for the judge in question
to have the opportunity to initially decide
to recuse themselves,
without that matter needing to be decided first by the Full Court.
- First,
there are a judge's professional and ethical obligations. A recusal
application raises both a matter of professional and ethical obligations
for the individual judge and a matter that goes to the Court's jurisdiction as
constituted.
A judge has a professional obligation to sit on any case
allocated to them unless there are grounds for
recusal[138]. As the
plurality explained in
Ebner[139]:
"Judges have a duty to exercise their judicial functions when their
jurisdiction is regularly invoked and they are assigned to cases
in accordance
with the practice which prevails in the court to which they belong. They do not
select the cases they will hear, and
they are not at liberty to decline to hear
cases without good cause. Judges do not choose their cases; and litigants do not
choose
their judges."
A judge, equally, has a duty not to sit where there is a reasonable
apprehension of bias[140].
"[I]n the end the decision to sit or not to sit must rest comfortably with the
judicial
conscience"[141].
- Second,
there are prudential reasons. It is not improper for a judge to decline
to sit without having affirmatively concluded that they are disqualified –
in a case
of "real doubt", a judge may take the prudent course of deciding not
to sit[142].
The procedure adopted should not prevent a judge from taking that
prudential (and practical) approach and deciding to recuse themselves
in a
case of real doubt, even if they and their colleagues on the Court were to
ultimately conclude that the judge is not disqualified.
- Third,
there are institutional reasons. A procedure whereby the judge in question
deliberates on the matter of their own recusal
together with the other
judges constituting the Court may appear to lack impartiality and transparency.
That may undermine the fundamental principle
that the process is directed to
preserving – "the necessity for an independent and impartial
tribunal"[143], both real
and apparent.
- Institutions
– courts – are not uniform. That lack of uniformity – in
relation to jurisdiction, level within the
judicial hierarchy, composition and
method of listings to name just a few matters – may well explain the
differences that presently
exist in the practices adopted by courts, including
courts within a
country[144].
- Adopting
and adapting what was outlined and discussed in the ALRC Bias Report, the
following are steps that might be taken by a Full
Court to identify and address
issues of apprehended bias. At the outset, administratively the court might
circulate a list of cases
among judges before cases are allocated to give the
judges an opportunity to raise any
concerns[145]. Then when a
judge is allocated to a matter, the judge should consider whether there are any
facts or circumstances which may give
rise to an appearance or concern from
litigants or observers that the judge might not be impartial or independent in
hearing the
matter. The judge may recuse themselves if the judge is of the
opinion that they are disqualified, without necessarily involving
the other
members of the Court allocated to the matter or informing the
parties[146]. The judge is
free, of course, to consult with the head of jurisdiction and their
colleagues[147].
- If
there are facts or circumstances which might give rise to a concern and the
judge has not initially decided to recuse, the judge
should give notice to the
parties to the litigation, even if the judge has formed the view that there is
no basis for recusal[148].
That notice should also be provided to the other judges who will constitute the
Full Court. The notice should set out the material
facts or circumstances and
inform the parties that they may wish to object to the judge sitting on the case
(and may respond to any
objection, if made). Disclosure should generally be made
as early as possible before the hearing.
- If
an objection is received, in the first instance the judge in question should
consider it and decide whether to recuse themselves.
If the judge does not
recuse themselves, the case should not proceed to be heard by the Court as
constituted unless the other judges
are satisfied that they will be able to
discharge their judicial oath as a member of the Court as constituted, and the
Court is satisfied
that it has jurisdiction to hear the
matter[149]. The way in
which the other members of the Court address the questions of judicial ethics
and jurisdiction will necessarily vary
from case to case and from court to
court[150]. However,
consistent with
principle[151], in a case
of real doubt, it may be prudent for the Court to reconstitute in order to avoid
the inconvenience that could result if
an appellate court were to take a
different view on the matter of disqualification.
- If
the other judges – individually or collectively – consider that they
could not discharge their own judicial oath,
or for prudential reasons decide
not to proceed to hear the substantive matter, the Court should reconstitute. If
the Court, of its
own motion, raises a question or concern about its
jurisdiction or if an application for recusal is renewed in the Court as
constituted
and the Court proceeds to hear the substantive matter, the Court
should make an order formally recording its determination on jurisdiction,
and
reasons should be given ex tempore and, if necessary, further addressed in
any later substantive judgment.
- As
occurred in this case, it may be that the facts or circumstances giving rise to
the apprehension of bias do not become apparent
until just prior to or during
the hearing. As Bromwich J properly did in this case, the parties should be
notified promptly of those
facts or circumstances. The following procedure may
be appropriate, and would have been an appropriate procedure in this case. The
judge in question should state the facts and circumstances in open court. If a
party makes an objection to a judge sitting, the parties
should be given an
opportunity to make submissions before the Court as constituted. Unless stated
only to be an application to the
judge in question, the application should be
treated as one that is directed in the first instance to the judge in question
and,
if the judge in question decides not to recuse themselves, as an
application that is renewed to the Court as a whole. In the first
instance,
the Court should adjourn to let the judge in question decide whether they wish
to recuse themselves. The judge should inform
the other members of the Court and
the parties of their decision. If the judge in question decides not to recuse
themselves, that
judge should make a formal order dismissing the application. At
that stage, the other judges – individually and collectively
–
should consider the matter in the manner outlined in the previous
paragraph.
- Ultimately,
the adoption of preventative administrative processes for identifying potential
issues of bias before cases are allocated,
and processes for early
identification and resolution of potential issues of bias after allocation but
in advance of the hearing,
will minimise the likelihood of late disclosure and
the need for recusal applications to be made and determined at the outset of
the
hearing.
Relief
- For
those reasons, I agree with the orders proposed by Kiefel CJ and Gageler
J.
EDELMAN J.
This appeal and the ethical responsibility of a judge
- Justice
should appear to be done. But, more importantly, it should be done. Indeed, in
the long run, the appearance of justice is
something "which courts can attain
only by seriously pursuing the reality of
justice"[152]. The issue of
fundamental principle that arises on this appeal is whether the reality of
justice should give way to the appearance
of justice by replacing a judge's
ethical (and personal) duty to ensure that justice is done with an institutional
(and collective)
duty to ensure that justice is seen to be done. It should not.
Ethics are a lonely affair because they cannot be delegated to a committee.
- In
these reasons, a reference to bias issues is a general reference to both actual
bias and apprehended bias, and the judge who is
the subject of bias issues is
described as the subject judge. The issue of fundamental principle raised by
this appeal is as follows:
should a subject judge sitting on a multi-member
court have the first opportunity — prior to consideration by the court as
a whole — to determine whether to recuse themself for bias issues,
consistently with their ethical duties? That question should
be answered, "yes".
In this respect I agree with Gordon J and Steward J, as well as
Jagot J (who would confine this opportunity only
to the subject judge).
That affirmative answer accords with a central rationale, recognised over
thousands of years of judicial recusal,
from early
Jewish[153] and Roman
law[154] through the
English common law, by which "recusal has been viewed almost exclusively as an
issue of judicial
ethics"[155].
- There
is an important reason for the qualification, "almost". If the subject judge
decides, or continues, to sit as a member of a
multi-member court in the face of
bias issues, then the court is capable of determining whether it lacks
jurisdiction due to the
bias issue. When the issue is considered by the court,
the ethical question by which the subject judge focuses centrally on whether
justice will be done becomes a collective, institutional question that will
usually be focused on whether justice will be seen to
be done. But basic ethics
require that the subject judge have the first opportunity, and a continuing
ability, to recuse themself.
In this respect, an appropriate court procedure is
set out by Gordon J in her Honour's
reasons[156].
- This
case concerned an application made in the Full Court of the Federal Court of
Australia for one of the three judges sitting on
the appeal, Bromwich J, to
recuse himself on the ground of apprehended bias. A majority of this Court
concludes that the application
should properly have been directed, at least
initially, to Bromwich J alone rather than to the Full Court as a whole.
This conclusion
of the majority of this Court is seriously considered obiter
dicta. Questions concerning the appropriate court procedure to determine
issues
of bias are not, and could never be, part of the ratio decidendi of an appeal to
this Court. It is only a decision of this
Court as to whether actual bias or
apprehended bias was present that can resolve the dispute between the
parties.
- It
has sometimes been suggested that a large question that need not be decided by
an ultimate appellate court is one that should
not be
decided[157]. Such
statements cannot be taken literally. This Court has never confined itself to
the resolution only of the issues in dispute
between the parties. An assessment
of whether issues should be addressed beyond those that are strictly necessary
to resolve a dispute
between the parties involves a consideration of numerous
factors, sometimes pointing in different
directions[158]. On this
appeal, the decisive factors in favour of addressing the issue are the
institutional importance of the issue coupled with
the fact that on an appeal to
this Court it will never be an issue that is necessary to resolve any dispute
between parties.
- The
issue upon which this appeal must be resolved concerns whether a fair-minded lay
observer might have had a reasonable apprehension
that Bromwich J might not
bring an impartial mind to the resolution of QYFM's appeal. QYFM's appeal was
brought from the dismissal
of his application for judicial review of the refusal
of a delegate of the Minister to revoke the cancellation of his visa. The
cancellation
of QYFM's visa had been based on a conviction of QYFM, an earlier
appeal from which had been dismissed. Bromwich J, who was the Commonwealth
Director of Public Prosecutions at the time of QYFM's conviction appeal,
appeared as counsel in that appeal.
- The
decision by Bromwich J not to recuse himself may reflect a conscientious
and robust approach to recusal that avoids increasing
the burden upon one's
judicial colleagues. It must have been a finely balanced decision. The decision
may have been influenced by,
and is consistent with, the approach taken by three
intermediate appellate courts to which the Minister
referred[159]. But, with
respect to all involved in those decisions, they are wrong now and they were
wrong when they were decided. Ultimately,
in the circumstances of this case, a
fair-minded observer, who is a lay person and not a lawyer, might have had
a reasonable apprehension
that Bromwich J might not bring an impartial mind
to the issues raised by QYFM's appeal.
In a multi-member court,
who should first decide issues of bias?
Two bias issues: actual bias and apprehended bias
- Issues
of bias are commonly divided into actual and apprehended bias. The proper
starting point, however, is what is meant by "bias".
For the purposes of this
appeal, it is convenient to separate bias issues involving a sufficient lack of
impartiality from bias issues
concerning a lack of independence. The two
concepts, partiality and dependence, are commonly treated together, and can
overlap. An
example is the lack of independence in the roles of the council
officer in Isbester v Knox City
Council[160] —
being responsible for laying charges against a dog owner in connection with an
attack by the dog, and also forming part of
the panel that recommended that the
dog be killed — which gave rise to an apprehension of partiality in her
latter role because
she "might be expected to have [an interest] in the outcome
of the hearing of those
charges"[161].
Nevertheless, bias "may not be an adequate term to cover all cases of the
absence of
independence"[162].
Although some aspects of QYFM's submissions appeared to allege an absence of
independence, the proper focus of this appeal is upon
QYFM's submissions
concerning bias in its core sense of a sufficient lack of impartiality.
- Actual
bias, involving compromised impartiality, presents a threat to actual justice.
It requires an "assessment of the state of
mind of the judge in
question"[163]. If the
subject judge's state of mind is sufficiently partial, then justice will not be
done. But the only person truly capable of
knowing whether actual bias is
present in a person's mind is the subject judge: "the devil himself knoweth not
the thought of
man"[164].
- There
are, however, two reasons why the rules of a legal system concerning bias cannot
stop with the subject judge's own assessment
of whether they are impartial.
First, a judge who is impartial might nevertheless have the appearance of
partiality. That appearance
of bias might arise even from circumstances
independent of the judge such as the bias of, or the appearance of bias in
respect of,
a person assisting the
judge[165]. Even if the
judge is not biased, the appearance of bias damages the appearance of justice.
And justice is undermined when confidence
in justice is
undermined[166].
- Secondly,
the subject judge may have unconscious biases which are apparent from their
conduct, or the subject judge may have wrongly
convinced themself of their own
impartiality[167]. As
Professor Leubsdorf has
said[168]:
"The judge hearing a case knows better than anyone else what she really feels
about the parties and issues. She can therefore tell
better than others whether
she should sit. Yet even honest judges — and disqualification law is not
primarily directed at conscious
fraud — may be swayed by unacknowledged
motives. The most biased judges may be the most persuaded that their acts are
just
... [N]o sensible judicial system would leave disqualification entirely to
the discretion of the judge in question."
- Every
sensible legal system therefore requires more than a subject judge's own
assessment of whether they are actually biased. Issues
of actual and apprehended
bias can be, and are, objectively assessed by both the subject judge and others.
That objective assessment
might concern the mere possibility that actual bias
would exist in the judge's mind. Or it might be further abstracted from actual
bias so that it ceases to be an enquiry centrally focused upon whether justice
is done and becomes an enquiry centrally focused upon
whether justice is seen to
be done.
- In
Australia, the test for an apprehension of bias involves an abstraction upon an
abstraction: "it is the court's view of the public's
view, not the court's own
view, which is
determinative"[169]. The
person considering the issue does not ask whether they reasonably apprehend that
the subject judge might not bring an impartial
mind to the issue to be decided.
The person asks whether a fair-minded lay observer might have that reasonable
apprehension[170].
- Ultimately,
and whether or not the assessment is undertaken by the subject judge or others,
the root concern of actual bias and apprehended
bias is the same: justice. But
each approaches the question of justice from a different perspective. The focus
of an enquiry into
actual bias is upon whether the judge is sufficiently
impartial to permit justice to be done. The focus of an enquiry into apprehended
bias is upon whether the judge is seen to be sufficiently impartial so that
justice is seen to be done.
Bias issues arising before a single
judge in Australia
- A
bias issue (whether actual or apprehended bias) concerns the jurisdiction of the
court. Impartiality and independence are so fundamental
to the exercise of
judicial power that the institutional integrity of a court will, subject to
countervailing interests such as waiver
or
necessity[171], be impaired
by a decision maker who is the subject of bias or apprehended
bias[172]. As an issue that
concerns the jurisdiction of the court, bias must be capable of being addressed
by the court.
- If
a bias issue were only an objective question concerned with the jurisdiction of
the court, then, like other interlocutory or preliminary
issues, including a
privilege application or a trial of a separate issue concerning the court's
jurisdiction, a different judge from
the subject judge could determine that
jurisdictional issue. Indeed, if the bias issue were only an objective matter
related to jurisdiction
it would be very difficult to justify it being
determined by the subject judge. When the subject judge is asked to determine
that
issue they are put in "an invidious
position"[173] and made a
"judge[] in their own
cause"[174]. In the Court
of Appeal of England and Wales it has been said that a preferable course may
sometimes be for the interlocutory issue
of bias to be decided by another judge
because it can be "invidious for a judge to sit in judgment on [their] own
conduct"[175]. As Sir
Stephen Sedley has argued, the paradox of "a judge who is unbiased but might
reasonably be thought not to be" should not
be replaced with a further paradox
of "a judge who, in order to decide whether [they] will be sitting as judge in
[their] own cause,
has to sit as judge in [their] own
cause"[176].
- Yet,
for many years interlocutory issues of bias that arise in a proceeding before a
single judge have been assessed, subject to
any available appeal or judicial
review, by that judge
alone[177]. In the United
States, subject to regulation or legislation, it has been said to have been the
case "for centuries" that only that
single judge could decide the issue, a
practice said to be "largely
unreviewable"[178]. In
Australia, the practice of having the issue decided by the subject judge has
been held to be the "ordinary, and the correct,
practice"[179]. Why?
- The
fundamental reason is the ethical dimension of bias. Issues of bias are not
merely concerned with a dimension concerning the
jurisdiction of the court or
questions of whether justice will be seen to be done. Issues of bias also
involve a dimension of ethics
concerning whether justice will actually be done.
From this perspective, the single judge is the only person who can scrutinise
their
own knowledge and beliefs: "it is the fundamental ethical duty of every
judge to police [their] own disqualification
status"[180]. That is a
question of
"conscience"[181].
- A
judge's consideration of whether they are actually biased should not be
independent of their consideration of any apprehension
of bias. We sometimes
understand ourselves by considering how others see us. Hence, consideration of
apprehended bias might well
reveal matters concerning actual bias. It has been
suggested that a personal assessment of whether we might be the subject of an
apprehension of bias assists to overcome the phenomenon described in
psychological research as a "bias blind spot" that makes it
difficult for us to
see actual bias in
ourselves[182].
- The
converse is also true. When the subject judge considers the doubly abstracted
question of whether they are the subject of apprehended
bias, they should also
consider whether they are actually biased. It would be a nonsense for a judge to
refuse an application for
recusal based on apprehended bias if, after examining
all the circumstances, they were satisfied that they were not actually impartial
although there was no apprehension of bias. For instance, Frankfurter J
famously recused himself from sitting on a case concerning
the installation and
use of radios in public vehicles where he could not have been disqualified on
grounds of apprehended bias, but
he considered himself to be partial because his
"feelings [were] so strongly engaged as a victim of the practice in
controversy"[183].
- Another
important reason for the practice of having the judge hearing the substantive
dispute also decide the issues of bias is that
that judge is usually in the best
position to determine the relevant circumstances and to assess prudential and
pragmatic reasons
for recusal.
- As
to the determination of the relevant circumstances, it is very common for a
judge to disclose to the parties and to the court
matters relevant to any issue
of bias without a full recollection of the detail of those matters or a full
description of all of
the circumstances. As will be seen below, that is what
happened in this case. During a subsequent oral hearing concerning recusal
the
judge might recall and enunciate further facts or circumstances. And reasons
given by the judge on the application might provide
even further facts and
circumstances. Indeed, the judge might recall further relevant facts or
circumstances at any time before the
substantive matter is determined. Memory is
imperfect and elastic. It cannot be objectified and recorded for the application
of apparently
mechanical justice. The ethical duty of the subject judge to
recuse themself where they consider bias (actual or apprehended) to
be present
continues throughout the hearing and applies to their developed memory.
- As
to the prudential and pragmatic reasons for the subject judge to make the
determination concerning bias, this Court recognised
in Ebner v Official
Trustee in Bankruptcy that there may be circumstances in which a judge will
decline to sit even if the judge has not affirmatively concluded that they
are
disqualified[184]. This is
sometimes described as a prudential principle. Prudence is a loose term which
encompasses a value judgment based upon a
combination of factors: the misnomer
"duty to sit", which is really a principle that a judge should not too readily
disqualify themself,
particularly where there is not a large pool of available
alternative judges; and case management concerns including delays, and
other
issues including the inconvenience that might result if, after a lengthy trial,
a finely balanced decision not to recuse were
found on appeal to be
incorrect[185].
- The
principle that the single judge who is to hear a matter is also the person who
should first decide any issue concerning their
own bias does not gainsay the
possibility of any appeal or application for judicial review. It has been said
that a decision by a
single judge not to recuse themself is not reviewable
because it involves no order of the court commanding any party to do
anything[186]. Whether or
not this is correct, the judge might be asked to make a declaration for the
purposes of an appeal and, in any event,
any orders made by the judge are, in
principle, capable of appeal or judicial review on the ground of bias or
apprehended
bias[187].
Bias
issues before judgment in a multi-member court in Australia
- The
same ethical reasons that require a single judge who is the subject of a bias
issue to determine issues of bias concerning themself
also require a judge
sitting in a multi-member court to determine issues concerning their bias, with
any recusal application to be
directed first to that judge. Justice does not
become a dehumanised, automated process that is devoid of ethics merely because
the
subject judge is sitting with other judges. The subject judge's enunciation
of their memory is not required to be treated as eidetic
and a perfect
documentary record. The subject judge does not suddenly cease to be the only
person capable of examining their own
conscience to determine whether their mind
is partial. The judge's conscience is not melded like a Borg with the conscience
of the
other members of the court. Rather, the subject judge remains throughout
the proceedings under the same ethical duty to recuse themself
if they consider
that they are biased or are the subject of an apprehension of bias.
- As
with the approach taken where a judge sits alone, where bias issues arise before
a multi-member court the "orthodox
practice"[188] over many
years has been for any application before judgment to be directed to the subject
judge and to be decided in the first instance
by that judge
alone[189]. This approach
is consistent with the primacy of the ethical duty.
- In
Australia, after a judge on a multi-member court has assessed issues of bias, if
the judge has decided not to recuse themself
or if the judge continues to sit
then an application based on apprehended bias can be renewed to the
court[190]. Even if an
application is not renewed, the court might consider the reasons of the subject
judge when assessing its
jurisdiction[191]. Since
issues of bias have a jurisdictional dimension as well as an ethical dimension,
the court must also have the ability to make
such a collective decision
concerning the recusal of one of its own members. If a majority of the court
concludes that the member
should be recused then that court, as constituted, has
no jurisdiction to make orders.
- The
determination by the court as a whole should include the subject judge unless
that judge considers that they cannot, or cannot
be perceived to, determine the
renewed application impartially. Once again, the decision as to whether the
judge should sit as a
member of the court on a renewed application, or upon a
decision following the issue being raised of the court's own motion, is a
matter
in the first instance for that judge alone.
- Even
if the subject judge has decided to sit, or continues to sit, and a renewed
application to the court has been dismissed, the
judge retains the ability to
recuse themself. The judge does not lose their conscience, and their ethical
obligations do not cease
until the case has been finally decided. Hence, even
after an application is determined the judge is, and must be, capable of
recusing
themself if their conscience so demands or, as has previously
occurred[192], for strong
prudential or pragmatic reasons.
- Sir Anthony
Mason has argued in favour of a different approach. His argument is that "there
is no compelling reason why the practice
followed at first instance should be
followed by appellate and collegiate courts", with "much to be said for the
view" that the subject
judge should be excluded from the decision on a
multi-member court[193].
Sir Anthony posits three reasons for excluding the subject judge from any
ability to consider any application for recusal by themself:
(i) consistency with the approach taken by a single judge hearing requires
that only the court as constituted should determine any
objection; (ii) the
difficulty of securing a review by the court of one of its members; and
(iii) the better position occupied by
other members of the court to
determine an objection based on apprehended bias than the subject judge.
- None
of these arguments withstands scrutiny. As for the reason concerning
consistency, an approach that excluded the subject judge
from the initial
consideration of any recusal application would be positively inconsistent with
the approach to single judge hearings,
which permits, and usually requires, the
first consideration to be made by the subject judge. The ethical obligations of
a judge,
which require any application to be directed to them at first instance,
do not evaporate when the judge moves from sitting alone
to sitting as a member
of a multi-member court.
- As
for the reason concerning difficulties of review, a renewed application before
the entire court is not an application for review
of the decision of one of its
members. Rather, it is an application to the whole of the court concerning the
jurisdiction of the
court. Neither the court, nor the subject judge, can shirk
its "first duty" to satisfy itself of its
jurisdiction[194].
- Finally,
as for the better position of the other members of the court to determine an
objection based on apprehended bias, that better
position is preserved by the
ability of an applicant to renew an application to the entire court or that of
the court to assess the
issue of its own motion. That enhances the process of
ensuring the appearance of justice. But to deny the ability of the subject
judge
to adjudicate upon the associated question of actual bias would undermine the
process of ensuring the actuality of justice.
Although the other members of the
court remain capable — even duty-bound in some circumstances — to
make that assessment,
they are not required to make it prior to the subject
judge first making the determination. Indeed, on issues of actual bias, even
if
the subject judge were to commit their assessment of their state of mind to some
form of "record", and even if that record could
somehow be treated as a counsel
of perfection guiding everything that happens thereafter, it would be absurd to
suggest that the
other members of the court are in the same position to assess
the state of mind of the subject judge based upon that "record". As
Lester has
observed, "[t]hat material cannot really be said to be 'evidence'", with the
effect, as he concludes, that another "objection
to Sir Anthony Mason's
view turns on the difficulty that arises where members of the panel take a
different view of the 'evidence'
and what has been
established"[195].
- The
focus of Sir Anthony's argument was, however, upon the particular position
of the High Court of Australia. It might be thought
that two considerations,
arguably pointing in opposite directions, may put the High Court in a different
position from an intermediate
appellate court. The first is the lack of any
appeal from a decision of the Full Court of the High Court in its appellate
jurisdiction
and the lack of any judicial review of the decisions of its
members[196]. The second is
the longstanding convention that every judge of this Court is entitled to sit on
any matter[197].
- The
first consideration provides no support for any different rule. The High Court,
as constituted, retains its ability to determine
jurisdictional issues of bias
or apprehended bias by renewed application to the Court or by the Court's own
motion. Further, at least
arguably, the Court has power, with leave, to hear an
appeal from any declaration or interlocutory order (including for costs) made
by
the judge declining to
recuse[198]. The Court's
ability to determine bias issues need not compromise the ethical position of
each of its individual members. Rather,
with practice following principle, the
Court's ability to determine issues of bias arises after the subject judge has
declined to
recuse themself.
- The
second consideration likewise provides no support for any rule that would
confine decisions on recusal in this Court to be the
province only of the
subject judge. The convention that every judge of this Court has a power to sit
on any appeal has never qualified,
and could not qualify, the jurisdiction of
the Court. In other words, a decision by a judge of this Court to sit on any
matter has
never been a restriction on the ability of this Court to determine
its jurisdiction.
- Consistently
with this approach, when issues of bias have been raised in this Court, or by
this Court or the subject judge themself,
the approach taken has always been for
the matter to be considered first by the subject judge, irrespective of whether
others might
take a different
view[199]. Again,
consistently with the approach described above, in one case in this Court where
an application based on apprehended bias
was renewed to the Full Court after the
subject judge (Callinan J) had decided not to recuse himself, the
application was listed
to be heard before the Full Court. In that case,
Brennan CJ said of the ethical duty of the judge in the first
instance[200]:
"Although the Judge would have welcomed consultation with other members of the
Court, the view was taken by me and by the other Justices
that, at least at
first instance, the decision was one for the Judge alone."
In relation to the listing of the renewed application before the Full Court,
and again consistently with it being the personal decision
of each judge in the
first instance whether to sit, Brennan CJ explained that Callinan J
had himself decided that he did "not propose
to sit on the return of the notice
of motion"[201].
Bias issues before judgment on multi-member courts overseas
- Even
in jurisdictions overseas which often recognise issues of bias as being a matter
for the entire court to determine, there is
no authority to support a practice
that would remove the ethical duty of the subject judge, in the first instance,
to consider and
determine these issues before the issues are considered by the
court as a whole. Nor is there any authority that rejects the continuing
nature
of the ethical duty of that judge. This is unsurprising. Other jurisdictions
outside Australia similarly recognise the primacy
of ethical duties in assessing
bias issues. A survey of other jurisdictions reveals that whilst the
jurisdictional dimension of bias
is now commonly recognised, no jurisdiction has
abandoned the ethical dimension of bias issues, leaving only the jurisdictional
dimension.
Indeed, where an approach is taken that is different from Australia,
such as in general practice in the United States, there has
sometimes been a
tendency to abandon the jurisdictional dimension, leaving only the ethical
dimension[202].
- In
England, in 1998 the Lord Chancellor wrote to Lord Browne-Wilkinson,
as senior Law Lord, suggesting that Lord Browne-Wilkinson
should ensure
that the proposed members of the Appellate Committee of the House of Lords might
"consider together whether any of
their number might appear to be subject to a
conflict of interest; and ... require any Law Lord to disclose any such
circumstances
[of partiality or the appearance of partiality] to the parties,
and not sit if any party objects and the Committee so
determines"[203]. The
Lord Chancellor did not deny the duty of such a Law Lord to comply first
with their ethical responsibility to make such a determination
for themself. Nor
did the Lord Chancellor deny the continuing nature of this ethical
responsibility even if the Committee determined
that the judge should sit on the
appeal.
- Consistently
with this reasoning, in a subsequent decision of the Court of Appeal of England
and Wales, in which the entire Court
decided the issue of whether
Richards LJ should recuse himself, Clarke MR acknowledged that an
anterior decision not to recuse had
been made by
Richards LJ[204].
There was also no suggestion that Richards LJ was precluded from changing
his mind and recusing himself at any time prior to judgment.
And in another case
before the Court of Appeal, where an applicant sought orders that the entire
Court recuse itself due to alleged
apprehended bias by Sedley LJ, the
application was first decided by Sedley LJ, and when the application was
renewed it was decided
by the remainder of the
Court[205].
- In
the Supreme Court of Canada, when an application prior to hearing was brought
before the Court as a whole for the recusal of Bastarache
J in a language
rights case based on his past expressions in writing of support of French
language rights, the application was considered
in the first instance by
Bastarache J "as if it was addressed to
[him]"[206]. It does not
appear that the application was renewed to the Court. Nor does it appear that
the Court, whose decision was ultimately
delivered by Bastarache J jointly
with Major J, had any doubts about its jurisdiction arising from the presence of
Bastarache J on
the
case[207]. Nevertheless,
the jurisdictional dimension of bias was recognised by the Supreme Court of
Canada in a later
case[208], where Binnie J
had been the subject of a motion, after judgment in the appeal had been handed
down by the Court, seeking directions
in respect of information concerning his
Honour's previous role in the proceeding many years prior. Binnie J recused
himself from
any further proceedings concerning the matter. In dismissing a
subsequent motion to vacate the Court's judgment, the remaining members
of the
Court (absent Binnie J) determined that Binnie J was not disqualified from
hearing the appeals or participating in the judgment.
- The
ethical duty of the individual judge was also preserved in the decisions of the
Court of Appeal of Singapore in Yong Vui Kong v Attorney
General[209] and the
Court of Appeal in Northern Ireland in TF v Northern Ireland Public Services
Ombudsman[210]. In the
first of those cases, the application that Chan CJ recuse himself was
considered by Chan CJ. His Honour's reasons, with which
the other members
of the Court agreed, formed the basis for dismissal of the application by the
Court[211]. If Chan CJ
had chosen to recuse himself then the issue would not have been dealt with by
the other members of the Court as reconstituted.
In the second case, the reasons
of the Court of Appeal in Northern Ireland were given by the subject judge,
McCloskey LJ. Those reasons
described the issue as concerning the
"impartiality of the author" of the
judgment[212], indicating
that they were initially formulated by McCloskey LJ.
- One
exceptional case, in South Africa, involved a circumstance in which it was
convenient for multiple individual judges on the multi-member
appellate
Constitutional Court, who were the subject of issues of bias, to consider the
ethical dimension of recusal at the same
time as the institutional,
jurisdictional
dimension[213]. In that
case, all ten judges delivered a judgment concerning allegations of apprehended
bias against individual judges as well as
"allegations made collectively with
regard to all ten members of the
Court"[214]. Even then,
however, the procedure adopted by the Constitutional Court involved individual
members of the Court commenting first
on the separate applications that had been
made against them
personally[215]. The
determination involved the judges considering the applications "individually and
collectively"[216]. Each
judge looked "to their conscience, considered their own positions individually,
and also considered the application as a whole,
collectively"[217].
- Finally,
in New Zealand, where a protocol has been developed following legislative
requirements, the ethical dimension of the determination
by the judge has been
preserved. The protocol for recusal procedure in the Supreme Court of New
Zealand provides for an application
for recusal to be determined by all
available judges of the Court absent the subject
judge[218]. But it also
provides for an anterior step by which, after discussion of the circumstances
with all other judges, the judge concerned
makes their own decision as to
whether to recuse[219].
Similarly, in the Court of Appeal of New Zealand, the first decision as to
whether to recuse is made by the subject judge, with
express opportunities to
recuse provided in the protocol both before and after the listing of the recusal
application[220]. The
protocols also appear impliedly to permit a continuing power for the subject
judge to recuse themself after an application has
been made to the Court in
circumstances where the objection is no longer
maintained[221]. Indeed,
the very purpose of the statutory duty imposed on the Court of Appeal and the
Supreme Court to develop the protocols focuses
upon the decision by the judge
themself: to assist judges "to decide if they should recuse themselves from a
proceeding"[222].
- The
Australian Law Reform Commission has recommended that federal courts should
develop guidelines for recusal for multi-member courts,
citing the New Zealand
protocols as an example of how this might be
achieved[223]. The
Commission rightly observed that efficient guidelines "should require the
challenged judge or judges to first consider the issue,
and to recuse themselves
if they determine they are disqualified, or otherwise to involve the other
members of the
court"[224].
Conclusion
- For
these reasons, although the application for recusal was made to the Full Court,
with counsel referring throughout his oral submissions
on the application to the
Court as a whole, the application was properly first addressed by
Bromwich J personally. His Honour was
correct to address it, personally,
prior to any renewed application to the Court or prior to any consideration of
the application
of the Court's own motion. The ethical issues of bias and
apprehended bias that arose were properly, and best, first assessed by
Bromwich J himself before any jurisdictional issues were addressed by the
Full Court. Ultimately, the application was not renewed
to the Full Court and
the Full Court did not express any doubts about its jurisdiction based upon any
apprehension of bias on the
part of Bromwich J.
Whether an
apprehension of bias existed
Background and facts that can be considered on this appeal
- The
decision of the Full Court of the Federal Court, from which the appeal to this
Court is brought, concerned QYFM's unsuccessful
application at first instance in
the Federal Court for judicial review of a decision of the Administrative
Appeals Tribunal ("the
Tribunal"). The Tribunal had affirmed a decision of a
delegate of the Minister not to revoke the mandatory cancellation of QYFM's
visa
under s 501CA(4) of the Migration Act 1958 (Cth).
- The
Tribunal had power to revoke the original decision cancelling QYFM's visa if
QYFM passed the character test in s 501 of the Migration Act or if
"there [was] another reason why the original decision should be revoked". QYFM
had failed the character test in s 501 of the Migration Act because
in 2013 he was convicted of one count of importing a marketable quantity of a
border controlled drug and was sentenced to
more than one year of imprisonment.
His appeal against conviction had been dismissed in 2014 by the Court of Appeal
of the Supreme
Court of Victoria. The record before the Full Court contained the
reasons of the Court of Appeal, which show that Mr Bromwich SC
appeared as the Commonwealth Director of Public Prosecutions to oppose QYFM's
appeal against his conviction.
- Before
the Full Court, QYFM sought leave to amend his grounds of appeal in order to
allege that the primary judge should have quashed
the Tribunal's decision on the
basis that the Tribunal had made jurisdictional errors in determining that there
was not "another
reason" (apart from his failure of the character test) to
revoke the cancellation of QYFM's visa. The jurisdictional errors alleged
by
QYFM were that the Tribunal's decision was, in various ways, irrational or
legally unreasonable, as well as that the Tribunal
made findings for which there
was no probative evidence. The Full Court granted leave to appeal on the
irrationality and legal unreasonableness
ground only and unanimously dismissed
QYFM's appeal.
- The
appeal to this Court is not an appeal from the decision of Bromwich J not
to recuse himself from the Full Court appeal. The recusal
decision by
Bromwich J was not a decision of the Full Court. The reasons given by
Bromwich J for his decision are not reasons that
support the orders made by
the Full Court. Instead, the appeal that QYFM brings to this Court is from the
orders of the Full Court,
in particular the order dismissing QYFM's appeal.
- Therefore,
a preliminary issue that arises on this appeal is the status of
Bromwich J's reasons for refusing to recuse himself. In
some respects,
Bromwich J's oral reasons (later transcribed) and subsequent written
reasons on the recusal application go further
than the matters that had been
disclosed to counsel prior to, or during, the recusal application to the Full
Court. The increased
detail provided by Bromwich J in his oral reasons was
both usual and entirely proper. As explained above, the prospect of such
increased
detail is one of the reasons that the ethical duty of a judge should
first be discharged by that judge alone. However, there may
be consequences for
an appeal to this Court where the reasons for recusal extend beyond those
matters which were part of the record
before the Full Court.
- Bromwich J
said in his oral reasons that he had only "a faint memory of this case in terms
of its factual detail [but had] quite
a reasonably clear memory of the case
because of the legal principle". Further, his Honour said that he "had no
knowledge whatsoever
of the appellant's criminal history". The fact of
Bromwich J's state of mind might have been relevant to any renewed
application
to the Full Court seeking his recusal based on actual bias, although
not based on an apprehension of
bias[225]. Arguably,
however, evidence of facts about Bromwich J's memory and knowledge would be
necessary before they could be taken into
account by the Full Court on a
consideration of the bias issues. That might have occurred, for instance, by a
consensual tender of
the transcript as evidence of the facts contained in it.
But evidence of those facts (if necessary) could not be introduced on an
appeal
to this Court without them being evidence in the Full
Court[226].
- These
issues need not be further considered on this appeal. QYFM did not rely upon any
claim of actual bias in this Court to which
the description of Bromwich J's
state of mind would have been relevant. It is therefore unnecessary to consider
further whether this
Court can take into account matters that were not raised in
QYFM's recusal application before the Full Court but were referred to
in
Bromwich J's reasons. It suffices to proceed below on the basis of the
record of the recusal application and materials in the
Full Court of the Federal
Court.
The approach to apprehended bias in the United
States
- During
the oral hearing of this appeal, questions were asked of the parties, and a
direction for further submissions was made by
the Chief Justice, concerning
authorities in the United States addressing the principles to be applied in
cases where a former prosecutor
has been sought to be disqualified from
adjudicating a case that raised issues relating to that prosecution. The parties
complied
with that request. Unfortunately, their labours were entirely in vain.
The test for apprehended bias, as well as the institutional
and substantive
context in which issues of bias arise in the United States, is so far divorced
from the Australian context that the
decisions and reasoning of the United
States courts can provide no assistance in drawing factual analogies when
applying the Australian
test for apprehended bias. As has already been explained
in these reasons, even on a matter as fundamental as whether bias has a
jurisdictional dimension as well as an ethical dimension, in the absence of a
legislative rule some United States courts deny the
existence of any
jurisdictional dimension.
- Ultimately
the Minister properly acknowledged that in this context the United States legal
system draws upon "legal tests and provisions
not applicable in Australia". In
the United States, the different test for the apprehension of, or "potential"
for, bias is shaped
or bounded by constitutional
considerations[227]. For
instance, the Due Process Clause of the Fourteenth Amendment to the
Constitution of the United States was central to the Supreme Court of the
United States answering the question: was there "an impermissible risk of actual
bias when
a judge earlier had significant, personal involvement as a prosecutor
in a critical decision regarding the defendant's
case"[228]?
The
approach to apprehended bias in Australia
- It
is well established that two steps of reasoning must take place before asking
whether a fair-minded lay observer might have had
a reasonable apprehension that
the judge might not bring an impartial mind to the resolution of the case in
question[229]. The first
step is to identify the subject matter that could give rise to the apprehension
of bias: what it is that might lead the
judge to decide a case other than upon
its legal and factual merits. The second step is to articulate the logical
connection between
that subject matter and the feared deviation from the course
of deciding the case on its merits.
The first step: identify the
subject matter of the apprehension
- The
first essential step is to identify the subject matter that could give rise to
the apprehension of bias. The central subject
matter of an apprehension that
Bromwich J might decide the appeal other than upon its legal and factual
merits was described by counsel
for QYFM in his application to the Full Court as
Bromwich J's role as "senior counsel who supported defending [QYFM's]
conviction"
in QYFM's criminal appeal. In that role, Bromwich J appeared in
his capacity as Commonwealth Director of Public Prosecutions pursuant
to
s 15(1)(c) of the Director of Public Prosecutions Act
1983 (Cth).
- The
offence for which QYFM was convicted was very serious. It involved the
importation of cocaine into Australia with a potential
wholesale value of
$330,000 and a potential street value of $724,250. Although QYFM was not the
principal importer, the offence involved
a considerable degree of planning in
which he was involved. It was undertaken for financial gain. It involved his
callous exploitation
of his mother-in-law as an innocent agent, by a calculated
decision to have her carry drugs from the United Arab Emirates, causing
a
frightening ordeal for her when she was found by customs agents to be carrying
cocaine. He was sentenced to ten years' imprisonment
with a non-parole
period of seven years.
The second step: identify the
connection between the subject matter and the feared deviation
- The
second essential step is to identify the connection between the subject matter
of the alleged apprehension of bias and the feared
deviation from the course of
deciding the case on its merits. In cases where the subject judge has previously
been involved in a
prosecution of, or an appeal by, the person presently before
the court, the connection is generally a loose one involving the potential
for
negative emotion and antipathy to be felt in respect of that person. In some
cases, that emotion and antipathy could arise despite
the dispassionate
presentation of a purely legal case and despite the training, technique, and
oath or affirmation of a judge.
- In
this case, the connection was more than a loose one. The appeal before the Full
Court concerned QYFM's application for judicial
review of the Minister's refusal
to revoke the cancellation of QYFM's visa on character grounds which included
his criminal conviction.
The connection between QYFM's criminal conviction and
the refusal to revoke the cancellation of his visa was not merely that the
latter involved issues related to his character. There was a causal connection
between the conviction and the refusal to revoke the
visa cancellation. The
conviction of QYFM was the first step in a process that might ultimately lead to
deportation. The second step
was the appeal by QYFM to the Court of Appeal. The
third step, following the enactment of s 501(3A) of the Migration
Act and the Minister's mandatory cancellation of QYFM's visa based on
the conviction, was QYFM's application for revocation of that cancellation
of
his visa. And the final step was QYFM's application for judicial review, and his
appeal from that judicial review decision.
Application: a
fair-minded lay observer's reasonable apprehension of bias
- It
does not require a resort to legal realism to accept that "[i]f ... 'bias' and
'partiality' be defined to mean the total absence
of preconceptions in the mind
of the judge, then no one has ever had a fair trial and no one ever will ...
Interests, points of view,
preferences, are the essence of
living."[230] Indeed, both
the common law and principles of statutory interpretation have often developed
by reference to preconceptions concerning
very broadly expressed embedded values
and recognised
principles[231].
- The
presence of bias, or an apprehension of bias, is defined in a narrower way so as
to exclude the possibility of underlying general
preconceptions, such as having
an antipathy to drug importation, or beliefs regarding the effect of drugs on
society and the importance
of prosecuting drug offences. Those underlying
preconceptions reflect generally held, and embedded, values which will not rise
to
the level of an apprehension of bias unless it is concluded that they are so
strongly held by the judge that there is a possibility
that the preconceptions
might affect a proper application by the judge of the law to the person before
the court. The focus is upon
how the preconceptions might affect, or be seen to
affect, the person before the court.
- The
issue on this appeal concerning apprehension of bias is concerned with the
possible application of potential beliefs about QYFM
himself, particularly in a
context in which there is a causal connection between QYFM's conviction and the
subject of the appeal
before the Full Court, being the judicial review
application concerning the cancellation of QYFM's visa.
- It
can be immediately accepted that, as Steward J carefully sets out in his
reasons, the fair-minded lay observer can be taken to
know that a judge is a
professional whose training and tradition and loyalty to oath or affirmation
require discarding of matters
that are irrelevant, immaterial, or
prejudicial[232]. It can
also be accepted that a fair-minded lay observer would be aware that prosecutors
are trained and ethically obliged not to
strive for a conviction at all costs
nor to seek a penalty outside an accepted range. These matters establish that
there is no absolute
rule that a person who has previously prosecuted an
individual for an offence, or has previously sought to defend the individual's
conviction as a matter of law, cannot sit on a later proceeding concerning that
person merely because an ordinary person might assess
that proceeding in light
of the previous prosecution or defence.
- On
the other hand, a fair-minded lay observer would also know that prosecutors and
judges are not (presently) robots. There is no
inconsistency in accepting that a
prosecutor can objectively perform their responsibilities in a fair and proper
manner and may strive
to do so yet nevertheless may develop a natural emotional
antipathy towards the person they prosecuted which could have subtle but
potentially important effects. The extent of that possible antipathy, and the
ability of the judge (who was the former prosecutor)
to suppress it, will depend
upon all the circumstances: the extent to which the character of the accused was
in issue at trial or
on appeal; the force with which it was necessary to
cross-examine the accused; the seriousness of the offence involved; and the
impact
of the offence upon others, especially those called as witnesses at
trial.
- The
likelihood and strength of any emotional response will vary from prosecutor to
prosecutor and from judge to judge. Many prosecutors
and judges are able to
achieve high degrees of dispassionate detachment from the facts and the accused
person. Others have less success,
occasionally notoriously so. But the
fair-minded lay observer is not attributed with knowledge of the likely degree
of success that
a particular prosecutor or judge will have in achieving that
detachment. In the words of Laws LJ, the fair-minded lay observer cannot
be
attributed with the knowledge of practising lawyers, since "[t]o a greater or
lesser extent [practising lawyers], or some of them,
will know the judges
personally. Crudely put, they may be said to belong to the same
club."[233] The fair-minded
lay observer is not a member of that "club".
- The
application of these principles is not simple in this case. On the one hand,
there is a strong argument that a fair-minded lay
observer would expect that
Bromwich J would, as I have no doubt he did, strive to bring an impartial
mind to the adjudication of
QYFM's appeal of the decision in respect of the
judicial review application. That judicial review application concerned a pure
question
of law, six years after his appeal from conviction. That appeal itself
involved only a question of law, without cross-examination
or any obvious direct
involvement by QYFM.
- On
the other hand, the legal issue in QYFM's conviction appeal, in respect of which
Bromwich J appeared in his capacity as Commonwealth
Director of Public
Prosecutions, was one of considerable legal importance. The underlying offence
that was the subject of that appeal
was very serious. And the conviction appeal
was one connected step in a process which concluded with the cancellation of
QYFM's visa
and the judicial review application and appeal.
- Ultimately,
I conclude that a fair-minded lay observer might have had a reasonable
apprehension that Bromwich J might not bring an
impartial mind to the
adjudication of the issues on the appeal of the decision in respect of the
judicial review application. The
"double might" test in the application of the
construct of the fair-minded lay observer is relatively undemanding once
sufficient
facts exist to raise the possibility of actual bias or apprehended
bias. It does not matter if the possible apprehension of a fair-minded
lay
observer involved only the possibility of a mind affected in a small degree by
bias. A perception of only a little bias will
invalidate a decision. Once the
line of bias is crossed, there are no degrees of permissible judicial
bias.
Three incorrect decisions
- On
this appeal, the Minister relied upon three decisions of intermediate appellate
courts which demonstrate a similar approach to
that taken by Bromwich J on
appeal as to when a trial judge should recuse themself from a trial. All of
those decisions involve basic
errors in reasoning. And in all those cases the
result was, and is, wrong.
- The
first of those cases is R v
Garrett[234]. In that
case, Mr Garrett was convicted after a trial before a judge and jury of
rape and false imprisonment. Nearly 12 years earlier,
Mr Garrett had been
convicted of counts of forceable abduction, rape and assault occasioning actual
bodily harm. Mr Garrett appealed
from those earlier convictions,
principally on grounds of law. His appeal to the Court of Criminal Appeal was
dismissed, as was his
later application for special leave to appeal to this
Court. Counsel for the Crown on the earlier appeal and on the special leave
application was the trial judge in the later trial.
- In
the Full Court of the Supreme Court of South Australia, King CJ (with whom
Jacobs and von Doussa JJ agreed) held that there was
no apprehension of
bias for two reasons: (i) there was nothing in the transcript of argument
to indicate that the trial judge, as
counsel on the earlier appeal and special
leave application, "had formed any personal view of the case"; and
(ii) disqualification
at the late stage of the trial when the issue arose
would have caused significant delay and
inconvenience[235]. The
first of these reasons has little weight, although it might be significant if
the trial judge had expressed personal views about
the case. The absence of any
such expression says little more than that, in a formal court environment and in
a case principally
concerned with matters of law, counsel did not enunciate any
subjective views about Mr Garrett that he might have formed in the course
of the
appeal or special leave application. The second reason, namely delay and
inconvenience, is irrelevant to an assessment of
apprehended bias.
- The
second case relied upon by the Minister is McCreed v The
Queen[236]. In that
case, Mr McCreed was convicted in 1996 of aggravated sexual assault. Nearly
12 years earlier he had been prosecuted for
wilful murder. The prosecutor
at Mr McCreed's murder trial was the trial judge at Mr McCreed's trial
for aggravated sexual assault.
In the reasons of Steytler J (with which
Malcolm CJ agreed) on appeal to the Full Court of the Supreme Court of
Western Australia,
his Honour correctly observed
that[237]:
"the fact that a defendant in criminal proceedings has previously been
prosecuted for a serious criminal offence by the judge who
is to preside over
his trial on unrelated charges will often be sufficient to result in the judge's
disqualification".
- Steytler J
reasoned, however, that the appeal should be dismissed for two
reasons[238]: (i) when
the application was made to the trial judge seeking that he disqualify himself,
the trial judge said that he had no independent
recollection of the
circumstances of the prosecution or of the facts giving rise to it, which was
unsurprising given the lapse of
time (although the application had itself been
prompted by the trial judge informing the parties of his role after he had
looked
at the file concerning the earlier
prosecution[239]); and
(ii) the sexual offences which were the subject of the appeal bore no
relationship to the offence of murder for which Mr McCreed
had been prosecuted
in the earlier trial.
- As
to the first matter, even assuming that statement to have been in evidence
before the Full Court, a fair-minded lay observer would
surmise that, by the
time of the trial, the trial judge had restored his memory at least to some
extent. That memory would be restored
at least in part, even if that restored
memory might have been limited due to the long delay and might have been
dependent on the
court file of the murder prosecution, which the trial judge,
for some unexplained reason, had taken the time to retrieve from the
court
records and to examine. The fair-minded lay observer would also apprehend that
it is possible that the trial judge's memory
of the earlier prosecution might
further develop during the trial. Importantly, the relevant matter is not the
apprehended state
of the trial judge's memory before the bias issues are raised.
It is the apprehended state of the judge's possible memory during
the trial
itself. As to that, the restored memory might have given rise to negative
emotions and antipathy towards Mr McCreed, resulting
from the trial judge's
recollection of his pivotal role as prosecutor, and the extremely serious nature
of the offence.
- As
to the second matter, the difference between the earlier and later offences,
this distracted from the question that should have
been asked by the appellate
court, which concerned whether a fair-minded lay observer might conclude that
the trial judge might possibly
be distracted from an impartial performance of
his duties. The recognition by Steytler J that recusal will often be
required where
a trial judge had previously prosecuted an accused for a serious
criminal offence was correctly not qualified by any requirement
that the serious
criminal offence be of the same nature as the offence being tried. Indeed, a
prior prosecution of the same person
for a different, but more serious, offence
may be more likely to give rise to an apprehension of bias than if both trials
are for
the same identical, but trivial, offence.
- The
final case relied upon by the Minister is Muldoon v The
Queen[240].
Mr Muldoon was tried before the trial judge and a jury on counts of
breaking and entering, and stealing property in circumstances
of aggravation.
More than eight years earlier the trial judge had been the Crown prosecutor of
Mr Muldoon for an offence of robbery
in company, for which Mr Muldoon
had been convicted. In the Court of Criminal Appeal of New South Wales,
Hodgson JA (with whom James
and Price JJ agreed) said that the trial
judge had not been required to recuse
himself[241]. His Honour
relied upon the decision in McCreed and referred to matters including the
professional obligations of prosecutors and judges, the need not to encourage
parties to seek
disqualification without justification, and the inability of the
trial judge to recall the trial given the lapse of time of more
than eight years
since Mr Muldoon's earlier
trial[242].
- The
factor concerning the trial judge's memory was, again, focused upon an
apprehension of the state of the trial judge's memory
at the time the matter was
first raised, rather than such an apprehension at the time of the trial, albeit
correctly taking into
account the lapse of time. The factor concerning a need
not to encourage other parties to seek disqualification in other cases is
irrelevant to whether an apprehension of bias existed in the particular case
before the court.
- The
error in the results in all of these cases can also be seen in the approach
taken in the separate reasons of Miller J in McCreed. His Honour
said that the judge who prosecuted the wilful murder case "was not 'trying to
put (a) man in prison for life' but was
performing fairly and impartially the
responsibility cast upon him of Crown Prosecutor in those proceedings". He then
conceded that
"[o]bviously [Mr McCreed] would not see it that
way"[243]. But the
proposition that a judge, by training, technique, and oath or affirmation, will
aim to put aside emotion and antipathy does
not deny the possibility that some
emotion and antipathy will remain.
- The
very humanity of prosecutors and judges might, despite their best efforts,
consciously or subconsciously affect their decision
making by evoking an
emotional response. Whether or not it is possible that such an emotional
response might be characterised as
"trying to put a man in prison for life", the
possibility of an emotional response that could affect decision making is one
that
cannot always be ignored simply due to the training, technique, and oath or
affirmation. That possibility will depend upon an objective
assessment of the
individual circumstances of each case without regard to the temperament of the
particular prosecutor and judge.
In circumstances where it becomes known that a
judge had previously prosecuted the present accused for a very serious offence
it
will usually be hard to escape from the conclusion that there would be an
apprehension of bias if the judge were to preside over
a trial of that person
for an offence.
The consequence of the apprehension of
bias
- The
Minister conceded in this Court that any apprehension that Bromwich J was
affected by bias would deprive the Full Court of jurisdiction,
despite the
unanimity of the decision of the Full Court. That concession was properly
made.
- An
apprehension of bias in respect of one member of a multi-member bench
necessarily results in that court, as constituted, lacking
the appearance of
justice. A lack of an appearance of justice denies authority —
jurisdiction — to any court in one of
the most fundamental ways. This
applies to every court and every tribunal, irrespective of whether that court or
tribunal is constituted
by three members or thirty. Because an apprehension of
bias negates jurisdiction for a fundamental reason, it is irrelevant that
the
decision might not have been any different due to the presence of additional
judges, such that the decision might remain the
same[244].
Conclusion
- A
court cannot have jurisdiction if it is affected by any degree of bias. The
possibility that a fair-minded lay observer might have
perceived that
Bromwich J might not bring an impartial mind to the issues on the appeal
was sufficient to deny jurisdiction to the
Full Court. I agree with the orders
proposed by Kiefel CJ and Gageler J.
- Part
of the first recommendation of the Australian Law Reform Commission in its
report on judicial impartiality was that each Commonwealth
court should develop
and publish guidelines on the process and principles of judicial
disqualification[245].
There are a wide variety of possible and proper procedures that each court could
develop. But those procedures must be governed
by fundamental matters of basic
principle. Those matters of basic principle require the preservation of the
ethical duty of a judge
who is, or might be, the subject of any bias issues.
Only once that judge has decided not to recuse themself, or has proceeded on
that basis, should a multi-member court, on application or of its own motion,
assess the issues of bias as a matter of jurisdiction,
consistently with the
procedure outlined by Gordon J in her
reasons[246].
- For
these reasons, the Full Court was capable of deciding whether a fair-minded lay
observer might have had a reasonable apprehension
that Bromwich J might not
bring a sufficiently impartial mind to the issues raised by QYFM's appeal. The
possibility of such an apprehension
is a matter affecting the jurisdiction of
the Court. As a matter of jurisdiction, it was the duty of all members of the
Court to
consider the issue, if an application was subsequently brought to the
Court or if they had any doubt about their jurisdiction. This
jurisdictional
issue is usually concerned with apprehended bias and, therefore, the appearance
of justice. But I agree with Gordon
J, Steward J, and Jagot J
that it was both proper and essential that Bromwich J first consider those
issues, personally and independently
of the other members of the Court. As he
did. That consideration reflects a continuing ethical duty that enhances the
likelihood
of actual justice.
- The
appearance of justice is good. Actual justice is better. Both is the best of
all.
- STEWARD J.
For the reasons that follow, Bromwich J was correct in deciding not to
recuse himself from sitting as a judge of the Full
Court of the Federal Court of
Australia in this matter. No fair-minded and reasonable lay observer could
possibly have apprehended
that his Honour might not bring an impartial and
unprejudiced mind to the resolution of QYFM's appeal from a single judge of the
Federal Court[247]. I
otherwise respectfully agree with Gordon J in relation to her Honour's
explanation of the procedure for determining a recusal
application. The
responsibility of deciding whether a judge should recuse himself or herself lies
initially, in accordance with the
orthodox practice in Australia, in the hands
of that judge.
- The
relevant legal test is well settled and was recently and aptly articulated by
Nettle and Gordon JJ in CNY17 v Minister for Immigration and Border
Protection as
follows[248]:
"The
test has two steps. First, one must identify what it is that might lead a
decision-maker to decide a case other than on its legal
and factual merits. What
is said to affect a decision-maker's impartiality? Partiality can take many
forms, including disqualification
by direct or indirect interest in the
proceedings, pecuniary or otherwise; disqualification by conduct;
disqualification by association;
and disqualification by extraneous information.
As Deane J said in Webb v The Queen, in relation to disqualification
by extraneous information, 'knowledge of some prejudicial but inadmissible fact
or circumstance
[may give] rise to [an] apprehension of bias'. Second, a
logical connection must be articulated between the identified thing and the
feared deviation from deciding the case on its merits. How will the claimed
interest, influence or extraneous information have the suggested effect?"
- In
this case the matter said to give rise to the risk of partiality was
Bromwich J's prior role as Director of Public Prosecutions
for the
Commonwealth ("the DPP") and, specifically, his appearance seven years
earlier as senior counsel for the Crown in QYFM's
appeal against conviction for
the importation of cocaine. QYFM has since accepted that he committed that
offence, when giving evidence
before the Administrative Appeals Tribunal
("the Tribunal") in relation to his application for review of a decision by
a delegate
of the Minister not to revoke the mandatory cancellation of his
visa[249]. The "logical
connection", to use the language of CNY17, said to exist between this
matter and the risk of partiality was identified as being the relationship
between the earlier conviction
appeal and the appeal below in the Full Court.
Whether that connection existed depended upon the links, if any, between those
proceedings
and the role Bromwich J played in each. As Gageler J said
in Isbester v Knox City
Council[250]:
"Rarely could a fair-minded observer not think it appropriate to say of a
person: '[i]f he is an accuser he must not be a judge'.
That is because a person
who has been the adversary of another person in the same or related
proceedings can ordinarily be expected to have developed in that role a
frame of mind which is incompatible with the exercise of that degree
of
neutrality required dispassionately to weigh legal, factual and policy
considerations relevant to the making of a decision which
has the potential
adversely to affect interests of that other person."
- Obviously,
it is not the case here that Bromwich J sought to be an accuser and a judge
in the "same" proceeding. Rather, the issue
is whether the two proceedings were
"related" in a way or ways that revealed the "logical connection" referred to
above. In this
case, that turns upon a correct identification of the attributes
of the fair-minded lay observer. How much would that observer know
and
understand about the two roles that Bromwich J performed?
- In
Johnson v Johnson, Kirby J described many of the necessary
attributes of the fair-minded lay observer in the following
way[251]:
"The
attributes of the fictitious bystander to whom courts defer have therefore been
variously stated. Such a person is not a lawyer.
Yet neither is he or she a
person wholly uninformed and uninstructed about the law in general or the issue
to be decided. Being reasonable
and fair-minded, the bystander, before making a
decision important to the parties and the community, would ordinarily be taken
to
have sought to be informed on at least the most basic considerations relevant
to arriving at a conclusion founded on a fair understanding
of all the relevant
circumstances. The bystander would be taken to know commonplace things, such as
the fact that adjudicators sometimes
say, or do, things that they might later
wish they had not, without necessarily disqualifying themselves from continuing
to exercise
their powers. ... The fictitious bystander will also be aware of the
strong professional pressures on adjudicators (reinforced by
the facilities of
appeal and review) to uphold traditions of integrity and impartiality. ...
Finally, a reasonable member of the
public is neither complacent nor unduly
sensitive or suspicious."
- In
CNY17, Nettle and Gordon JJ
said[252]:
"The fair-minded lay observer knows the nature of the decision, the
circumstances which led to the decision and the context in which
it was made.
The fair-minded lay observer has 'a broad knowledge of the material objective
facts ... as distinct from a detailed
knowledge of the law or knowledge of the
character or ability of the [decision-maker]'."
- Whilst
the hypothetical lay observer is not a lawyer, he or she is taken to have a
basic knowledge of the issues to be decided and
the nature of the proceedings or
process. Even where the applicable statutory scheme is complex, and here the
Migration Act 1958 (Cth) might fairly be so described, the lay observer
will be taken to "have knowledge of the key elements of that
scheme"[253].
- The
lay observer will also have an understanding of the role played by the judge and
by counsel. As to the function of the judge,
the plurality observed in
Johnson v
Johnson[254]:
"[T]he person being observed is 'a professional judge whose training, tradition
and oath or affirmation require [the judge] to discard
the irrelevant, the
immaterial and the prejudicial'."
- As
for the role played by counsel, and in particular by Crown prosecutors, I agree
with the observation of Refshauge J in Eastman v Chief Executive Officer
of the Department of Justice and Community Safety [No 2] that a lay observer
"would understand that prosecutors do not strive for a conviction and do not
submit for the most severe
sentence"[255]. That is
because, consistently with the observations of Kirby J above, a fair-minded
lay person "would ordinarily be taken to have
sought to be informed" about the
role of prosecuting counsel in this country. Here, that would include very
general knowledge of
the ethical duties attending to the role of prosecuting
counsel and the special responsibilities of the DPP, who holds a statutory
function as an Agency
Head[256].
- Here,
senior counsel for QYFM clothed the hypothetical lay observer with knowledge of
the following features in relation to the earlier
criminal proceeding: that the
prosecution had been instituted by the Office of the DPP (whether
Bromwich J was the DPP at this time
was not a necessary part of QYFM's
case); that it had been commenced in accordance with s 6(1)(a) of the
Director of Public Prosecutions Act 1983 (Cth); that the trial of
QYFM had been undertaken by junior counsel for the DPP; that the trial was held
between 7 October 2013,
when QYFM pleaded not guilty, and
27 October 2013, when the jury delivered a guilty verdict; that during
that trial, Bromwich J held
the statutory office of the DPP; that in
December 2013, QYFM was sentenced to ten years' imprisonment with a non-parole
period of
seven years; that upon sentencing QYFM, a power in the Migration
Act for the applicable Minister to cancel QYFM's partner
visa[257] was thereby
enlivened, but, as that Act then stood, the Minister was not compelled to
exercise that power (and did not then do
so)[258]; that QYFM applied
for leave to appeal his conviction to the Court of Appeal of the Supreme Court
of Victoria; that the ground of
appeal broadly concerned the use at trial
against QYFM of statements, said to be implied admissions, made by him to a
Customs officer
at Melbourne Airport; that this issue turned upon whether QYFM
was at that time a
"suspect"[259], and that if
the Court so concluded, the appeal would be successful; that QYFM was only given
leave to appeal because, at least initially,
Priest JA thought this was a
"good ground"; that junior counsel for the DPP was led in the appeal by
Bromwich J as senior counsel;
that Bromwich J presented oral
submissions both in his capacity as a senior barrister and as the holder of the
statutory office of
the DPP; that Bromwich J had "stepped in" to advocate
for the dismissal of QYFM's appeal; and that the appeal was dismissed on
21
November 2014.
- The
foregoing does not, but should, include that the lay observer would also have
known that the conviction appeal turned upon a
question of law only,
specifically concerning the interpretation of statutory provisions.
- In
relation to the proceeding before the Full Court, senior counsel for QYFM in
this Court contended that the lay observer should
be fixed with the following
knowledge: that soon after the dismissal of the conviction appeal, s 501 of
the Migration Act was amended to require the applicable Minister to
cancel QYFM's visa by reason of his conviction and
sentence[260]; that QYFM's
visa was accordingly cancelled ("the visa cancellation decision"); that
consequently QYFM was liable to be removed from
Australia unless the Minister
exercised his or her power to revoke the visa cancellation
decision[261]; that the
Minister decided not to exercise that power in favour of QYFM; that, in general
terms, merits review of that decision was
available in the Tribunal; that QYFM
sought merits review but the Tribunal decided not to revoke the visa
cancellation decision;
that the Tribunal's decision had to be made within the
bounds of the law; that QYFM was entitled to seek, and did seek (without being
legally represented), judicial review of the Tribunal's decision before a judge
of the Federal Court; that QYFM's application was
dismissed by
Kerr J[262]; that QYFM
was entitled to appeal this decision to the Full Court of the Federal Court;
that QYFM exercised that right with legal
representation and a new set of
judicial review grounds, so that, practically, the Full Court was required to
review the legality
of the Tribunal's decision afresh; that on the day of the
hearing of the appeal, the parties received an email from the chambers
of
Bromwich J disclosing that his Honour had appeared as counsel for the Crown
in QYFM's unsuccessful conviction appeal; and finally
that, later that day,
Bromwich J sat with two other judges of the Full Court to hear QYFM's
appeal, albeit by the medium of Microsoft
Teams.
- Based
on the foregoing, QYFM submitted that there was a causal connection between the
conviction appeal and the judicial review appeal
which revealed the required
"logical connection". Without his conviction, QYFM's visa could not have been
cancelled; without that
cancellation, there would have been no merits review in
the Tribunal; without the merits review, there would have been no judicial
review proceedings in the Federal Court; and without the judicial review
proceedings, there would have been no appeal to the Full
Court. The predicate of
this submission was that Bromwich J bookended each proceeding by appearing
in the first as QYFM's "accuser",
both as the DPP and as senior counsel, and in
the last as one of the judges to hear QYFM's appeal.
- With
respect, the force of QYFM's submission is lost when the matter is looked at in
rather more detail. In that respect, senior
counsel for QYFM clothed the
hypothetical fair-minded lay observer with a reasonable degree of knowledge
about the nature of each
proceeding and about the legal issues raised in each
matter. It included basic knowledge of the ground of the conviction appeal.
But
it excluded from consideration important and equivalent information about the
issues before the Tribunal and the Full Court.
That information must also be
taken to have been known to the hypothetical lay observer. When that information
is taken into account,
the link between the conviction appeal and the appeal to
the Full Court becomes, at best, tenuous.
- The
issue the Tribunal was required to determine was whether there was another
reason to revoke the visa cancellation
decision[263]. In answering
that question, the Tribunal was obliged to apply a ministerial
direction[264]
("the Direction") to the evidence and material before it. The Direction
required the Tribunal to apply a number of primary and other
considerations
which were directed at the impact of QYFM's removal from Australia in the
future. The "primary considerations" were
protection of the Australian community
from criminal or other serious conduct, the best interests of minor children in
Australia,
and the expectations of the Australian community. Before the
Tribunal, QYFM led evidence and made submissions and claims about these
matters.
- In
considering the risk that QYFM might reoffend, the Tribunal considered the
serious nature of the offence for which he was convicted
and the trial judge's
sentencing remarks. It did so for the purpose of making a prediction concerning
the likelihood that QYFM would
endanger the Australian community if he remained
here. No part of that analysis required the Tribunal to consider the conviction
appeal in any way. Indeed, and critically, QYFM accepted before the Tribunal
that he had committed the offence for which he had been
convicted. Rather, the
Tribunal was required to consider, amongst other things, QYFM's claims of
rehabilitation following his conviction.
The Tribunal found that there was a
real and unacceptable risk that QYFM would reoffend if released. That finding
followed largely
from the Tribunal's rejection of his evidence and claims. The
Tribunal found that key features of QYFM's evidence were false, inconsistent,
exaggerated, implausible or incomplete. Just as the reasonable lay observer is
taken here to have had knowledge of the ground of
QYFM's conviction appeal, so
too there is no reason to doubt that this hypothetical person must also be taken
to have known, in a
general way, about the foregoing.
- The
Tribunal then considered what was in the best interests of QYFM's children and
decided, on balance, that this factor favoured
revocation of the visa
cancellation decision. It also considered the expectations of the Australian
community. Having regard to,
amongst other things, "the very serious nature of
[QYFM's] offending" and the "presentation of bogus evidence" by him, this factor
weighed very substantially in favour of non-revocation of the visa cancellation
decision. Again, there is no reason not to attribute
knowledge, in a general
way, of these findings to the fair-minded lay observer.
- The
Tribunal went on to consider a number of "other considerations" mandated by the
Direction. For example, it considered whether
QYFM's claim of fear of harm if
returned to Burkina Faso (he is a citizen of that country) gave rise to any
non‑refoulement
obligations and observed that none arose on the evidence
before it. It considered the strength, nature and duration of QYFM's ties
to
Australia, and found that this favoured, slightly, revocation of the visa
cancellation decision. It also considered the impact
on Australian business
interests and on any victims if QYFM were to be removed, as well as the
impediments he might face in Burkina
Faso. It found that there were many such
impediments and that this matter favoured revocation of the visa cancellation
decision.
The Tribunal ultimately decided that there was not "another reason" to
revoke the visa cancellation decision, largely because the
primary
considerations, described above, outweighed the considerations in favour of
revocation. Again, the hypothetical lay observer
should be taken to have known
about all of these matters.
- As
already mentioned, QYFM sought judicial review of the Tribunal's decision in the
Federal Court. His three written grounds of review
alleged that the Tribunal had
denied him procedural fairness, that it had asked him a series of "closed
questions", and that it had
failed to inquire into why he had left Burkina Faso.
Before Kerr J, it appears that these grounds were not pursued, but that
instead
new proposed claims were proffered, one of which, by way of example, was
that QYFM did not have a substantial criminal record within
the meaning of
s 501(7) of the Migration Act. Kerr J considered that the
prospects of success in relation to the new grounds were "so derisorily small"
as to not warrant an
amendment[265]. QYFM's
original grounds were also dismissed as being "without
merit"[266]. Again, the lay
observer should be taken to have been aware of these claims and their dismissal
by Kerr J.
- The
decision of Kerr J was appealed to the Full Court. Again, the reasonable
lay observer can be taken to have a general appreciation
of the grounds of
appeal. The first new ground contended that the decision of the Tribunal was
"illogical, irrational and/or legally
unreasonable". It was particularised with
five "strands". It is unnecessary to describe any of these other than to observe
that none
of them in any way challenged or concerned his conviction, his
conviction appeal, or the finding that there was a risk that QYFM
might
reoffend, save in one instance. That instance was an assertion, as part of
strand five, that QYFM's criminal history and his
risk of reoffending
(presumably as found by the Tribunal) could, amongst other factors, "logically
and rationally impact [QYFM's]
prospects of living in a third country". The
Notice of Appeal did not say how these matters might affect QYFM's ability to
live in
Burkina Faso, and no such reasons have ever been suggested. The second
new ground of appeal was that the Tribunal made findings for
which there was no
probative evidence. This ground had two strands. They were directed to findings
made by the Tribunal about how
QYFM might live in Burkina Faso. Once again,
these are all matters that the lay observer should be taken to have known
about.
- The
hypothetical lay observer would also have basic knowledge of the grounds relied
upon by QYFM to seek Bromwich J's recusal. Those
grounds differed from
those presented to this Court. In particular, they alleged that Bromwich J
had personal knowledge of QYFM's
criminality as a result of his prior
prosecutorial role, and that this knowledge would be relevant to the issue of
materiality were
the Full Court to decide that the Tribunal had erred in
law[267]. No such
allegation was maintained before this Court, and no challenge was made to
Bromwich J's conclusion that any knowledge of
QYFM's criminal history could
have nothing to do with the topic of
materiality[268].
- It
follows from the foregoing that the reasonable lay observer would have known
that no part of the proceeding before the Full Court
involved in any way the
previous criminal proceeding or conviction appeal, save in two instances. First,
those criminal proceedings
were an historical fact; QYFM's conviction was a
necessary condition to be satisfied in order for his visa to be cancelled. But
the
satisfaction of that condition was not, and was never going to be, a matter
for consideration by the Full Court. It was no more than
an unchallenged
background fact. Secondly, in the one instance in which the grounds of appeal
did deploy QYFM's criminal history
and his risk of reoffending as the foundation
for a claim about his future in Burkina Faso, it was an unparticularised
assertion.
In circumstances in which QYFM accepted his guilt, it was no more
than what was described in this Court in Ebner v Official Trustee in
Bankruptcy as an "insubstantial
objection"[269] about which
the lay observer might only have a "vague sense of unease or
disquiet"[270]. But that is
not enough to establish the required "logical connection" between the earlier
conviction appeal and any fear that Bromwich
J might deviate from deciding
the Full Court appeal on its merits. A different conclusion may have been
justified if QYFM had maintained
his earlier contention that Bromwich J
knew or might have known something relevant to the Full Court appeal that was
not contained
in the material before the Full Court – for example,
knowledge about QYFM's criminal past that might have been relevant to
his future
in Burkina Faso in some particular way. But no such specific allegation was ever
made in this Court. In these circumstances,
and in short, the two proceedings
were fundamentally different in nature and content; they were not sufficiently
"related" to justify
recusal.
- The
fact alone that Bromwich J held the statutory office of the DPP at the time
of the conviction appeal requires no different conclusion.
The reasonable lay
observer can be taken to have a practical understanding of the different roles
that a prosecutor, and indeed any
barrister, might have had in a past life, as
distinct from his or her present duty of impartiality as a judge. Once again,
more than
this would be needed to demonstrate the required "logical
connection".
- Whilst
a judge must exercise prudence in deciding whether or not to sit in a given
case, he or she also has a duty to decide cases
allocated to him or her. That
duty should not be displaced without good cause; it cannot be set aside because
of merely superficial
appearances[271]. As
Gleeson CJ, McHugh, Gummow and Hayne JJ observed in
Ebner[272]:
"Judges
have a duty to exercise their judicial functions when their jurisdiction is
regularly invoked and they are assigned to cases
in accordance with the practice
which prevails in the court to which they belong. They do not select the cases
they will hear, and
they are not at liberty to decline to hear cases without
good cause. Judges do not choose their cases; and litigants do not choose
their
judges. If one party to a case objects to a particular judge sitting, or
continuing to sit, then that objection should not
prevail unless it is based
upon a substantial ground for contending that the judge is disqualified from
hearing and deciding the
case."
- Nothing
has occurred since the foregoing was written in 2000 that has in any way
diminished the judge's duty to decide cases allocated
to him or her. In that
respect, it might have been an easy solution for Bromwich J to have recused
himself simply because in the
past he had once been involved in QYFM's criminal
prosecution. But a judge's duty trumps such a facile observation. If that had
ever
been a sufficient basis for recusal, it would mean that Bromwich J
would necessarily be obliged to recuse himself in respect of any
matter
involving a party whom his Honour had previously prosecuted, regardless of the
nature of the proceeding, and regardless of
the circumstances of the previous
prosecution. But that is not the law. The issue of recusal relevantly turns upon
the particular
circumstances of each matter and each previous criminal
proceeding, and the need for there to be the "logical connection" described
above. Here, for the reasons given, there is no such connection. The two
proceedings are entirely distinct.
- I
would dismiss the appeal with costs.
- GLEESON J.
The proper administration of justice requires that a judge be, and be seen to
be, an independent and impartial decision
maker, able and willing to decide the
case before them on its legal and factual
merits[273]. Consequently,
a judge is disqualified from sitting on any case where they are unable to decide
the case on its merits because of
actual bias, or where there is a "reasonable
apprehension of bias" in relation to that
judge[274].
- QYFM's
case is that Bromwich J ("the judge") was affected by a reasonable
apprehension of bias that disqualified him from sitting
on QYFM's appeal
concerning the cancellation of his visa ("visa appeal"). QYFM argued that the
reasonable apprehension of bias arose
because the public could not see the judge
to be an independent decision maker. In this context, "independent" means free
from the
influence of others. Most prominently, judicial independence is
concerned with independence from the Executive arm of
government[275], but it
also extends to independence from the range of possible influences that might
affect a judge's capacity to perform the judicial
role in an impartial manner.
- How
is a decision to be made about whether justice will be seen to be done in a
particular case? Since the question is concerned
with public perceptions, the
decision is not made by reference to a judge's own view of the
matter[276]. Instead, this
Court has developed the principle that a judge will be disqualified from hearing
a case where a "fair-minded lay observer"
might reasonably apprehend that the
judge whose independence or impartiality is challenged might not bring an
impartial mind to the
resolution of the question that the court is required to
decide[277] ("the
apprehension of bias principle"). The perspective of this fair-minded lay
observer is supposed to avoid a difficulty on the
part of some judges to
recognise that they might reasonably be perceived to be affected by bias in a
particular case. I say more
about the fair-minded lay observer below.
- QYFM's
visa appeal, heard by a Full Court of the Federal Court of Australia, concerned
the cancellation of his
visa[278] following his
criminal conviction for importation of a marketable quantity of a
border-controlled
drug[279]. QYFM argued that
the judge was disqualified from hearing the visa appeal because, in his former
role as Commonwealth Director of
Public Prosecutions ("CDPP"), the judge had
appeared before the Victorian Court of Appeal some seven years earlier in
opposition
to QYFM in QYFM's appeal against conviction ("conviction appeal"). As
CDPP, the judge was successful in this opposition, and QYFM's
conviction was
upheld. By the time of the visa appeal, QYFM had admitted the underlying
offence.
- QYFM
argued that the Full Court as constituted, including the judge, could not be
seen by the public to be independent because of
the causal connection between
the conviction appeal and the visa appeal. The causal connection involved the
following several steps.
The sentence imposed in respect of QYFM's conviction
required the cancellation of his visa following amendments to the Migration
Act 1958 (Cth) in December
2014[280], unless the
cancellation was
revoked[281]. A delegate of
the Minister refused to revoke the cancellation of QYFM's visa. The delegate's
decision was affirmed by the Administrative
Appeals Tribunal, following a review
of the decision on the merits. A judge of the Federal Court of Australia
dismissed QYFM's application
for judicial review of the Tribunal's decision.
QYFM appealed from that decision to the Full Court. In this Court, senior
counsel
for QYFM invoked the metaphor of a track from the conviction towards
deportation from Australia, along which QYFM had legal claims
that might secure
the preservation of his visa and prevent his deportation. Along the track, one
junction was the conviction appeal;
the visa appeal was a further junction along
the same track.
- For
the following reasons, the apprehension of bias principle did not apply to
disqualify the judge. Accordingly, the appeal should
be dismissed with
costs.
The Ebner framework for identifying a reasonable
apprehension of bias
- In
Ebner v Official Trustee in
Bankruptcy[282],
this Court established a framework for the application of the apprehension
of bias principle in any case. That framework requires:
(1) the identification
of "what it is said might lead a judge ... to decide a case other than on its
legal and factual merits"; and
(2) an articulation, and not mere assertion, of a
"logical connection between the matter [identified at (1)] and the feared
deviation
from the course of deciding the case on its
merits"[283]. The
articulation of the asserted logical connection is necessary to assess the
reasonableness of the asserted apprehension of bias
from the perspective of the
fair-minded lay
observer[284].
- Ebner
concerned two cases in which the trial judge had a small shareholding in a
bank which either was one of the parties to the litigation
or had a financial
interest in the
litigation[285]. Noting
that cases of "interest" and "association" with a party or some other person
concerned with the case often
overlap[286], the plurality
stated that "the question must be how it is said that the existence of the
'association' or 'interest' might be thought
(by the reasonable observer)
possibly to divert the judge from deciding the case on its
merits"[287]. "[T]he bare
identification of an 'association' will not suffice to answer the relevant
question."[288] Later in
their reasons, the plurality reiterated that "[t]he apprehension of bias
principle requires articulation of the connection
between the asserted interest
and the disposition of the cause which is
alleged"[289].
- The
framework was applied in Ebner to conclude that the judges' respective
shareholdings did not give rise to a reasonable apprehension of bias in either
case. The question
was approached on the basis that the only factual issue to be
explored was whether there was a realistic possibility that the outcome
of the
litigation would affect the value of the relevant judge's
shareholding[290]. In each
case, the answer was no. The plurality noted the absence of any suggestion that
either judge had any interest in the outcome
of the case other than its possible
effect on the value of their
shares[291].
- Acknowledging
that the question of whether the judge had any interest in the outcome of the
visa appeal is not the ultimate question,
and that the meaning of "interest" is
protean[292], it is
nonetheless notable that QYFM did not suggest that the fair-minded lay observer
might think that the judge had any specific
interest – financial,
ideological or otherwise – in the outcome of the visa appeal.
- Finally,
in Ebner, the plurality reaffirmed the prohibition upon a judge
sitting in a case to which they are a party as a rule which may have
significance
apart from the apprehension of bias
principle[293]. Although
QYFM sought to compare the position of the judge in this case to that of a judge
who is sitting on their own cause, the
comparison is wrong. The judge was not a
party to the visa appeal; the respondent Minister was not the judge's alter ego;
the judge
was not a necessary or proper party to the visa appeal; the judge was
not the moving party to the refusal to revoke the cancellation
of QYFM's visa;
and the judge's apparent lack of interest in the outcome of the visa appeal
reinforces the inaptness of the comparison.
QYFM's principal
case: automatic disqualification or presumption of disqualification for apparent
want of judicial independence
- Despite
Ebner, QYFM's principal argument was that his case did not require
articulation of a logical connection in accordance with the second step
of the
established framework. Instead, he argued that his case fell into a category of
cases preserved by Ebner, to which he referred as "incompatibility of
roles", that could be decided by reference to a rule or, at least, a presumption
of
apprehended bias.
- The
rule proposed by QYFM was that where the prosecutor and accused in one
proceeding are judge and party in a second proceeding,
and the second proceeding
has arisen or resulted in any way from the outcome of the first, the judge must
be disqualified for an
apparent lack of independence. QYFM proposed that the
Ebner framework must be modified in such a case because "the public would
just expect independence". In those cases, there was no "need
to ... articulate
something like the logical connection in the second limb of Ebner".
Alternatively, QYFM contended that Isbester v Knox City
Council[294] was
authority for a presumption that the second step of the Ebner framework
is satisfied in those circumstances.
Judicial
independence
-
Given the way QYFM put his principal case, it is appropriate to say something
about judicial independence. The expectation of litigants
and the community that
a judge will be independent of the parties before the court is
axiomatic[295]. Writing
extra‑curially, Sir Gerard Brennan explained that judicial independence
"must be predicated of any influence that might tend, or be thought
reasonably to tend, to a want of impartiality in
decision-making"[296]. He
acknowledged the possibility of subconscious influences, saying:
"Perhaps the independence that is most difficult for a judge to achieve is
independence from those influences which unconsciously
affect our attitudes to
particular classes of people. Attitudes based on race, religion, ideology,
gender or lifestyle that are irrelevant
to the case in hand may unconsciously
influence a judge who does not consciously address the possibility of prejudice
and extirpate
the gremlins of impermissible discrimination. Such gremlins are
not extirpated by mere declaration. Indeed, too vocal a judicial
protest of
impartiality may bespeak an overreaction to prejudice in one direction by
forming a prejudice in the other. Or it may
indicate a failure to employ that
worldly wisdom which permissibly takes account of differences that are relevant
for some purposes
but irrelevant for others."
- Judicial
independence does not demand a mindset of impeccable
neutrality[297]. Thus, bias
has been described as a "favorable or unfavorable disposition or opinion that is
somehow wrongful or inappropriate, either because it is
undeserved, or because it rests upon knowledge that the subject ought not to
possess ... or because it is excessive
in
degree"[298]; and as a
"predisposition or prejudice against one party's case or evidence on an issue
for reasons unconnected with the merits of
the
issue"[299].
- In
some circumstances, independence is distinguished from impartiality as a
"structural or institutional framework which secures
...
impartiality"[300]. A
similar distinction was adopted by Kiefel CJ and Gageler J in the
context of an administrative decision maker in CNY17 v Minister for
Immigration and Border Protection in the following
terms[301]:
"The requisite independence is decisional independence, most importantly from
influence by the Secretary or the Minister. The requisite
impartiality is
objectivity in the finding of facts, in the exercise of procedural discretions,
and in the application of the applicable
legislated criteria for the grant or
refusal of a protection visa."
Incompatibility of roles
- This
case is far removed from previous cases about incompatible roles, a concept that
was first explained by Isaacs J in Dickason v
Edwards[302]. In
that case, Isaacs J derived a principle from "sets" of cases
involving instances of incompatibility
whereby[303]:
"if the person whose presence [at deliberations of a judicial tribunal] is
challenged can fairly be said to be biassed, either by
reason of his necessary
interest or by reason of some pre-determination he has arrived at in the course
of the case, then he ought
not to act unless there is something to relieve him
from these disqualifications".
- The
instances referred to by Isaacs J concerned the simultaneous occupation of
roles[304], that is, where
a member of a judicial tribunal was disqualified for incompatibility because
they also occupied "some other position
which he really [had] in the
case"[305]. Related
principles are that the same person cannot be accuser and judge in judicial
proceedings[306] and that a
judge is disqualified from deciding a case to which that judge is a
party[307]. A more
distantly related principle is that a decision will be affected by apprehended
bias where it is made in the presence of a
person disqualified from
participating in the decision, even though that person did not participate in
the deliberations or
decision[308].
- In
Dickason, the plaintiff, a member of a friendly society regulated
by statute, was accused of insulting the District Chief Ranger of the
society[309]. The District
Chief Ranger then presided as chairman of the committee which heard the charge
brought against the plaintiff, as a
result of which the plaintiff was expelled
from membership of the
society[310]. As the
District Chief Ranger was the person "complaining of a grievance",
Griffith CJ concluded that the Ranger's membership of
the committee that
tried the case vitiated the committee's proceedings, even though he did not take
any substantive part in the
proceedings[311].
O'Connor J considered it "impossible to say, under these circumstances,
that the man who was actually the prosecutor, not in the
interest of the Society
merely, but prosecutor in a charge of using abusive language concerning himself
personally, could escape
from being reasonably and substantially suspected of
bias"[312]. Isaacs J
considered that the District Chief Ranger must have "formed a predetermination"
about the plaintiff's conduct and was disqualified
by reason of that
predetermination[313].
- In
Stollery v Greyhound Racing Control
Board[314], the manager
of a greyhound racing association accused a greyhound owner of attempting to
bribe him, and reported the incident to
the respondent Board. The manager was
also a member of the Board which then held an inquiry in response to his
complaint. The manager
took no active part in the deliberations, but presented a
report at the inquiry and remained in the room while the deliberations
and
decision took place[315].
This Court unanimously concluded that the Board's decision to disqualify the
greyhound owner for 12 months should not be allowed
to stand. Barwick CJ,
with whom McTiernan J
agreed[316], explained that
a reasonable person "could very properly suspect that the clear opportunity
which [the manager] had for influencing
the decision of the Board might well
have been used"[317].
Barwick CJ also referred to R v Sussex Justices; Ex parte
McCarthy[318], in which
the King's Bench Division found a "manifest contradiction" in the "twofold
position" of the roles of the deputy clerk to
the justices who heard a criminal
matter against the applicant arising out of a motor vehicle collision. In that
case, the deputy
clerk's role required him to retire with the justices to be
available to advise them on points of law, while he was also a partner
of a firm
of solicitors engaged in proceedings for damages against the applicant in
respect of the same
collision[319].
- Similarly,
Gibbs J, with whom Stephen J
agreed[320], considered
that "[t]he very presence of a person who has brought forward a complaint may,
even unconsciously, inhibit the discussions
and affect the deliberations of the
other members of the
tribunal"[321].
Menzies J relied on other factors, considering that the manager had a
"personal interest in the outcome of the proceedings" and
had "formed a
conclusion, adverse to the [greyhound owner]", which was enough to vitiate the
Board's decision, "whether or not his
presence did in fact influence" its
decision[322].
- In
Isbester[323], this
Court extended the concept of incompatibility of roles to roles that did not
coexist. In this wider sense, the question of
incompatibility concerned the
"interest"[324] or "frame
of mind"[325] that a
decision maker may have acquired in an earlier role, with the result that the
fair-minded lay observer might reasonably apprehend
that their capacity to bring
an impartial mind to bear in a different role was compromised.
- The
plurality identified, as instances of incompatibility, the case of a prosecutor
or other accuser bringing charges, who may have
an interest in the outcome of
the hearing of the charges, and who also has a role of deciding the charges or
any consequential matters.
Their Honours observed that it could "scarcely be
doubted" in that case that the prosecutor of criminal charges against a dog
owner
had a similar interest in the outcome of the charges to the moving parties
in Dickason and
Stollery[326],
and that her involvement in the prosecution of the charges created an
interest in the final outcome of the matter, being a subsequent
decision to
destroy the dog the actions of which had given rise to the criminal
charges[327]. In reaching
that conclusion, the plurality noted that the briefs of evidence for the
criminal proceeding were provided to the decision
makers for the destruction
decision[328]. Their
Honours also observed that the prosecutor was the "moving force" for the
destruction decision, including by supplying evidence
to the decision
makers[329].
- The
plurality referred to a prosecutor's possible interests in vindication of their
opinion that an offence has occurred or that
a particular penalty should be
imposed, or in obtaining an outcome consonant with the prosecutor's view of
guilt or punishment[330].
"[O]nce the interest is identified as one which points to a conflict of
interest, the connection between that interest and the possibility
of deviation
from proper decision-making is
obvious."[331]
- Gageler J
analysed the matter differently, stating the following conception of
incompatibility of roles in the same or related
proceedings[332]:
"[A] person who has been the adversary of another person in the same or
related proceedings can ordinarily be expected to have developed in that
role a frame of mind which is incompatible with the exercise of that
degree of neutrality required dispassionately to weigh legal, factual and
policy considerations relevant to the making of a decision which has the
potential
adversely to affect interests of that other person."
- It
is significant that this conception was, to Gageler J, limited to the case
of an adversary in "the same or related proceedings".
There is no reason to
apprehend that a former adversary might have the posited frame of mind in some
unrelated context. While his
Honour did not elaborate on the nature of an
adversarial frame of mind, in relation to a prosecutor of the same or related
proceedings
the reference to "neutrality" is more directed to the question of
impartiality than the question of independence. In Isbester, the
prosecution of charges against the dog owner was plainly related to the council
proceedings concerning the dog's future. In that
context, it seems obvious that
the fair-minded lay observer might reasonably apprehend that the prosecutor
might have a mental outlook
that could be characterised as an adversarial frame
of mind incompatible with the role of impartial decision maker as to the
possible
destruction of the very dog whose behaviour had led to the prosecution.
No automatic or presumed disqualification
- As
explained by Kiefel CJ and Gageler J, there is no rule of automatic or
presumed disqualification for apprehended bias on the basis
of incompatible
roles, as such a rule would be irreconcilable with Ebner. Ebner
states clearly that the general test for apprehended bias applies to
"problems of apprehended bias, whether arising from interest,
conduct,
association, extraneous information, or some other
circumstance"[333]. Of
course, there will be cases where a reasonable apprehension of bias will readily
be found by the application of the two-step
framework in Ebner. For
example, a judge's personal interest in the outcome of a case will ordinarily
result in disqualification because of the obvious
possibility that the judge
might decide the case in a way that protects or promotes the personal interest.
The personal interest
provides a logical basis for a fear of bias. The logical
connection between the interest and the fear of bias is the general human
tendency to act in accordance with one's own personal interests. The fact that
the second step of the framework, and the reasonableness
of the apprehension,
are easily assessed does not mean that it is unnecessary to undertake the
analysis.
Applying the Ebner framework in this
case
QYFM's alternative cases
- QYFM
did not develop an alternative argument that sought to apply the framework
established in Ebner. However, his case assumed that the first step in
that framework was satisfied by the asserted incompatibility of the judge's role
on the visa appeal with his earlier participation in the conviction appeal. As
to the second step, and although not explicitly articulated,
the logical
connection between the asserted incompatibility of the judge's roles and the
fear that the judge might not decide the
visa appeal on the merits appeared to
be that the earlier role gave rise to an apprehension of a lack of independence
on the part
of the judge from the Minister.
- QYFM
also contended that his case could be articulated by reference to the
proposition, stated by Gageler J in
Isbester[334],
that "a person who has been the adversary of another person in the same or
related proceedings can ordinarily be expected to have
developed in that role a
frame of mind which is incompatible with the exercise of [the requisite] degree
of neutrality". This case
did not suggest any predisposition towards the
Minister's success in the visa appeal; nor a predisposition to be influenced by
the
Minister in deciding the appeal. Nor was it suggested that the judge had any
personal interest in the outcome of the visa appeal,
such as a desire to
vindicate his earlier success in the conviction
appeal[335].
- Rather,
the apprehension concerned an unspecified unconscious bias, or an apprehension
that, having appeared against QYFM, the judge
might not be able to adopt a
mindset of impeccable neutrality. Put in these terms, the apprehension is not
about a lack of independence
from any party to the visa appeal, or even from any
other part of the Executive or the Executive generally. Instead, the feared bias
must be said to arise from the fact of the judge's previous association with
QYFM through the conviction appeal, leading to a subconscious
aversion to QYFM,
or an apprehension that, having adopted an adversarial position against QYFM in
the past, the judge's attitude
towards QYFM might not now be sufficiently
dispassionate either generally, or in relation to the issues for decision in the
Full
Court.
The complexities of the fair-minded lay
observer
- The
fair-minded lay observer is a
construct[336] that is
intended to maintain public confidence in the administration of justice and
rejects any assumption that the public will accept
the subjective opinion of a
judge as to whether there is a reasonable apprehension of bias affecting that
judge[337]. This assumption
is rejected because the public is not assumed to believe that a judge is
necessarily the personification of a reasonable
person.
- The
construct of the fair-minded lay observer is aimed at precluding a judge from
making a subjective or idiosyncratic assessment
of a claim of apprehended bias,
and in particular an assessment that is predicated upon an "unrealistic
knowledge and understanding
of the culture and traditions of the legal
profession"[338] or
"insider's blindness"[339].
Public confidence in the judiciary is not advanced by attributing to the
fair-minded lay observer knowledge that ordinary experience
suggests would not
be known by the lay
observer[340].
- Accordingly,
the fair-minded lay observer will not have a detailed understanding of precise
ethical rules applying to judges, nor
the ethical rules that applied to the
relevant judge's prior conduct (such as while acting as counsel). Nor will the
fair-minded
lay observer know the personal characteristics, experience or
expertise of the
judge[341], except to the
extent that those matters form part of the material objective facts upon which
the claim of apprehended bias is to
be
decided[342]. However, the
fair-minded lay observer is attributed a knowledge of the actual circumstances
of the case[343].
Further[344]:
"[b]eing reasonable and fair-minded, the [fair-minded lay observer], before
making a decision important to the parties and the community,
would ordinarily
be taken to have sought to be informed on at least the most basic considerations
relevant to arriving at a conclusion
founded on a fair understanding of all the
relevant circumstances".
- From
this description, it is apparent that it is difficult to decide the knowledge to
be attributed to the fair-minded lay observer.
Further difficulties concern the
reasoning processes of the fair-minded lay observer. It has been suggested that
the fair-minded
lay observer (or at least the British equivalent) is "a paragon
of balance, virtue and
wisdom"[345]. Being
fair-minded, the lay observer does not merely reflect public
opinion[346], nor do they
form an opinion based on matters of general impression.
- The
fair-minded lay observer is expected to make a judgement "in the context of
ordinary judicial practice" and is capable of taking
into account "the
exigencies of modern
litigation"[347].
- However,
probably the most important assumption to be challenged by a judge in adopting
the perspective of the fair-minded lay observer
is that their experience as a
"professional judge whose training, tradition and oath or affirmation require
[them] to discard the
irrelevant, the immaterial and the
prejudicial"[348] produces
the result that they are "more able than others to resist the likelihood of
bias"[349]. The fair-minded
lay observer accepts that a judge has that experience, but will be aware that it
should not be given undue
weight[350]. They will also
"be aware of the strong professional pressures on adjudicators (reinforced by
the facilities of appeal and review)
to uphold traditions of integrity and
impartiality"[351].
- The
construct of the fair-minded lay observer does not deny "the reality that it is
the assessment of the court dealing with a claim
of apparent bias that
determines that
claim"[352]. In any event,
a critical disposition and a cognition of human frailty are points that the
fair-minded lay
observer[353] and a judge
will ordinarily have in common. Both can be expected to be sensitive to the
position of the actual party who makes a
claim of apprehended bias. Neither can
reasonably be taken to think that deference to the judiciary is ingrained in the
Australian
community. Both can be expected to be cognisant of the possibility of
unconscious bias in a
judge[354]: Australian
judges are now educated on the
topic[355]. Both are
generally expected to strike an "appropriate balance between on the one hand
complacency and naivety and on the other cynicism
and
suspicion"[356]. In these
ways, the fair-minded lay observer construct will not necessarily require the
fair-minded judge to adopt a perspective
very different from their own. The
chief differences between them are that the fair-minded lay observer does not
rely on matters
that may be known or believed by a judge but not known or
believed by a member of the public, and is assumed to avoid "the risk of
having
the insider's blindness to the faults that outsiders can so easily
see"[357].
- The
fair-minded lay observer will appreciate that the mere fact that a judge, as a
barrister, had some connection with parties who
come before him or her does not
necessarily attract such a reasonable apprehension as to require the judge to
disqualify himself
or
herself[358]. In
considering whether a previous connection, with a party or between a judge's
involvement in two proceedings, creates the requisite
"logical connection" for
the purposes of the Ebner framework, the observer will consider all
features of the connection, including the nature, duration, intensity and
proximity of
the association between judge and
party[359]. Relevant
factors include: (1) whether the correctness or appropriateness of a
decision taken in earlier litigation by the judge,
then counsel, is in issue in
the case assigned to the judge, so that the judge is effectively being asked to
evaluate their own prior
conduct; (2) the commonality of facts, evidence
and remedies between the earlier litigation and the case assigned to the judge;
(3)
the passage of time between the earlier litigation and the case
assigned to the judge; and (4) any commonality between the parties
to the
earlier litigation and the case assigned to the judge.
Issues for
determination on the visa appeal
- The
Ebner framework cannot be applied without first identifying the issues
arising in the visa appeal, in respect of which there is an asserted
apprehension of bias. The visa appeal concerned the legality of a decision of
the Administrative Appeals Tribunal and, more directly,
the legality of a
decision of a Federal Court judge who had dismissed QYFM's claim that the
Tribunal's decision was not made according
to law. Accordingly, the visa appeal
did not require the Full Court to make any findings of fact. There were two
grounds of appeal,
which concerned whether: (1) the Tribunal's decision was
illogical, irrational and/or legally unreasonable; and (2) the Tribunal
made
findings for which there was no probative evidence.
- I
agree with Steward J as to the more specific facts on the visa appeal that
the fair-minded lay observer can be taken to know. None
of them involve matters
of knowledge peculiar to the judiciary, or matters beyond the appreciation of
the fair-minded lay observer.
Relationship between the judge and
the Executive: no apparent lack of independence
- QYFM
argued that the fair-minded lay observer would perceive the judge as a former
member of the Executive Government who had performed
"the prosecutorial function
of the Executive" and, specifically, a role adverse to QYFM's interests in the
conviction appeal. He
assumed that the observer would not know, or would not
find any significance in, the situation of the CDPP as a statutory office
holder
subject to significant protections around his independence from other members of
the Executive[360]. He did
not suggest that there was any reason to think that any member of the Executive
had ever attempted to influence the judge
in any way concerning QYFM, whether
about his prosecution, his conviction, his visa appeal or otherwise.
- QYFM
submitted that such an observer would not think that a former CDPP could never
be a Federal Court judge but would perceive a
lack of independence between the
role of "accuser for the Executive" and the role of a judge whose task is to
supervise the legality
of the decision by the Executive not to revoke the visa
cancellation. This claim was remarkably non-specific and failed to identify
any
existing influence, conscious or unconscious, that might fairly be thought to
affect the judge as a result of his former role
as CDPP generally, or his
participation in QYFM's conviction appeal specifically. Without more, there was
no reason for the fair-minded
lay observer to conclude that the judge was
affected by any possible lack of independence from the parties to the visa
appeal or
any influence that might affect his disposition of the visa
appeal.
- In
any event, the fair-minded lay observer would not perceive either of the judge's
roles in the simplistic terms posited by QYFM.
Those terms ignore, in the first
place, the statutory role of the CDPP and the legal protections of the
independence of the CDPP
from other members of the Executive; and, in the second
case, the statutory role of the Tribunal, the decision of which was under
challenge. While the fair-minded lay observer might not have an understanding of
the minutiae, general knowledge of these matters
is not beyond the appreciation
of the fair-minded lay observer.
No reasonable apprehension of
bias based on the judge's prior negative association with QYFM
- As
judges are commonly appointed from the legal profession, it is not unusual for a
judge to be allocated a case in which a party
is a former client. This will
particularly be the case for judges who are appointed from the criminal Bar or
who were briefed by
persons or bodies that form part of the Executive. In that
context, issues may arise about whether a judge might have a disqualifying
"frame of mind", of the kind described by Gageler J in
Isbester[361].
Another issue that may arise is whether a judge has been privy to extraneous
information that might improperly influence their decision-making.
That was the
basis of the application for the judge's recusal before the Full Court, but it
was not reagitated in this Court.
- For
the reasons explained above, there was no reasonable basis for an apprehension
by the fair-minded lay observer that the judge
might have had a predisposition
in favour of the Minister. However, it is necessary to ask the obverse question,
namely, whether
the fair-minded lay observer might reasonably have thought that
the judge might have a predisposition against QYFM by reason of their
prior
association in the conviction appeal.
- In
the absence of any suggested interest on the part of the judge in the outcome of
the visa appeal; any prior conduct said to found
an apprehension of prejudgement
by the judge of the issues in that appeal; or any suggestion that the judge had
any extraneous information
that might influence his decision-making process, the
question comes down to whether the bare fact of the judge's participation in
the
conviction appeal gives rise to a reasonable apprehension of bias. This requires
asking the following question, applying the
second step of the Ebner
framework: is there a "logical connection" between the judge's participation
in the conviction appeal and the feared deviation from
the course of deciding
the visa appeal on its merits? It is then necessary to consider whether any such
connection is reasonable
from the perspective of the fair-minded lay
observer.
- The
nature of the association between the judge and QYFM was as adversaries. They
were adversaries in a conviction appeal in which
QYFM failed, and in respect of
an offence which QYFM now admits. The sole issue on the conviction appeal was a
legal question concerning
the admissibility of evidence of that admitted
offence. The judge's involvement in the conviction appeal occurred seven years
before
the visa appeal was listed for hearing. The sentence imposed in respect
of QYFM's conviction led to the cancellation of his visa.
The visa appeal
concerned the legality of a decision of the Tribunal in connection with the visa
cancellation, and of the Federal
Court on review of that decision, and neither
decision raised any issue about the conviction or the conviction appeal. There
was
no issue on the visa appeal relating to the "wisdom, reasonableness or
appropriateness"[362] of
the judge's conduct while CDPP, nor of the conviction. All of these matters are
knowledge that can reasonably be attributed to
the fair-minded lay
observer.
- The
following matters tell against any reasonable apprehension of the asserted bias:
first, the supposed nature of the bias is an
undefined subconscious mindset
suggested to be the natural consequence of an occasion seven years earlier. The
fact that bias might
be thought to be unconscious does not mean that its
existence can be accepted without identification of its nature (whether racism,
bigotry, sectarianism, ageism or some other bias). QYFM also did not identify
any form of memory or recollection which might be prompted
on reading the appeal
papers which reasonably could affect the disposition of the visa appeal. Second,
beyond the judge's participation
in the conviction appeal, QYFM identified no
particular event or information as productive of the supposed mindset. Third,
the role
of the CDPP is affected by special duties of
fairness[363] that the
fair-minded lay observer can be taken to know, if only at a high level of
generality. A mindset of fairness is incompatible
with a mindset of partiality.
Assuming in QYFM's favour that the CDPP might not have maintained a mindset of
fairness during the
conviction appeal despite his statutory and ethical duties,
the possibility that he might have developed an unfavourable mindset
and
retained it over many years, or even regained the mindset after that passage of
time, is not reasonable. Fourth, the mindset
is suggested to have arisen in
proceedings that were concluded favourably to the CDPP as prosecutor, so that
there is no suggestion
of a grievance towards QYFM. Rather, the apprehension
concerned an unspecified unconscious bias or an apprehension that, having
appeared
against QYFM, the judge might not be able to adopt a mindset of
impeccable neutrality in the visa appeal.
- In
my view, it is very unlikely that the fair-minded lay observer would consider
the bare fact of the judge's participation in the
conviction appeal to be a
possible threat to his neutrality in the visa appeal. However, accepting that
possibility, QYFM has failed
to articulate a logical connection between that
participation and the requisite fear that the judge might not decide the visa
appeal
on its merits. Not only has QYFM failed to identify a reasonable basis
for apprehending that the judge had any particular state of
mind resulting from
his participation in the conviction appeal, but he has failed to articulate how
that state of mind would impinge
upon the visa appeal, concerned as it was with
the legality of the decision of the court below. The possibility of an
adversarial
frame of mind (whatever that might mean) that either might have
survived seven years, or might have been reignited when the judge
considered the
visa appeal, is no more than speculation.
- As
to the possibility of an adverse attitude towards QYFM, either surviving or
reignited, there is nothing to suggest that any negativity
would be greater than
or different from that which would reasonably arise on reading the appeal papers
in the visa appeal, setting
out, as they did, full details of QYFM's failure of
the "character test" in s 501(3A) of the Migration Act 1958 (Cth)
and other matters to his discredit, recorded by Steward J. These are
matters that the fair-minded lay observer can be expected
to know. They include
unchallenged findings that: (1) the nature of QYFM's offending was "very
serious" and included the use of his
mother-in-law as an "unwitting ... drug
mule"; (2) the jury trial and the conviction appeal would have been
unnecessary "if QYFM
[had been] truthful about his guilt"; (3) QYFM
presented "bogus" evidence to the Tribunal; (4) there was a "real and
unacceptable
risk" that QYFM would reoffend if released, which was a matter that
weighed "very substantially" against revocation of the decision
to cancel QYFM's
visa; and (5) in the Tribunal's view, the expectations of the Australian
community were also matters that weighed
very substantially in favour of
non-revocation.
- Accordingly,
this is not a case in which the fair-minded lay observer might reasonably have
contemplated that the judge might not
bring to the resolution of the issues
before the Full Court a disqualifying "frame of mind".
Conclusion
- I
would dismiss the appeal with costs.
- Finally,
and noting that it is unnecessary to express an opinion as to the questions
raised about the practice of multi-member judicial
panels faced with an
application for disqualification of one of its members, I prefer not to address
those questions in the face
of possible law reform.
JAGOT J.
Disposition
- This
appeal should be allowed. A member of the bench of the Full Court of the Federal
Court of Australia which decided the appeal
was subject to a reasonable
apprehension of bias. Accordingly, the orders of the Full Court dismissing the
appellant's appeal are
vitiated. My reasons follow.
Apprehended
bias – an excursus
- Judicial
decision‑makers must be, and must be seen to be, impartial and
independent. These are constitutive elements of the
"skeleton of
principle"[364] which
shapes the common law of Australia. In ensuring that justice is seen to be done,
the law insists that the relevant perspective
is not that of judges or lawyers.
The relevant perspective is that of the "fair‑minded lay
observer"[365]. This
hypothetical observer is taken to be a representative of the Australian public,
the continuing confidence of which in the rule
of law is secured, in part, by
acceptance that judicial decisions are made by impartial and independent judges
doing "right to all
manner of people according to law without fear or favour,
affection or ill
will"[366].
- The
test for apprehended bias is not in doubt. The test is whether "a
fair‑minded lay observer might reasonably apprehend that
the judge might
not bring an impartial mind to the resolution of the question the judge is
required to decide"[367].
If so, the judge is disqualified from deciding the matter.
- The
apparent clarity of the test does not mean that its application in any given
case is incontestable. This follows from: (a) the
potentially infinite
circumstances in which the issue might arise for determination; (b) the
fact that the construct of the fair‑minded
lay observer functions as a
proxy for reasonable members of the public at large, reflecting contemporary
values and judgments; and
(c) the evaluative boundaries which shape
elements of the test, including the construct of the fair‑minded lay
observer, the
attribution of knowledge to that construct, and the reasonableness
of any apprehension of a genuine risk of lack of impartiality
or independence in
the circumstances.
- To
these considerations must be added other dimensions.
- A
judge who is subject to a reasonable apprehension of bias in respect of a matter
is disqualified from deciding that matter. But
a judge who is not so
disqualified generally has a duty to hear and decide the matters assigned to
that judge (referred to as the
"duty to
sit"[368]). A further part
of the judicial oath or affirmation is that the judge must "well and truly
serve" the current sovereign, and their
heirs and successors. Such service is
performed by discharging the functions of judicial office. If, from a judge's
too ready acceptance
of spurious or ill‑considered applications for
disqualification for apprehended bias, a party could influence the constitution
of the court, another source of apprehended bias would arise – a prospect
which has been described as
"intolerable"[369].
Accordingly, judges are mindful that "[d]isqualification on trivial grounds
creates an unnecessary burden on colleagues, parties
and their legal advisers"
and that they must "be careful to avoid giving encouragement to attempts by a
party to use procedures for
disqualification illegitimately, such as in an
attempt to influence the composition of the bench or to cause
delay"[370].
- In
applying the test for apprehended bias, with its "double
might"[371] components, a
judge must be faithful to their judicial duty to discharge the functions of
their judicial office. This duty to sit
underlies such statements as that:
(a) it "would be an abdication of judicial
function"[372] for a judge
to adopt the approach that the judge will not sit if a party requests the judge
not to do so on the ground of apprehended
bias; (b) "[a]lthough it is
important that justice must be seen to be done, it is equally important that
judicial officers discharge
their duty to
sit"[373]; and (c) a
conclusion of apprehended bias "must be firmly established and should not be
reached lightly"[374].
- Yet
the intensity and demands of this duty of judicial office may also yield to
circumstance. The duty to sit is not absolute, even
where no reasonable
apprehension of bias is involved. Accordingly, in "a case of real doubt, it will
often be prudent for a judge
to decide not to sit in order to avoid the
inconvenience that could result if an appellate court were to take a different
view on
the matter of
disqualification"[375].
This reflects the fact that, along with their duty to sit, a judge has a duty to
ensure continuing public confidence in the administration
of justice. Generally,
the latter duty is best fulfilled by judges adhering to the former duty unless
they are disqualified from
so doing on a proper basis (be it a reasonable
apprehension of bias or actual bias). But if tension between these two duties
exists
and is irreconcilable, the latter must prevail.
- While
the nexus of factors relevant to an evaluation of these duties may be different
before and after the commencement of a hearing
of the substantive issues, the
duties continue throughout a judge's involvement in a matter. They do not cease
on the judge commencing
the substantive hearing. And if circumstances thereafter
change, a judge who has not disqualified themselves for bias (apprehended
or
actual) may have a duty to reconsider the issue or, at the least, to make
further disclosure to the parties of the changed circumstances
and hear further
argument on the issue. This prospect should not be seen as potentially
undermining public confidence in the administration
of justice. To the contrary,
the continuation of these duties, and the potential that a judge might properly
change their mind about
an issue of bias if further information comes to light
or new circumstances arise, should be understood as enhancing such confidence.
- Consistently
with this, it has been said that the circumstances in which a judge may properly
decide not to sit by reason of an arguable
apprehension of bias may vary and
"may include such factors as the stage at which an objection is raised, the
practical possibility
of arranging for another judge to hear the case, and the
public or constitutional role of the court before which the proceedings
are
being conducted"[376]. But,
of course, any judge who concludes that they are affected by bias (apprehended
or actual) in respect of a particular matter
must disqualify themselves and must
not sit.
- This
nuanced approach reflects that, although the test for apprehended bias involves
a question of law to be determined objectively,
the test involves an evaluation
of questions "of degree and particular circumstances [which] may strike
different minds in different
ways"[377].
- These
considerations are relevant to the resolution of both questions in this appeal.
The first, the dispositive question, is whether
a member of the Full Court
hearing the appeal was subject to a reasonable apprehension of bias. The second
is whether the Full Court
erred in adopting a process whereby the judge the
subject of the allegation of apprehended bias decided that issue. As will be
explained,
I would answer these questions "yes" and "no" respectively.
The present case – a reasonable apprehension of
bias?
- The
primary judge (Kerr J) had dismissed the appellant's judicial review
application on 18 December
2020[378]. In that
application, the appellant alleged that a decision of the Administrative Appeals
Tribunal ("the AAT") was invalid by reason
of jurisdictional error because of a
lack of procedural fairness. The AAT had affirmed a decision of a delegate of
the Minister not
to revoke the mandatory cancellation of the appellant's visa,
which was consequential on the appellant having been convicted and
sentenced to
a term of imprisonment of 12 months or more and thereby failing the
"character test" under the Migration Act 1958 (Cth).
- The
appellant appealed to the Full Court. On 23 July 2021, the parties were
notified of the constitution of the Full Court (McKerracher,
Griffiths and
Bromwich JJ) for the hearing of the appeal on 17 August
2021[379]. By the time an
amended notice of appeal was filed on 2 August 2021, the appellant had
legal representation. In all Court documents,
as required, the appellant was
identified only by
pseudonym[380]. The appeal
papers included the reasons for sentence of the appellant in the County Court of
Victoria and reasons for judgment of
the Court of Appeal of the Supreme Court of
Victoria dismissing the appellant's appeal against conviction in 2014. The
Victorian
Court of Appeal had rejected the appellant's contention of wrongful
conviction based on the alleged wrongful admission of evidence.
This was the
conviction that caused the cancellation of the appellant's visa.
- The
judgment of the Victorian Court of Appeal also disclosed that Bromwich J,
in his former capacity as the Commonwealth Director
of Public Prosecutions,
appeared for the respondent, the Crown, defending the appeal. Bromwich J
apparently discovered this document
on the morning of the hearing. Before this,
neither party had communicated to the Full Court any concern about the
constitution of
the Court.
- Shortly
before the scheduled commencement of the hearing, Bromwich J arranged for
an email to be sent to the parties informing them
that he "appeared for the
Crown in the appellant's unsuccessful conviction appeal before the Victorian
Court of Appeal on 12 August
2014". The email said that Bromwich J did not
"consider that this [was] a cause for apprehended bias because that appeal
related
to a pure legal question, but nonetheless ... [wished] to raise it with
the parties in order that any application for his Honour
to recuse himself
[could] be made". This disclosure was necessary and appropriate as the
circumstances meant that a genuine question
of apprehended bias had arisen, and
it was unclear whether the parties were aware of that fact. "[P]arties should
always be informed
by the judge of facts which might reasonably give rise to a
perception of bias or conflict of
interest"[381].
- At
the start of the hearing, and after dealing with some formal matters, the
presiding judge, McKerracher J, referred to the email
that Bromwich J
had caused to be sent to the parties that morning. In response, the appellant's
counsel said he had instructions
to apply for Bromwich J to recuse himself
and made short oral submissions to the effect that a reasonable apprehension of
bias arose
in the circumstances. McKerracher J said he would ask
Bromwich J to deal with the application. Bromwich J did so, giving
brief oral
reasons explaining why he declined to recuse himself. The hearing of
the appeal proceeded. The Full Court unanimously dismissed the
appeal[382]. McKerracher
and Griffiths JJ provided joint reasons for judgment which dealt with the
substantive grounds of appeal and not the
recusal application. Bromwich J
provided separate reasons for judgment which agreed with the reasons of
McKerracher and Griffiths
JJ and also explained why his Honour had rejected
the application that he recuse himself.
- In
his separate reasons, Bromwich J identified that the Minister, as
respondent to the appeal in the Full Court, opposed the application
for recusal
on the basis that the parties had known of the constitution of the bench from
23 July 2021 and, in any event, the appellant's
criminal conviction was not
in issue in the appeal as there was no dispute that the appellant did not pass
the "character test"[383].
Bromwich J said he refused to recuse himself as he did not consider there
was a proper basis to do so given, in effect: (a) as Commonwealth
Director
of Public Prosecutions, he appeared only in appeals on issues of principle and
had but a faint recollection of the facts
of the appellant's appeal against
conviction; (b) he had no knowledge of the appellant's other criminal
history; (c) his knowledge
was confined to the reasons for judgment of the
Victorian Court of Appeal and therefore was the same as that of the other
members
of the bench; and (d) given that there was no dispute that the
appellant failed the "character test", and given that his Honour's
knowledge was
no different from that of any other member of the bench, his appearance in the
Victorian Court of Appeal could not
be relevant to any issue before the Full
Court[384].
- It
is necessary to say something more about the appellant's conviction and the
"character test". The "character test" is a concept
created by the Migration
Act. The Minister must cancel a person's visa if, amongst other
requirements, the person does not pass the "character
test"[385]. A person does
not pass the "character test" if, relevantly, the person has a substantial
criminal record, which includes if a person
has been sentenced to a term of
imprisonment of 12 months or
more[386]. A person whose
visa has been the subject of mandatory cancellation because they do not pass the
"character test" may make representations
to the Minister about revocation of
the cancellation[387]. The
Minister may revoke the cancellation of the visa if satisfied that the person
passes the "character test" or "there is another
reason why the original
decision should be
revoked"[388]. If the
decision not to revoke the cancellation of the visa was made by a delegate of
the Minister, the person may apply to the AAT
for review of the
non‑revocation
decision[389]. The AAT may
affirm, vary, or set aside the decision and in so doing may exercise "all the
powers and discretions that are conferred
by any relevant enactment on the
person who made the
decision"[390]. The
jurisdiction of the Federal Court to review such a decision of the AAT, however,
is confined to review for jurisdictional
error[391].
- The
point Bromwich J was making about it being undisputed that the appellant
did not pass the "character test" was that the appellant
accepted that he did
not pass the "character test", and the appellant's case was confined to alleged
jurisdictional error by the
AAT in deciding if there was "another reason" why
the cancellation of his visa should be revoked. Accordingly, in the context of
the appeal before the Full Court, the appellant's conviction, while the cause of
the cancellation of his visa, was an undisputed
historical fact. On this basis,
it is apparent that Bromwich J was not persuaded that his appearance for
the Crown in the appellant's
appeal against conviction in the Victorian Court of
Appeal, and the asserted knowledge of the appellant's criminal history his
Honour
thereby acquired, bore a "logical
connection"[392] to a
reasonable perception that his Honour might do anything other than decide the
appellant's appeal to the Full Court on its merits.
- Bromwich J's
alleged knowledge of the appellant's criminal history was not the only factor
which might have had a "logical connection"
to an apprehended deviation from a
decision on its merits, by reference to which the reasonableness of that
apprehension was (and
is) to be
tested[393]. Rather, the
factors included that his Honour had appeared against the appellant in respect
of the very issue, the appellant's conviction,
which caused the cancellation of
the appellant's visa. Framed in this way, the logical connection between the
relevant factor (the
previous appearance by Bromwich J against the
appellant) and the "feared deviation from the course of deciding the case on its
merits"[394] is apparent.
It is logical that the fair‑minded lay observer might apprehend that
Bromwich J might not decide the appeal independently
and impartially
because the subject‑matter of the appeal was the legality of a decision
about the non‑revocation of the
cancellation of the appellant's visa, and
Bromwich J had appeared against the appellant to sustain the conviction
which caused the
cancellation of the appellant's visa. Further, the
reasonableness of this apprehension on the part of the fair‑minded lay
observer
is also apparent.
- It
is not that there is any class of case in which automatic disqualification must
follow. The approach in Ebner v Official Trustee in Bankruptcy (that the
test involves first "the identification of what it is said might lead a judge
... to decide a case other than on its legal
and factual merits", next "an
articulation of the logical connection between the matter and the feared
deviation from the course
of deciding the case on its merits", and then the
assessment of the "reasonableness of the asserted apprehension of bias") is to
be applied in all
cases[395]. But the result
may well be more readily apparent in some kinds of cases than
others[396].
- As
this Court has said, the conclusion that a judge, under the "pressure of a
possible need for immediate decision" and without the
luxury of full argument
and the kind of wisdom that hindsight brings, has erred in not disqualifying
themselves for apprehended bias
"does not involve any personal criticism of the
judge"[397]. Nor does it
involve any assessment of the judge's ability to have dealt with the case
"fairly and without pre‑judgment or
bias"[398]. The law so
closely guards the principle that justice must be seen to be done that the
relevant fact, in this context, is not lack
of impartiality. It is the
reasonable perception of the possibility of lack of impartiality that is
determinative.
- Isbester
v Knox City
Council[399] does not,
implicitly or otherwise, limit the potential scope of disqualification for
reasonable apprehension of bias to cases in
which the judge has had a role in
prosecuting a party in the same, related, or consequential proceedings. But nor
does every case
in which a judge has previously appeared or acted against a
person or their interests, even in a criminal context, necessarily give
rise to
a reasonable apprehension of bias. Such a conclusion would be contrary to
Ebner[400] and must
be rejected. In some cases, by reference to subject‑matter, time, and
role, the perceived connection between the judge's
previous involvement and the
case to be decided may be manifestly tenuous. Context is all.
- The
qualities attributed to the fair‑minded lay observer are important. For
example, a lawyer knows, or is taken to know, that
a prosecutor is subject to
unique duties. While the criminal trial process is accusatorial and adversarial,
a prosecutor must "act
with fairness and detachment and always with the
objectives of establishing the whole truth in accordance with the procedures and
standards which the law requires to be observed and of helping to ensure that
the accused's trial is a fair
one"[401]. A prosecutor
must not "obtain a conviction at all costs", but is to act as a "minister of
justice"[402] to ensure
that the "Crown case is presented with fairness to the
accused"[403]. A lawyer
might give significant weight to these factors in evaluating whether a judge who
has acted as a prosecutor in a criminal
trial or appeal against a person might
subsequently be able to decide a case involving that person. Similarly, the
effluxion of time
between the performance of the first and second functions and
the confined nature of judicial review for jurisdictional error may
be prominent
in an evaluation from a lawyer's perspective. That is not the relevant
perspective, however.
- Depending
on the circumstances, an institutional incompatibility of roles might reasonably
be seen by the fair‑minded lay observer
as involving a possible feared
deviation from a decision on the merits. In assessing such an issue from the
perspective of the fair‑minded
lay observer it is necessary to recognise
that this construct is intended to reflect the context of contemporary
Australian society.
Habits of deference to authority are no longer ingrained.
The vagaries of "human
frailty"[404], even in
those wielding power, are now accepted. The unknowable effects of the
subconscious are also acknowledged to
exist[405]. The
apprehension of the fair‑minded lay observer is informed by this context.
- Further,
while the overall context of the subsequent case will be relevant to the
fair‑minded lay observer, that person is
not to be attributed with a
"detailed knowledge of the
law"[406]. Once this is
acknowledged, the fact that the fair‑minded lay observer is taken to know
that a judge is a "professional ...
whose training, tradition and oath or
affirmation require [the judge] to discard the irrelevant, the immaterial and
the prejudicial"[407] does
not answer the reasonable apprehension of a possible lack of impartiality in
this case. Similarly, attribution to the notional
observer of knowledge of "the
nature of the decision and the context in which it was made ... [and] the
circumstances leading to
the
decision"[408], as well as
of "the context of ordinary judicial
practice"[409], also would
not quell the real possibility of the reasonable apprehension of bias in this
case. Here, the focus of the fair‑minded
lay observer would be that the
judge deciding whether a decision not to revoke the cancellation of the
appellant's visa is legal
is the same person who defended the conviction leading
to the cancellation of the appellant's visa. Put in these terms, the
reasonableness
of the fair‑minded lay observer's possible perception of a
genuine
"incompatibility"[410] of
roles is apparent.
- In
this case, the specific "twofold
position"[411] of
Bromwich J involves the "real and not
remote"[412] possibility of
a reasonable apprehension of bias on the part of the fair‑minded lay
observer. The nature and quality of the
connection between the two positions,
one involving the cancellation of the appellant's visa consequential on the
upholding of the
conviction sought by Bromwich J in the previous role, and
the other involving Bromwich J in deciding the legality of a decision not
to revoke that cancellation, gives rise to a reasonable apprehension of bias.
- Earlier
decisions on which the Minister relied, McCreed v The
Queen[413] and R v
Garrett[414], correctly
recognised that questions of apprehended bias depend on the
circumstances[415]. But it
is now apparent that McCreed v The Queen involved unjustified weight
being given to the passage of time between the judge acting as prosecutor and
the judge discharging his
judicial duty in circumstances where the offences,
although unrelated, were both serious and involved
violence[416]. And R v
Garrett involved applying the kind of practical considerations which a judge
may rightly consider in deciding not to sit to the reasonableness
of the
apprehension of the fair‑minded lay observer of a possible lack of
impartiality[417]. A
judge's decision not to sit may rightly be described as a "practical"
one[418]. A judge's
decision that the judge is not precluded from sitting by reason of apprehended
bias, however, involves the application
of an objective standard and is a
conclusion of law[419].
- For
the reasons given, the hearing before the Full Court miscarried on the basis
that one of the members of the bench was subject
to a reasonable apprehension of
bias.
- While
this is sufficient to dispose of the appeal, another issue has been the subject
of argument – in a multi‑member
bench, who
decides?
The multi‑member bench – who
decides?
- There
is a degree of artifice and unreality in the appellant's contention that the
Full Court erred in hearing the appeal "after
Bromwich J alone, rather than
the Full Court, determined a question of apprehended bias".
- If
Bromwich J was right that no reasonable apprehension of bias arose, the
Full Court had jurisdiction to hear and determine the
appeal. If not, then, as
concluded above, the Full Court did not have jurisdiction to hear and determine
the appeal. Accordingly,
the question who decides on a multi‑member bench
is incapable of affecting the substantive outcome on appeal.
- The
process undertaken by the Full Court in this case reflects a long‑standing
convention in Australia and some other common
law countries applied to issues of
bias (apprehended or actual) in both single judge and multi‑member bench
hearings. The determination
of any issue of bias by the judge against whom the
allegation is raised has been described as the "almost invariable
practice"[420] in (at
least) Australia and the United States. It has also been said that it is "well
established that it is for the judge assigned
to hear the matter in the first
place to determine whether he or she ought to withdraw on the ground of
ostensible bias"[421].
- It
is one thing to acknowledge that this judicial practice has been subject to
critical scrutiny by
academics[422], law reform
bodies[423], and some
former judges[424], and
even that the convention may no longer be
universal[425]. It is
another to conclude that a judge or court which adopts this convention has erred
in some way.
- In
the keystone authority in Australia of Ebner, when Callinan J raised
the issue of a judge other than the judge the subject of the bias allegation
deciding the issue[426],
four members of this Court described the conventional approach as
"correct"[427]. While the
context in Ebner was a hearing before a single judge and not a
multi‑member bench, if the principle is that the judge the subject of the
bias
issue must decide (as it was in Ebner), that principle holds good in
Australia for a multi‑member bench.
- The
approach the plurality described as "correct" in Ebner also accords with
the practice this Court in fact adopted in both Kartinyeri v The
Commonwealth[428] and
Unions NSW v New South
Wales[429]. I will
return to these examples below, but the present question concerns the foundation
for the view for which the appellant advocated,
that this well‑established
convention of judicial practice in Australia should now be said to be wrong in
respect of multi‑member
benches.
- The
apparent answer to this question is that the composition of a court by an
independent and impartial judge or judges goes to the
jurisdiction of the court,
which that court (however constituted) must decide for
itself[430]. Accordingly,
it is contended that if the court is constituted by a single judge, that judge
must decide any issue of bias. If the
court is constituted by a
multi‑member bench, all judges constituting the court must decide any
issue of bias. In the event
of disagreement in the latter case, it is said that
the majority decision prevails.
- I
disagree.
- Whatever
its origins, the conventional judicial practice does not deny that a court's
jurisdiction depends on the court being constituted
by an independent and
impartial judge or judges. The conventional judicial practice is only that, in
Australia, this issue of bias,
and its jurisdictional consequences, has been
(and, in my view, should continue to be) recognised to be of a unique kind, with
the
consequence that the judge the subject of the alleged issue of bias is to
decide the issue. This unique quality, and the broader
and deeper implications
it has for courts and judges, reinforces the two aspects of the convention which
are fundamental. First,
any issue of bias (apprehended or actual) is to be
determined by the judge said to be subject to disqualification. Second, and
equally
importantly, no other judge exercising co‑ordinate jurisdiction
(that is, jurisdiction in respect of the relevant matter at
the same level in
the judicial hierarchy) can gainsay that judge's decision. The jurisdiction of
the court as constituted rises or
falls on the decision of that judge.
- The
pithy statement of Jackson J (with which Frankfurter J concurred) in
the Supreme Court of the United States that there is "no
authority known to me
under which a majority of this Court has power under any circumstances to
exclude one of its duly commissioned
Justices from sitting or voting in any
case"[431] both is accurate
and involves a deep wisdom about common law courts as human institutions and
judges as human beings. The fact is
this – there is no authority in
Australia that the judge the subject of the alleged disqualification may not
properly decide
the issue and there is no authority that one or more judges
exercising co‑ordinate jurisdiction with another judge may prevent
that
judge from hearing a case. Mere disagreement with the conclusion reached by that
other judge said to be subject to disqualification
for bias, even if by a
majority of the judges constituting the multi‑member bench, is an unsound
basis for any such purported
exercise of judicial power against that other
judge.
- This
context is important. We are not dealing with an issue of the statutory power of
a Chief Justice or another judge (with authority
to do so) to manage and make
arrangements for the conduct of the business of a court. No doubt all courts
have internal administrative
and other arrangements to ensure, so far as
possible, that disputes about one or other judge being subject to an
apprehension of
bias are avoided. All this is proper. But sometimes the
resolution of the issue in open court by an exercise of judicial power cannot
or
should not be avoided. We are concerned only with such an exercise of judicial
power.
- In
this context, an exercise of judicial power, the judge the subject of the issue
of bias (apprehended or actual) should always
decide the issue whether the judge
is to sit, whether sitting as a single judge or as part of a multi‑member
bench. No other
judge exercising any form of co‑ordinate jurisdiction may
decide that issue. Nor, on a multi‑member bench, may any judge
prevent any
other judge from sitting by an exercise of judicial power. This is dictated by
well‑established convention. It
also results from the lack of any apparent
source of judicial power by judges exercising co‑ordinate jurisdiction to
make any
such order against the other judge.
- This
is not to suggest that there is no remedy for a party where a judge has refused
to disqualify themselves for apprehended or
actual bias. A judge who has refused
to disqualify themselves should make an order, if necessary, to enable any
appeal or other proceeding
challenging that decision to be instituted. An appeal
from such an order to a court exercising appellate jurisdiction, even if the
order is treated as interlocutory, or the seeking of a writ of prohibition from
a supervisory court, may be preferable to proceeding
with the substantive
hearing before that
judge[432]. But the proper
judicial remedy is not (or should not be) in the hands of the judge's judicial
colleagues exercising co‑ordinate
jurisdiction.
- The
consequence is that the approach taken by the Full Court in the present case,
where Bromwich J decided he was not disqualified
from sitting, which
McKerracher and Griffiths JJ did not question, was correct. If
Bromwich J had been required to make that decision
at an earlier time, it
might have been possible for the appellant to appeal (or seek leave to appeal)
or to seek a writ of prohibition.
But these possibilities do not mean such a
course would have been preferable in this case. This matter involved a short
hearing where
judgment was able to be delivered in a matter of weeks. The
objection having been taken, the appellant's capacity to seek special
leave to
appeal was preserved. The fact that the Full Court's order will be set aside in
this case does not imply that the current
system did other than work precisely
as it should.
- I
now identify the reasons the existing convention remains sound.
- First,
while the tests for apprehended and actual bias are different, they are sourced
from the same stream and therefore should
be dealt with in the same manner by
courts.
- Second,
in deciding any question of apprehended bias, the judge the subject of the issue
is best placed to fulfil a number of inter‑connected
functions, including:
(a) complying with the duty of disclosure to the parties, a duty which that
judge alone can discharge; (b)
applying the test for apprehended bias with
all knowledge then available; (c) weighing the outcome of the test for
apprehended bias
with the judge's other duties, including the duty to sit, not
to sit, and to maintain public confidence in the administration of
justice; and
(d) ensuring their capacity to sit in accordance with their judicial oath
or affirmation. Moreover, these duties are
not to be assessed in isolation from
each other. Each informs the others.
- This
second consideration recognises two further relevant factors. One is that issues
of apprehended bias, while involving a question
of law to be resolved on an
objective basis, also involve evaluative processes about which reasonable minds
may differ. The other
is that the duty to sit is not absolute and, in my view,
does not become absolute merely because a court has been formally constituted
or
has commenced to hear a matter. Further, and as will be explained, I do not see
any difficulty for public confidence in the administration
of justice arising
from the events in Kartinyeri or Unions NSW in this Court. To the
contrary, from the perspective of public confidence in the administration of
justice, the system operated as
it ought to do in both cases.
- Third,
the existing convention does not create any difficulty with disclosure of the
relevant circumstances as known by the judge
the subject of the issue. The
relevant judge alone is subject to the duty of disclosure and, under the
existing convention, may make
the disclosure as that judge sees fit. The
disclosure is not evidence and is not required to be taken at face value. It
does not
expose the judge to
cross‑examination[433].
The parties are free to make submissions about the relevance and materiality of
that disclosed information to the fair‑minded
lay observer. By contrast,
all suggested alternatives to the conventional practice would appear to place
judges exercising co‑ordinate
jurisdiction with that judge in the
potentially invidious position of having to obtain information from and
second‑guess the
views of their judicial colleague.
- Fourth,
it is one thing for judges comprising a multi‑member bench to disagree
about some issue of fact or law as between the
parties to a proceeding and for
the majority decision to dictate the outcome of the dispute between the parties.
It is another for
judges comprising a multi‑member bench to disagree with
a decision by their fellow judge and, by majority, exercise judicial
power
against that judge by requiring the judge either to disqualify themselves
from hearing or to hear the matter. I am not convinced that the source of
power
is found in the duty of a court to satisfy itself that it has jurisdiction. If
the judge the subject of the issue rightly disqualifies
themselves, no question
of jurisdiction arises. If the judge the subject of the issue wrongly fails to
disqualify themselves, the
court will not have jurisdiction. This applies to
both a single judge bench and a multi‑member bench. Any error may be
corrected
either on appeal (before or after the substantive decision) or by writ
of prohibition from the relevant supervisory court. By this
means, the judicial
hierarchy, fundamental to the Australian legal system, is maintained and
observed. And by this means, the exercise
of judicial power by judges against
another judge exercising co-ordinate jurisdiction, and all the potential
difficulties it entails
(legal and practical), are avoided.
- Fifth,
the reasons advanced for a change to the judicial convention in Australia are
not convincing. The principle that no‑one
may be a judge in their own
cause is inapt in this context. Judges have, or should have, no particular
interest in deciding any matter.
As was said in Ebner, if "a judge were
anxious to sit in a particular case, and took pains to arrange that he or she
would do so, questions of actual
bias may
arise"[434]. It is
generally (and rightly) accepted that actual bias involves the conscience or
state of mind of the individual judge and no‑one
else. It is not mere
expediency for the judge in question also to decide any issue of apprehended
bias. The issue of apprehended
bias is one of law which, while evaluative, no
more involves the interests of the judge than any other question of law. And if
questions
of disabling embarrassment or any sense of grievance, disappointment,
or disturbance on the part of the judge arise, the relevant
territory is actual,
not apprehended, bias. This said, it would be wrong to assume that judges
approach judicial work or issues of
apprehended bias as if they were personal in
any way.
- Sixth,
all suggested alternatives involve their own difficulties, without a
sufficiently compelling reason for the introduction of
a new judicial practice.
The problems are not confined to the maintenance of judicial collegiality. They
potentially go to the heart
of the judicial hierarchy, which is fundamental to
our legal system, to the individual judicial conscience, and to the continued
integrity of the judicial system. The issues which arise on the conventional
practice, by contrast, are known and have proven to
be manageable.
- Seventh,
judicial practice should not be driven by unfounded fears of judicial conduct at
or beyond the margins. By this I mean that
a mere possibility of an exceedingly
rare case in which the decision of the judge the subject of the bias issue might
consequentially
call into play the judicial conscience of the other judges on
the multi‑member bench is not a sufficient reason to introduce
a new
judicial practice.
- Eighth,
while respect for expertise may have diminished in contemporary society, judges
are professionals, by education, training,
experience, and tradition, and are
bound by their judicial oath or affirmation. It is neither necessary nor
appropriate that judges
of co‑ordinate jurisdiction be called upon to
judge their judicial colleagues in the discharge of their individual judicial
function of ensuring they are not subject to apprehended or actual bias.
- The
interplay between these considerations is considered in greater detail below.
- Disqualification
for reasonable apprehension of bias arises from the risk of the perception of a
possible lack of impartiality or
independence in the judge deciding the issue
which must be decided. It does not arise from a fear (however
well‑founded) that
a judge might decide a case adversely to one or other
party[435]. Allegations of
bias are ordinarily determined at the level of apprehended bias as an objective
question of law. Where the issue
of apprehended bias is genuinely arguable, its
resolution, as discussed, almost always involves questions of degree which the
judge
with personal knowledge of the circumstances (fallible as the judge's
recollection might be) is best placed to weigh.
- Further,
the circumstances in which an arguable case of reasonable apprehension of bias
might arise are as wide and diverse as human
experience. The law weaves together
multiple strands into an overall fabric richer and more nuanced than any one
doctrine considered
in isolation. Disqualification for apprehended bias is also
not applied by any judge in a vacuum. There may be a complex interaction
of
factors involved.
- For
example, if the issue emerges at an early stage and is apparently arguable,
court management practices generally operate, quite
properly, to avoid wasting
resources of parties on a satellite issue by the expedient of allocation of the
case to a judge not subject
to the issue. Courts, including this Court, have
also routinely endorsed the prudent approach of judicial self‑exclusion at
an early stage, if
possible[436], because
litigation of satellite issues at the expense of parties may involve nothing but
unnecessary delay and cost. Equally importantly,
however, parties do not get to
choose their judge, either directly, or indirectly by specious or trivial
allegations of bias. As
noted, judges have a duty to
sit[437]. And they have a
duty of fidelity to the law and to their judicial oath or affirmation. To add to
the potential complexity, judges
and parties do not always know about an alleged
bias issue in sufficient time to avoid formal judicial determination of the
issue.
Or there may be important considerations of principle or fairness to the
parties and other litigants in having the question of bias
resolved only after a
hearing and by formal judicial determination. The potential factors in play are
infinite. They may be transformed
on constitution of the court or commencement
of the hearing, but do not necessarily all cease at that moment.
- While
appellate and multi‑member benches operate by majority
decision[438], apprehended
bias, as noted, involves "questions of degree" about which reasonable minds may
differ[439]. And, if it
comes to it, only the judge the subject of the alleged bias issue can truly know
if they can decide the case according
to their judicial oath. This is why such
applications are made to the judge against whom the bias issue is alleged. It is
also why
that judge alone decides the issue. If that judge errs, correction by
appeal or by writ is available, either immediately, if practicable,
or
ultimately[440]. Nothing in
this undermines the fact that it is the "first duty" of a court, as constituted,
to ensure that it has
jurisdiction[441]. The
convention concerns only how this duty is discharged.
- Even
if, in a court such as the Federal Court, an expansive view is taken of the
provision governing majority
opinions[442], so that a
decision about bias of a member of the Full Court is "for the purposes of any
proceeding ... [a] judgment to be pronounced",
this does not mean that if a
decision and any consequential order is made by the judge the subject of the
allegation of bias alone
then there is error.
- Whether
they say they agree or
not[443], the convention
that judges exercising co‑ordinate jurisdiction are not able to impose
their views on the judge the subject
of a bias issue, by any exercise of
judicial power or otherwise, is sound. This means that, in a multi‑member
bench, the judges
not the subject of the issue of bias must accept the decision
of the relevant judge. There is no capacity for those judges to purport
to
exercise judicial power against their fellow judge. Those judges must discharge
their own duty to sit unless they are subject
to actual or apprehended bias for
some reason. But mere disagreement, even strong disagreement, with the decision
of a judge about
a bias issue said to disqualify that judge from sitting does
not engage the judicial oath or affirmation of the other judges constituting
the
multi‑member bench.
- The
wisdom of this course is that it focuses the decision on the one person who can
be taken to know the most about the relevant
issue and whose own conscience or
state of mind might be involved. It casts the relevant duty to decide on the
person the subject
of the alleged bias, who generally has a duty to sit if no
such bias (apprehended or actual) arises, and who must not sit if they
cannot do
so in accordance with their judicial oath or affirmation. This course also
prevents potentially unseemly and corrosive
division between judges exercising
co‑ordinate jurisdiction. In a human system, involving "human
frailty"[444], the existing
convention protects the overall integrity of the judicial system better than the
suggested alternatives.
- The
existing judicial practice is none the worse for being a convention. Nor does
the fact that the convention is not immune from
rightful scrutiny mean that the
practice is wrong or should be changed.
- The
circumstances in Unions NSW disclose one potential difficulty that may
arise in a case where the conventional practice is abandoned. In that case, the
basis
of the suggestion of apprehended bias was legal advice Gageler J had
given to the Commonwealth in his previous capacity as Solicitor‑General
of
the Commonwealth. Legal professional privilege in the fact that the advice had
been given was waived by the act of counsel for
the Attorney‑General of
the Commonwealth disclosing that fact. But privilege continued in the content of
that advice. Only
Gageler J and the Commonwealth knew the substance of the
advice. Neither was free to disclose the substance to the other members
of the
Court. The objective reasonableness of the apprehension of bias followed from
this lack of information, leading to Gageler
J disqualifying himself from
the hearing. That is no more than the system working as it should. But even if
the content of the legal
advice had been disclosed, Gageler J alone could
have assessed whether he was able to hear the case in accordance with his
judicial
oath or affirmation to do so without "affection". The concept of
"affection" can undoubtedly extend to a judge's possible "affection"
for
previous advice given to the person who is now a litigant before them on the
same or a similar issue. And in that event even
if the other judges, or a
majority of them, had concluded that the advice said to give rise to the issue
did not in fact involve
a reasonable apprehension of bias, the judge the subject
of the allegation alone can and must decide if the case is one in which
the duty
to sit must yield to the duty of fidelity to the judicial oath or affirmation.
- The
circumstances of Kartinyeri disclose another potentially difficult issue
which would arise if a person other than the judge the subject of the allegation
of
bias were to decide the issue. In Kartinyeri the issue of alleged
apprehended bias involved Callinan J. Callinan J provided a detailed
description of the circumstances as he
recalled them relevant to his initial
decision not to disqualify himself from the
hearing[445]. But judicial
recollection is no more infallible than that of any other person. Following the
substantive hearing in Kartinyeri, in which Callinan J did sit, a
party made a further application to the Court as a whole for his Honour's
disqualification. Callinan
J then decided to disqualify himself from all
further involvement in the matter. Again, Callinan J alone could know
whether the duty
to sit had to yield to the duty of fidelity to the judicial
oath or affirmation. And his Honour was best placed to re‑assess
the issue
of apprehended bias by reference to all information available at the time of the
further application. It appears that,
having done so, his Honour adopted the
prudent course of self‑disqualification. Again, this exposes the proper
working of the
system.
- The
point also remains that in both cases where this Court had to confront the
issue, it adopted the conventional practice.
- Further,
the question when a court is constituted and seized of the hearing of a matter,
be it by a single judge or a multi‑member
bench of judges, may also depend
on its enabling statute or involve a contestable fact. It follows that, in the
case of a multi‑member
bench, identifying the point at which it is said
that the court as a whole must hear and decide any issue of bias might not be
straightforward.
By contrast, the conventional approach provides a court as an
institution and an individual judge with the greatest degree of flexibility
to
decide what course is in the best interests of the administration of justice in
any given case. As noted, if there is no issue
of principle involved and another
judge can hear a case without delay or disruption being caused, the prudent
approach of self‑disqualification
by the relevant judge may be in the best
interests of the administration of justice, particularly if the apprehended bias
issue is
reasonably arguable. But where there is an issue of principle, or it is
important that the court not act in any way which might be
misconstrued as
meeting the demands of a particular party, or where disqualification may result
in disruption to a scheduled hearing,
it may be in the best interests of the
administration of justice for the arguments to be made in open court and reasons
for the decision
to be given. The current convention enables the response of the
court as an institution and the judge as an individual discharging
judicial
office to be best adapted to the circumstances of any case.
- The
current convention of an issue of bias being raised with and, if necessary,
formally determined by the relevant individual judge
also reflects the twin
faces of the requirement for judicial independence and impartiality – that
justice be done and be seen
to be done. The law accepts that a reasonable
apprehension of bias has the same corrosive potential on the maintenance of the
rule
of law as actual bias. Further, the effect of the two forms of bias is the
same: it vitiates any decision made. The conventional
practice enables the judge
best placed to know the relevant information to disclose it to the parties with
the least formality and
potential embarrassment to all involved, including,
possibly, third parties. It also enables the judge, with the benefit of having
heard the parties, to examine their own conscience to ensure that the duty to
sit and adherence to the judicial oath or affirmation
are not in tension (in
which event, if the tension cannot be resolved, the latter must prevail). A mere
change in preference as to
judicial practice is not a sufficient basis for the
articulation of any new principle of general application.
- The
conventional practice also conforms to the current guidelines published by the
Council of Chief Justices of Australia and New
Zealand that "in the end the
decision to sit or not to sit must rest comfortably with the judicial
conscience"[446]. The
conception of the judicial conscience in question being that of the judge the
subject of the possible or alleged bias remains
sound.
- It
should not be taken from these conclusions that all judicial conventions and
practices are "frozen in
time"[447]. They are not.
But nor should they be lightly abandoned.
[1] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
FCA 1810.
[2] Section 501(3A) of the Act.
[3] Section 501(6)(a) of the Act.
[4] Section 501(7)(c) of the Act.
[5] Section 501CA(3) and (4)(a) of the
Act.
[6] Section 501CA(4)(b)(ii) of the
Act.
[7] Section 25(1)(a) of the
Administrative Appeals Tribunal Act 1975 (Cth) and s 500(1)(ba) of
the Act.
[8] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs
[2021] FCAFC 166; (2021) 287 FCR 328.
[9] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs
[2021] FCAFC 166; (2021) 287 FCR 328 at 330-344 [1]- [50].
[10] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs
[2021] FCAFC 166; (2021) 287 FCR 328 at 344 [51].
[11] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs
[2021] FCAFC 166; (2021) 287 FCR 328 at 344-346 [52]- [61].
[12] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs
[2021] FCAFC 166; (2021) 287 FCR 328 at 344 [56].
[13] Australasian Institute of
Judicial Administration, Guide to Judicial Conduct, 3rd ed (2017)
at [3.5]. See also Ebner v Official Trustee in Bankruptcy [2000] HCA 63; (2000) 205
CLR 337 at 360 [69].
[14] [1998] HCA 22; (1998) 195 CLR 337.
[15] Kartinyeri v The
Commonwealth [No 2] (1998) 72 ALJR 1334; 156 ALR 300.
[16] Kartinyeri v The
Commonwealth [1998] HCATrans 43 (18 February 1998) at lines 30-33.
[17] Kartinyeri v The
Commonwealth [1998] HCATrans 43 (18 February 1998) at lines 28-30.
[18] (2013) 252 CLR 530.
[19] Unions NSW v New South
Wales [2013] HCATrans 263 (5 November 2013) at lines 23-26.
[20] Unions NSW v New South
Wales [2013] HCATrans 263 (5 November 2013) at lines 53-77.
[21] [1983] HCA 17; (1983) 151 CLR 288.
[22] Transcript of Proceedings,
Bar Association of New South Wales v Livesey (Court of Appeal of the
Supreme Court of New South Wales, Moffitt P, Hope and Reynolds JJA, 22
March 1982) at 1; Transcript of Proceedings,
Bar Association of New South
Wales v Livesey (Court of Appeal of the Supreme Court of New South Wales,
Moffitt P, Hope and Reynolds JJA, 25 May 1982) at 243-244.
[23] (1992) 29 NSWLR 539.
[24] [2020] FCAFC 212 at [50] (Jagot
and Griffiths JJ), [76]-[84] (S C Derrington J).
[25] See Olowofoyeku, "Bias in
Collegiate Courts" (2016) 65 International and Comparative Law Quarterly
895.
[26] Jewell Ridge Coal Corp v
Local No 6167 [1945] USSC 123; (1945) 325 US 897 at 897.
[27] 28 USC §455.
[28] See Schurz Communications
Inc v Federal Communications Commission [1993] USCA7 157; (1992) 982 F 2d 1057 at 1059; In
re Bernard (1994) 31 F 3d 842 at 843; Baker & Hostetler LLP v United
States Department of Commerce (2006) 471 F 3d 1355 at 1357.
[29] Lester, "Disqualifying Judges
for Bias and Reasonable Apprehension of Bias: Some Problems of Practice and
Procedure" (2001) 24 Advocates' Quarterly 326 at 340.
[30] See Arsenault-Cameron v
Prince Edward Island [1999] 3 SCR 851.
[31] [1999] UKHL 1; [2000] 1 AC 119.
[32] The Guardian, 18
December 1998 at 7. See also Malleson, "Judicial Bias and Disqualification After
Pinochet (No 2)" (2000) 63 Modern Law Review 119 at 126.
[33] Dwr Cymru Cyfyngedig v
Albion Water [2008] EWCA Civ 97; Baker v Quantum Clothing Group
[2009] EWCA Civ 566.
[34] President of the Republic of
South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147.
[35] Yong Vui Kong v Attorney
General [2012] 2 LRC 439.
[36] TF v Northern Ireland Public
Services Ombudsman [2021] NICA 39.
[37] Section 171 of the Senior
Courts Act 2016 (NZ).
[38] Courts of New Zealand, Supreme
Court Recusal Guidelines at [7].
[39] Courts of New Zealand, Court of
Appeal Recusal Guidelines at [10].
[40] [2000] HCA 63; (2000) 205 CLR 337.
[41] [2000] HCA 63; (2000) 205 CLR 337 at 348 [22],
362-363 [79]-[81]. See also North Australian Aboriginal Legal Aid Service Inc
v Bradley [2004] HCA 31; (2004) 218 CLR 146 at 162-163 [27]; Forge v Australian
Securities and Investments Commission [2006] HCA 44; (2006) 228 CLR 45 at 76 [64], 77
[66]-[67]; British American Tobacco Australia Services Ltd v Laurie
(2011) 242 CLR 283 at 300 [32], 331 [139].
[42] [2000] HCA 63; (2000) 205 CLR 337 at 348
[23].
[43] British American Tobacco
Australia Services Ltd v Laurie (2011) 242 CLR 283 at 333 [146].
[44] Re Nash [No 2] [2017] HCA 52; (2017)
263 CLR 443 at 450 [16], quoting Federated Engine-Drivers and Firemen's
Association of Australasia v Broken Hill Pty Co Ltd [1911] HCA 31; (1911) 12 CLR 398 at
415.
[45] (1979) 143 CLR 190 at 215.
[46] See Michael Wilson &
Partners Ltd v Nicholls (2011) 244 CLR 427 at 450 [81]; Bienstein v
Bienstein (2003) 195 ALR 225.
[47] See The Queen v Watson; Ex
parte Armstrong [1976] HCA 39; (1976) 136 CLR 248; Re Polites; Ex parte Hoyts
Corporation Pty Ltd [1991] HCA 25; (1991) 173 CLR 78.
[48] Section 25(1) of the Federal
Court of Australia Act 1976 (Cth).
[49] Section 14(2) of the Federal
Court of Australia Act 1976 (Cth).
[50] Section 15(1) and (1AA)(a)(i)
of the Federal Court of Australia Act 1976 (Cth).
[51] Compare Re JRL; Ex parte
CJL [1986] HCA 39; (1986) 161 CLR 342 at 352; Ebner v Official Trustee in Bankruptcy
[2000] HCA 63; (2000) 205 CLR 337 at 348 [19]; Bienstein v Bienstein (2003) 195 ALR
225 at 233 [35].
[52] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21.
[53] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 26.
[54] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 24.
[55] [1983] HCA 17; (1983) 151 CLR 288 at 294.
[56] [2000] HCA 63; (2000) 205 CLR 337 at 344 [6],
footnote 41.
[57] See Charisteas v
Charisteas [2021] HCA 29; (2021) 273 CLR 289 at 296-297 [11] and the authorities cited in
footnote 6.
[58] Charisteas v Charisteas
[2021] HCA 29; (2021) 273 CLR 289 at 296 [11].
[59] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 87 [18], quoting
Islam v Minister for Immigration and Citizenship [2009] FCA 1526; (2009) 51 AAR 147 at
154-155 [32].
[60] Ebner v Official Trustee in
Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 345 [7].
[61] [2000] HCA 63; (2000) 205 CLR 337 at 345
[8].
[62] Charisteas v Charisteas
[2021] HCA 29; (2021) 273 CLR 289 at 296-297 [11].
[63] [2000] HCA 63; (2000) 205 CLR 337 at 348-351
[24]- [37].
[64] [2015] HCA 20; (2015) 255 CLR 135.
[65] See [2015] HCA 20; (2015) 255 CLR 135 at 152
[46], 153 [49].
[66] [1910] HCA 7; (1910) 10 CLR 243.
[67] [1972] HCA 53; (1972) 128 CLR 509. See
The Queen v Watson; Ex parte Armstrong [1976] HCA 39; (1976) 136 CLR 248 at
262-263.
[68] Compare Dickason v Edwards
[1910] HCA 7; (1910) 10 CLR 243 at 260.
[69] [2015] HCA 20; (2015) 255 CLR 135 at 157
[63].
[70] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 88 [21], quoting
Webb v The Queen [1994] HCA 30; (1994) 181 CLR 41 at 52.
[71] Charisteas v Charisteas
[2021] HCA 29; (2021) 273 CLR 289 at 299 [21].
[72] Johnson v Johnson [2000] HCA 48; (2000)
201 CLR 488 at 509 [53].
[73] Ebner v Official Trustee in
Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 345 [8].
[74] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 90 [28].
[75] Charisteas v Charisteas
[2021] HCA 29; (2021) 273 CLR 289 at 297 [12], quoting Johnson v Johnson [2000] HCA 48; (2000) 201 CLR
488 at 493 [13].
[76] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 90 [28]; GetSwift
Ltd v Webb [2021] FCAFC 26; (2021) 283 FCR 328 at 338 [35].
[77] Re Polites; Ex parte Hoyts
Corporation Pty Ltd [1991] HCA 25; (1991) 173 CLR 78 at 87-88.
[78] Vakauta v Kelly [1989] HCA 44; (1989)
167 CLR 568 at 585.
[79] See Johnson v Johnson
[2000] HCA 48; (2000) 201 CLR 488 at 508 [52]. See also The Queen v Watson; Ex parte
Armstrong [1976] HCA 39; (1976) 136 CLR 248 at 260; Livesey v New South Wales Bar
Association [1983] HCA 17; (1983) 151 CLR 288 at 293-294; Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 351, 368.
[80] (1988) 50 SASR 392.
[81] (1988) 50 SASR 392 at 400. See
also at 404.
[82] [2003] WASCA 275; (2003) 27 WAR 554.
[83] [2003] WASCA 275; (2003) 27 WAR 554 at 561
[18].
[84] Compare McGovern v
Ku-ring-gai Council [2008] NSWCA 209; (2008) 72 NSWLR 504 at 510 [31], 511 [37].
[85] Perara-Cathcart v The
Queen [2017] HCA 9; (2017) 260 CLR 595 at 622 [73], citing Mason, "Reflections on the High
Court: Its Judges and Judgments" (2013) 37 Australian Bar
Review 102 at 110.
[86] Kiefel, "An Australian
Perspective on Collective Judging", in Häcker and Ernst (eds),
Collective Judging in Comparative Perspective: Counting Votes and Weighing
Opinions (2020) 47 at 50-51, 55.
[87] Compare Stollery v Greyhound
Racing Control Board [1972] HCA 53; (1972) 128 CLR 509 at 520.
[88] [2000] HCA 63; (2000) 205 CLR 337 at 344 [6].
See also CNY17 v Minister for Immigration and Border Protection [2019] HCA 50; (2019)
268 CLR 76 at 98 [56]; Charisteas v Charisteas [2021] HCA 29; (2021) 273 CLR 289 at
296-297 [11].
[89] Ebner (2000) 205 CLR 336
at 345 [8]; Isbester v Knox City Council [2015] HCA 20; (2015) 255 CLR 135 at 146 [21];
CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 88 [21], 98-99 [57];
Charisteas [2021] HCA 29; (2021) 273 CLR 289 at 296 [11].
[90] Charisteas [2021] HCA 29; (2021) 273
CLR 289 at 296-297 [11], citing Ebner [2000] HCA 63; (2000) 205 CLR 337 at 345 [8], 350
[30], Concrete Pty Ltd v Parramatta Design & Developments Pty
Ltd [2006] HCA 55; (2006) 229 CLR 577 at 609-610 [110]- [111] and CNY17 [2019] HCA 50; (2019) 268
CLR 76 at 88 [21], 98-99 [57].
[91] Ebner [2000] HCA 63; (2000) 205 CLR 337
at 344 [6].
[92] Re Refugee Review Tribunal;
Ex parte H [2001] HCA 28; (2001) 75 ALJR 982 at 990 [28]; [2001] HCA 28; 179 ALR 425 at 435.
[93] McGovern v Ku-ring-gai
Council [2008] NSWCA 209; (2008) 72 NSWLR 504 at 519 [79], referring to Australian National
Industries Ltd v Spedley Securities Ltd (In liq) (1992) 26 NSWLR 411 at
440.
[94] CNY17 [2019] HCA 50; (2019) 268 CLR 76
at 98 [56], citing Re JRL; Ex parte CJL [1986] HCA 39; (1986) 161 CLR 342 at 371.
[95] Isbester [2015] HCA 20; (2015) 255 CLR
135 at 146 [20], [23]. See also CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 99 [58].
[96] Ebner [2000] HCA 63; (2000) 205 CLR 337
at 345 [8]. See also CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 118 [132].
[97] GetSwift Ltd v Webb
[2021] FCAFC 26; (2021) 283 FCR 328 at 341 [46] (citations omitted). See also CNY17
[2019] HCA 50; (2019) 268 CLR 76 at 89‑90 [27]-[28], 97 [51], 107 [92], 108 [97],
118-119 [133].
[98] Charisteas [2021] HCA 29; (2021) 273
CLR 289 at 299-300 [21].
[99] Johnson v Johnson [2000] HCA 48; (2000)
201 CLR 488 at 493 [13].
[100] Webb v The Queen
[1994] HCA 30; (1994) 181 CLR 41 at 52.
[101] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 146 [23], citing Hot Holdings Pty Ltd v Creasy [2002] HCA 51; (2002) 210 CLR
438 at 459 [68]. See also Young, "The Evolution of Bias: Spectrums, Species
and the Weary Lay Observer" [2017] MelbULawRw 42; (2017) 41 Melbourne University Law Review 928
at 945-949.
[102] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 146 [23]; CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 99 [58].
[103] Webb [1994] HCA 30; (1994) 181 CLR
41 at 73, quoted in CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 99 [58].
[104] Webb [1994] HCA 30; (1994) 181 CLR
41 at 52.
[105] Michael Wilson &
Partners Ltd v Nicholls (2011) 244 CLR 427 at 446 [67];
Isbester [2015] HCA 20; (2015) 255 CLR 135 at 156 [61].
[106] Michael Wilson (2011)
244 CLR 427 at 447 [68].
[107] See Michael Wilson
(2011) 244 CLR 427 at 447 [68], 448 [73].
[108] [2000] HCA 63; (2000) 205 CLR 337 at 358
[60].
[109] [1994] HCA 30; (1994) 181 CLR 41 at 74.
[110] [2015] HCA 20; (2015) 255 CLR 135 at 149
[34].
[111] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 152 [46].
[112] [2015] HCA 20; (2015) 255 CLR 135 at 151
[42]- [43], 158-159 [68]-[69].
[113] [2015] HCA 20; (2015) 255 CLR 135 at 157
[63].
[114] (1988) 50 SASR 392.
[115] [2003] WASCA 275; (2003) 27 WAR 554.
[116] [2008] NSWCCA 315; (2008) 192 A Crim R 105.
[117] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 155 [58], quoting SZRUI v Minister for Immigration, Multicultural
Affairs and Citizenship [2013] FCAFC 80 at [3].
[118] See reasons of Kiefel CJ and
Gageler J at [49].
[119] Leeth v The Commonwealth
(1992) 174 CLR 455 at 487; Ebner [2000] HCA 63; (2000) 205 CLR 337 at 362-363
[79]- [82]; Forge v Australian Securities and Investments Commission
[2006] HCA 44; (2006) 228 CLR 45 at 76 [64]; South Australia v Totani [2010] HCA 39; (2010) 242 CLR
1 at 157 [428]; Condon v Pompano Pty Ltd (2013) 252 CLR 38 at 71-72 [67];
Attorney-General (NT) v Emmerson (2014) 253 CLR 393 at 426 [44]; SDCV
v Director-General of Security [2022] HCA 32; (2022) 96 ALJR 1002 at 1019 [50], 1030 [106],
1041 [172]; [2022] HCA 32; 405 ALR 209 at 221, 236, 251-252. See also R v Watson; Ex parte
Armstrong [1976] HCA 39; (1976) 136 CLR 248 at 263; Ebner [2000] HCA 63; (2000) 205 CLR 337 at 343
[3].
[120] Barton v Walker
[1979] 2 NSWLR 740 at 749.
[121] Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law On
Bias, Report No 138 (2021) at 100 [3.54], 231 [7.1], 263 [7.102]. See
Appleby and McDonald, "Pride and Prejudice: A Case for Reform of Judicial
Recusal Procedure" (2017) 20 Legal Ethics 89 at 90.
[122] [2000] HCA 63; (2000) 205 CLR 337 at 361
[74].
[123] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 361 [74].
[124] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 24.
[125] ALRC Bias Report at 263, 265
[7.110]-[7.111].
[126] See, eg, Livesey v New
South Wales Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 292; CPJ16 v Minister
for Home Affairs [2020] FCAFC 212 at [50]. See also R v Nicholas
[2000] VSCA 49; (2000) 1 VR 356 at 370 [47]- [48]. [Balance of footnote omitted.]
[127] Sengupta v Holmes
[2002] EWCA Civ 1104; Baker v Quantum Clothing Group [2009] EWCA Civ 566;
Dwr Cymru Cyfyngedig v Albion Water [2008] EWCA Civ 97.
[128] See the judicial recusal
guidelines in Appendix G [of the ALRC Bias Report].
[129] TF v Northern Ireland
Public Services Ombudsman [2021] NICA 39.
[130] Yong Vui Kong v Attorney
General [2012] 2 LRC 439.
[131] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147.
[132] See Olowofoyeku, "Bias in
Collegiate Courts" (2016) 65 International and Comparative Law Quarterly
895 at 905-912.
[133] See ALRC Bias Report at
575-585 (Appendix G – Recusal Guidelines of New Zealand Courts).
[134] Subject to limited
exceptions which do not arise here, including where the party allegedly injured
by bias waives their right to
object and such waiver is fully informed and clear
(see, eg, Michael Wilson (2011) 244 CLR 427 at 449 [76]) or the doctrine
of necessity. See also Groves, "Waiver of Natural Justice" [2019] AdelLawRw 56; (2019)
40 Adelaide Law Review 641 at 650-653; ALRC Bias Report at 101-102
[3.56]‑[3.60].
[135] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 26.
[136] Hazeldell Ltd v The
Commonwealth [1924] HCA 36; (1924) 34 CLR 442 at 446; The Queen v Federal Court of
Australia; Ex parte WA National Football League (1979) 143 CLR 190 at 215;
New South Wales v Kable (2013) 252 CLR 118 at 133 [31]; Citta Hobart
Pty Ltd v Cawthorn [2022] HCA 16; (2022) 96 ALJR 476 at 492 [64]- [65]; [2022] HCA 16; 400 ALR 1 at 17-18.
[137] Federated Engine-Drivers
and Firemen's Association of Australasia v Broken Hill Pty Co Ltd [1911] HCA 31; (1911) 12
CLR 398 at 415, quoted in Re Nash [No 2] [2017] HCA 52; (2017) 263 CLR 443 at 450 [16].
[138] See Re JRL [1986] HCA 39; (1986) 161
CLR 342 at 352; Bienstein v Bienstein (2003) 195 ALR 225 at 233 [35].
[139] [2000] HCA 63; (2000) 205 CLR 337 at 348
[19]; see also 394 [175].
[140] See Watson [1976] HCA 39; (1976) 136
CLR 248 at 262.
[141] Australasian Institute of
Judicial Administration, Guide to Judicial Conduct, 3rd ed (rev)
(2022) at 18.
[142] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [20].
[143] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 358 [60].
[144] See ALRC Bias Report at
575-585 (Appendix G – Recusal Guidelines of New Zealand Courts). See also,
eg, Supreme Court of the
United States, Chief Justice's Year-End Report on
the Federal Judiciary (2011) at 7-10.
[145] ALRC Bias Report at 201
[6.37]-[6.38].
[146] ALRC Bias Report at 201
[6.38], 205 [6.51], [6.53].
[147] ALRC Bias Report at 214
[6.86]-[6.87]. See also Australasian Institute of Judicial Administration,
Guide to Judicial Conduct, 3rd ed (rev) (2022) at 17.
[148] ALRC Bias Report at 206
[6.56]. See also Australasian Institute of Judicial Administration, Guide to
Judicial Conduct, 3rd ed (rev) (2022) at 17-18.
[149] See [92] above.
[150] See [93] above.
[151] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [19]- [21].
[152] Leubsdorf, "Theories of
Judging and Judge Disqualification" (1987) 62 New York University Law
Review 237 at 279.
[153] Elon (ed), The Principles
of Jewish Law (2007) at 564.
[154] G 4.52; J 4.5.pr;
D 5.1.15 (Ulpian, Edict, bk 21): The Digest of
Justinian, tr ed Watson, rev ed (1998), vol 1 at 166;
D 44.7.5.4 (Gaius, Golden Words, bk 3): The Digest of
Justinian, tr ed Watson, rev ed (1998), vol 4 at 156;
D 50.13.6 (Gaius, Common Matters or Golden Words, bk 3): The
Digest of Justinian, tr ed Watson, rev ed (1998), vol 4 at
444. See especially Descheemaeker, The Division of Wrongs: A Historical
Comparative Study (2009) at 82.
[155] Virelli, Disqualifying
the High Court: Supreme Court Recusal and the Constitution (2016) at
xii.
[156] At [102]-[104].
[157] See, for instance, Davis
v Minister for Immigration, Citizenship, Migrant Services and Multicultural
Affairs [2023] HCA 10 at [7].
[158] See, eg, Mineralogy Pty
Ltd v Western Australia [2021] HCA 30; (2021) 95 ALJR 832 at 852‑854
[100]‑[107]; [2021] HCA 30; 393 ALR 551 at 574-576.
[159] R v Garrett (1988) 50
SASR 392; McCreed v The Queen [2003] WASCA 275; (2003) 27 WAR 554; Muldoon v The Queen
[2008] NSWCCA 315; (2008) 192 A Crim R 105.
[160] [2015] HCA 20; (2015) 255 CLR 135.
[161] [2015] HCA 20; (2015) 255 CLR 135 at 149
[34].
[162] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 348 [23].
[163] Michael Wilson &
Partners Ltd v Nicholls (2011) 244 CLR 427 at 438 [33].
[164] Ames, "Law and Morals"
(1908) 22 Harvard Law Review 97 at 97, citing YB 7 Ed IV f 2 pl
2.
[165] Oakey Coal Action
Alliance Inc v New Acland Coal Pty Ltd [2021] HCA 2; (2021) 272 CLR 33 at 58-59 [79],
citing Baker v Canada (Minister of Citizenship and Immigration) [1999] 2
SCR 817.
[166] Metropolitan Properties
Co (FGC) Ltd v Lannon [1968] EWCA Civ 5; [1969] 1 QB 577 at 599.
[167] See CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 108 [97], 111-112
[111].
[168] Leubsdorf, "Theories of
Judging and Judge Disqualification" (1987) 62 New York University Law
Review 237 at 277.
[169] Webb v The Queen
[1994] HCA 30; (1994) 181 CLR 41 at 52.
[170] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 344 [6]. See also Concrete Pty
Ltd v Parramatta Design & Developments Pty Ltd [2006] HCA 55; (2006) 229 CLR 577 at 609
[110]; British American Tobacco Australia Services Ltd v Laurie (2011)
242 CLR 283 at 302 [37], 331 [139]; Isbester v Knox City Council [2015] HCA 20; (2015)
255 CLR 135 at 146 [20]; CNY17 v Minister for Immigration and Border
Protection [2019] HCA 50; (2019) 268 CLR 76 at 87 [17], 96-97 [50]; Charisteas v
Charisteas [2021] HCA 29; (2021) 273 CLR 289 at 296 [11]; Oakey Coal Action Alliance Inc
v New Acland Coal Pty Ltd [2021] HCA 2; (2021) 272 CLR 33 at 59 [80].
[171] See SDCV v
Director-General of Security [2022] HCA 32; (2022) 96 ALJR 1002 at 1054‑1055 [231];
[2022] HCA 32; 405 ALR 209 at 268.
[172] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 362-363 [80]- [81]; North
Australian Aboriginal Legal Aid Service Inc v Bradley [2004] HCA 31; (2004) 218 CLR 146 at
162-163 [27]; British American Tobacco Australia Services Ltd v Laurie
(2011) 242 CLR 283 at 300 [32].
[173] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 397 [185].
[174] Visy Board Pty Ltd v
Attorney-General (Cth) [1984] FCA 52; (1984) 2 FCR 113 at 174.
[175] El Farargy v El Farargy
[2007] 3 FCR 711 at 725 [32].
[176] Sedley, "When Should a Judge
Not be a Judge?" (2011) 33(1) London Review of Books (online
edition).
[177] Hammond, Judicial
Recusal: Principles, Process and Problems (2009) at 42, 61, 63-64; Appleby
and McDonald, "Pride and Prejudice: A Case for Reform of Judicial Recusal
Procedure" (2017) 20 Legal Ethics 89 at 89; Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law on
Bias, Report No 138 (2021) at 232 [7.7].
[178] Virelli, Disqualifying
the High Court: Supreme Court Recusal and the Constitution (2016) at 5-6,
78. See also Jewell Ridge Coal Corp v Local No 6167 [1945] USSC 123; (1945) 325 US
897 at 897; State of Vermont v Hunt (1987) 527 A 2d 223 at 224;
In re Bernard (1994) 31 F 3d 842 at 843; Adair v State of
Michigan, Department of Education (2006) 709 NW 2d 567 at 581, 588,
589.
[179] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 361 [74].
[180]
Southwestern Bell Telephone Company v Federal
Communications Commission [1998] USCA8 614; (1998) 153 F 3d 520 at 521.
[181] See United States v
Snyder [2000] USCA1 311; (2000) 235 F 3d 42 at 45.
[182] See Appleby and McDonald,
"Pride and Prejudice: A Case for Reform of Judicial Recusal Procedure" (2017) 20
Legal Ethics 89 at 96.
[183] Public Utilities
Commission v Pollak [1952] USSC 69; (1952) 343 US 451 at 467.
[184] [2000] HCA 63; (2000) 205 CLR 337 at
348 [20].
[185] See Ebner v Official
Trustee in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 348 [20].
[186] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 22.
[187] See also Michael Wilson
& Partners Ltd v Nicholls (2011) 244 CLR 427 at 450-451 [81]-[83].
[188] Tarrant, Disqualification
for Bias (2012) at 310.
[189] Mann v Northern Territory
News (1988) 88 FLR 194 at 194; Bainton v Rajski (1992) 29 NSWLR 539
at 540; Duke Group Ltd (In liq) v Pilmer [No 3] [2001] SASC 215 at
[71]; Setka v Gregor [2011] FCAFC 64 at [2]- [4]; Slaveski v
Attorney-General (Vic) [2013] VSCA 165 at [6]; Valdez v Frazier
[No 3] [2015] FamCAFC 205 at [8]; Brisciani v Piscioneri [No 1]
[2016] ACTCA 30 at [1]; Brisciani v Piscioneri [No 2] [2016]
ACTCA 24 at [4]; Brisciani v Piscioneri [No 3] [2016] ACTCA 31 at [1];
Amos v Wiltshire [2016] QCA 70 at [1]- [4], [18]; SZVBN v Minister for
Immigration and Border Protection [No 2] [2017] FCA 123 at [1]- [2]; SZVBN
v Minister for Immigration and Border Protection [No 3] [2017] FCA 126 at
[1]- [2]; Jackson v The Queen [2019] VSCA 65 at [5], [34]; Rayney v
Western Australia [2020] WASCA 206 at [13]; Rayney v Western
Australia [No 2] [2020] WASCA 207 at [1]; Rayney v Western
Australia [No 3] [2020] WASCA 209 at [1]; Frugtniet v Secretary,
Department of Social Services [2021] FCAFC 127; (2021) 285 FCR 159 at 160 [2]; Wark v
Western Australia [No 2] [2023] WASCA 67 at [6]; Wark v Western
Australia [No 3] [2023] WASCA 68 at [1]; Masi-Haini v Minister for
Home Affairs [2023] FCA 430 at [3]- [7]. See also Erris Promotions Ltd v
Commissioner of Inland Revenue [2003] NZCA 163; (2003) 16 PRNZ 1014 at 1019 [22].
[190] See, eg, R v Nicholas
[2000] VSCA 49; (2000) 1 VR 356 at 370 [47]- [48].
[191] CPJ16 v Minister for Home
Affairs [2020] FCAFC 212 at [50].
[192] See Appleby and McDonald,
"Pride and Prejudice: A Case for Reform of Judicial Recusal Procedure" (2017) 20
Legal Ethics 89 at 93, discussing Perry v Lean (unreported,
Supreme Court of South Australia, 30 September 1985).
[193] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 24, 26.
[194] Federated Engine-Drivers
and Firemen's Association of Australasia v Broken Hill Pty Co Ltd [1911] HCA 31; (1911) 12
CLR 398 at 415; Hazeldell Ltd v The Commonwealth [1924] HCA 36; (1924) 34 CLR 442 at
446; Old UGC Inc v Industrial Relations Commission (NSW) [2006] HCA 24; (2006) 225 CLR
274 at 290 [51]; Re Nash [No 2] [2017] HCA 52; (2017) 263 CLR 443 at 450 [16];
Federal Commissioner of Taxation v Tomaras [2018] HCA 62; (2018) 265 CLR 434 at 477
[132].
[195] Lester, "Disqualifying
Judges for Bias and Reasonable Apprehension of Bias: Some Problems of Practice
and Procedure" (2001) 24 Advocates' Quarterly 326 at 340.
[196] Re Toohey; Ex parte
Gunter (1996) 70 ALJR 644 at 645; Re Jarman; Ex parte Cook (1997) 188
CLR 595 at 603-604, 610, 636; Re Carmody; Ex parte Glennan [2003] HCA 32; (2003) 77
ALJR 1202 at 1203 [6]; [2003] HCA 32; 198 ALR 259 at 260.
[197] See Kirby, "Maximising
Special Leave Performance in the High Court of Australia" [2007] UNSWLawJl 41; (2007) 30
University of New South Wales Law Journal 731 at 741; Arden and Edelman,
"Mutual Borrowing and Judicial Dialogue Between the Apex Courts of Australia and
the United Kingdom"
(2022) 138 Law Quarterly Review 217 at 229. See also
Brennan, "Bench, Composition of", in Blackshield, Coper and Williams (eds),
The Oxford Companion to the High Court of Australia (2001) 60 at 61.
[198] Michael Wilson &
Partners Ltd v Nicholls (2011) 244 CLR 427 at 450 [81]; Bezer v Bassan
[2017] NSWCA 333 at [16].
[199] See, eg, Kartinyeri v The
Commonwealth [1998] HCA 22; (1998) 195 CLR 337; Unions NSW v New South Wales (2013)
252 CLR 530; Firebird Global Master Fund II Ltd v Republic of Nauru [No 2]
[2015] HCA 53; (2015) 90 ALJR 270; 327 ALR 192; Northern Territory v Griffiths
[2019] HCA 7; (2019) 269 CLR 1.
[200] Kartinyeri v The
Commonwealth [1998] HCATrans 43.
[201] Kartinyeri v The
Commonwealth [1998] HCATrans 43. See also Wewaykum Indian Band v Canada
[2003] 2 SCR 259.
[202] Jewell Ridge Coal Corp v
Local No 6167 [1945] USSC 123; (1945) 325 US 897 at 897‑898.
[203] See Sullivan, "Pinochet
Chronology" (2004) 14 Indiana International and Comparative Law Review
415 at 432-433, fn 128.
[204] Dwr Cymru Cyfyngedig v
Albion Water [2008] EWCA Civ 97 at [3].
[205] Baker v Quantum Clothing
Group [2009] EWCA Civ 566 at [2].
[206] Arsenault-Cameron v
Prince Edward Island [1999] 3 SCR 851 at 852 [1].
[207] Arsenault-Cameron v
Prince Edward Island [2000] 1 SCR 3.
[208] Wewaykum Indian Band v
Canada [2003] 2 SCR 259.
[209] [2012] 2 LRC 439.
[210] [2021] NICA 39.
[211] [2012] 2 LRC 439 at
458‑460 [16]-[22], 504 [149].
[212] [2021] NICA 39 at [26]. See
also Sengupta v Holmes [2002] EWCA Civ 1104.
[213] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147.
[214] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147 at 157
[15].
[215] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147 at
165-167 [23].
[216] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147 at 170
[34].
[217] President of the Republic
of South Africa v South African Rugby Football Union [1999] ZACC 9; 1999 (4) SA 147 at 170
[34].
[218] Courts of New Zealand,
Supreme Court Recusal Guidelines (9 July 2020) at [7].
[219] Courts of New Zealand,
Supreme Court Recusal Guidelines (9 July 2020) at [5].
[220] Courts of New Zealand,
Court of Appeal Recusal Guidelines (22 November 2021) at [5],
[7].
[221] Courts of New Zealand,
Court of Appeal Recusal Guidelines (22 November 2021) at [10].
See also Courts of New Zealand, Supreme Court Recusal Guidelines
(9 July 2020) at [6], "drawing the judge's attention to any additional
matters thought relevant".
[222] Senior Courts Act
2016 (NZ), s 171.
[223] Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law on
Bias, Report No 138 (2021) at 263‑264 [7.103]-[7.104].
[224] Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law on
Bias, Report No 138 (2021) at 264 [7.104].
[225] Michael Wilson &
Partners Ltd v Nicholls (2011) 244 CLR 427 at 437-438 [33].
[226] See Mickelberg v The
Queen [1989] HCA 35; (1989) 167 CLR 259; Eastman v The Queen (2000) 203 CLR 1.
[227] See Caperton v A T Massey
Coal Co Inc (2009) 556 US 868 at 877; Rippo v Baker (2017) 137 S Ct
905 at 907; Isom v Arkansas (2019) 140 S Ct 342 at 343.
[228] Williams v Pennsylvania
(2016) 136 S Ct 1899 at 1905.
[229] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 345 [8]; Concrete Pty
Ltd v Parramatta Design & Developments Pty Ltd [2006] HCA 55; (2006) 229 CLR 577 at 609
[110]; CNY17 v Minister for Immigration and Border Protection
[2019] HCA 50; (2019) 268 CLR 76 at 98-99 [57]; Charisteas v Charisteas [2021] HCA 29; (2021) 273 CLR
289 at 296‑297 [11].
[230] In re
J P Linahan Inc (1943) 138 F 2d 650 at
651‑652.
[231] Jaensch v Coffey
[1984] HCA 52; (1984) 155 CLR 549 at 607; Stephens v The Queen [2022] HCA 31; (2022) 96 ALJR 871 at
879-880 [33]; [2022] HCA 31; 404 ALR 367 at 376.
[232] See reasons of
Steward J at [196]-[200]; Johnson v Johnson [2000] HCA 48; (2000) 201 CLR 488 at
493 [12], quoting Vakauta v Kelly [1989] HCA 44; (1989) 167 CLR 568 at 584-585.
[233] Sengupta v Holmes
[2002] EWCA Civ 1104 at [10].
[234] (1988) 50 SASR 392.
[235] (1988) 50 SASR 392 at
400-401.
[236] [2003] WASCA 275; (2003) 27 WAR 554.
[237] [2003] WASCA 275; (2003) 27 WAR 554 at 560
[16].
[238] [2003] WASCA 275; (2003) 27 WAR 554 at 561
[18].
[239] [2003] WASCA 275; (2003) 27 WAR 554 at 564
[35].
[240] [2008] NSWCCA 315; (2008) 192 A Crim R 105.
[241] [2008] NSWCCA 315; (2008) 192 A Crim R 105 at
110 [28], 119 [49], [50].
[242] [2008] NSWCCA 315; (2008) 192 A Crim R 105 at
110 [26].
[243] [2003] WASCA 275; (2003) 27 WAR 554 at 566
[40].
[244] Hossain v Minister for
Immigration and Border Protection [2018] HCA 34; (2018) 264 CLR 123 at 136-137 [39]- [40],
147-148 [72]; MZAPC v Minister for Immigration and Border Protection
(2021) 95 ALJR 441 at 462-463 [85], 478 [164]; 390 ALR 590 at 610-611, 631-632;
Nathanson v Minister for Home Affairs [2022] HCA 26; (2022) 96 ALJR 737 at 755-756
[76]- [77], 760-761 [98]-[102]; [2022] HCA 26; 403 ALR 398 at 420-421, 426-427.
[245] Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law on
Bias, Report No 138 (2021) at 13.
[246] At [102]‑[104].
[247] Johnson v Johnson
[2000] HCA 48; (2000) 201 CLR 488 at 492 [11] per Gleeson CJ, Gaudron, McHugh, Gummow and
Hayne JJ.
[248] [2019] HCA 50; (2019) 268 CLR 76 at 98-99
[57] (footnotes omitted; emphasis added).
[249] QYFM and Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
AATA 2161 at [68]- [69] per Senior Member Nikolic.
[250] [2015] HCA 20; (2015) 255 CLR 135 at 157
[63] (footnote omitted; emphasis added).
[251] [2000] HCA 48; (2000) 201 CLR 488 at
508-509 [53] (footnotes omitted).
[252] [2019] HCA 50; (2019) 268 CLR 76 at 99 [58]
(footnotes omitted).
[253] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 99 [59] per Nettle
and Gordon JJ.
[254] [2000] HCA 48; (2000) 201 CLR 488 at 493
[12] per Gleeson CJ, Gaudron, McHugh, Gummow and Hayne JJ (footnote
omitted), quoting Vakauta v Kelly (1988) 13 NSWLR 502 at 527 per
McHugh JA and Vakauta v Kelly [1989] HCA 44; (1989) 167 CLR 568 at 584-585 per
Toohey J.
[255] [2010] ACTSC 13 at [64].
[256] Director of Public
Prosecutions Act 1983 (Cth), s 27(2)(b); Public Service Act 1999
(Cth), ss 10, 10A, 12, 13 and 14.
[257] QYFM had held a Class BC
Subclass 100 (Partner) visa.
[258] Migration Act, s
501(2).
[259] For the purposes of
s 23V of the Crimes Act 1914 (Cth), although, it was said, the lay
observer's knowledge would not be so detailed as to know the precise provision
that was engaged.
[260] Migration Act, s
501(3A).
[261] Migration Act, s
501CA.
[262] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
FCA 1810.
[263] Pursuant to the power
conferred by s 501CA(4)(b)(ii) of the Migration Act.
[264] Migration Act, s 499;
Direction No 79 – Migration Act 1958 – Direction under section
499 – Visa refusal and cancellation under s 501 and revocation of a
mandatory cancellation of visa under s 501CA.
[265] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
FCA 1810 at [51].
[266] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
FCA 1810 at [57].
[267] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328 at 345-346 [59(2), (5)] per Bromwich J.
[268] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328 at 346 [61(4)].
[269] [2000] HCA 63; (2000) 205 CLR 337 at 348
[20] per Gleeson CJ, McHugh, Gummow and Hayne JJ.
[270] Minister for Immigration
and Multicultural Affairs v Jia Legeng (2001) 205 CLR 507 at 549 [135] per
Kirby J.
[271] See, eg, Livesey v New
South Wales Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294 per Mason, Murphy,
Brennan, Deane and Dawson JJ; Re JRL; Ex parte CJL [1986] HCA 39; (1986) 161 CLR 342 at
352 per Mason J.
[272] [2000] HCA 63; (2000) 205 CLR 337 at 348
[19].
[273] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 at 344-345 [6]- [7]; R v Sussex Justices;
Ex parte McCarthy [1923] EWHC KB 1; [1924] 1 KB 256 at 259.
[274] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 344 [5]- [6].
[275] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 382-383 [145].
[276] Webb v The Queen
[1994] HCA 30; (1994) 181 CLR 41 at 51-52.
[277] Charisteas v Charisteas
[2021] HCA 29; (2021) 273 CLR 289 at 296 [11], citing Ebner [2000] HCA 63; (2000) 205 CLR 337
at 344 [6] and Concrete Pty Ltd v Parramatta Design & Developments
Pty Ltd [2006] HCA 55; (2006) 229 CLR 577 at 609 [110].
[278] Pursuant to s 501(3A)
of the Migration Act 1958 (Cth).
[279] Contrary to s 307.2(1)
of the Criminal Code (Cth).
[280] Section 501(3A) was inserted
by s 2 and Sch 1, item 8 of the Migration Amendment (Character
and General Visa Cancellation) Act 2014 (Cth). QYFM was taken not to pass
the "character test" in s 501(3A) on the basis that he had a "substantial
criminal record" (s 501(6)(a)),
having been sentenced to a term of
imprisonment of 12 months or more (s 501(7)(c)).
[281] Relevantly under
s 501CA(4)(b)(ii) of the Migration Act 1958 (Cth).
[282] [2000] HCA 63; (2000) 205 CLR 337.
[283] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[284] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[285] [2000] HCA 63; (2000) 205 CLR 337 at
342-343 [1].
[286] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 349 [28].
[287] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 350 [30].
[288] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 350 [30].
[289] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 357 [55].
[290] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 351 [36].
[291] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 351 [36].
[292] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 349 [25].
[293] [2000] HCA 63; (2000) 205 CLR 337 at 358
[59]- [60].
[294] [2015] HCA 20; (2015) 255 CLR 135.
[295] S & M Motor
Repairs Pty Ltd v Caltex Oil (Australia) Pty Ltd (1988) 12 NSWLR 358
at 360.
[296] Brennan, "Judicial
Independence", remarks delivered at the Australian Judicial Conference,
Canberra, 2 November 1996 (emphasis in
original).
[297] See Groves, "Clarity and
Complexity in the Bias Rule" [2020] MelbULawRw 34; (2020) 44 Melbourne University Law Review
565 at 572-579.
[298] Liteky v United
States (1994) 510 US 540 at 550 (emphasis in original).
[299] Flaherty v National
Greyhound Racing Club Ltd [2005] LLR 571 at 579 [28].
[300] Gillies v Secretary of
State for Work and Pensions [2006] UKHL 2; [2006] 1 WLR 781 at 793 [38]; [2006] UKHL 2; [2006] 1
All ER 731 at 744.
[301] [2019] HCA 50; (2019) 268 CLR 76 at 87
[18].
[302] [1910] HCA 7; (1910) 10 CLR 243.
[303] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 260.
[304] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 259-260, citing R v Milledge [1879] UKLawRpKQB 39; (1879) 4 QBD 332, R v Gaisford
[1891] UKLawRpKQB 193; [1892] 1 QB 381 and Allinson v General Council of Medical Education and
Registration [1894] UKLawRpKQB 36; [1894] 1 QB 750.
[305] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 259; see also 263.
[306] Australian Workers' Union
v Bowen [No 2] [1948] HCA 35; (1948) 77 CLR 601 at 616. See also Leeson v General
Council of Medical Education and Registration [1889] UKLawRpCh 200; (1889) 43 Ch D 366 at 379;
Frome United Breweries Co v Bath Justices [1926] AC 586 at 606.
[307] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 358-359 [59]- [63].
[308] Sussex Justices
[1923] EWHC KB 1; [1924] 1 KB 256; Stollery v Greyhound Racing Control Board
[1972] HCA 53; (1972) 128 CLR 509.
[309] [1910] HCA 7; (1910) 10 CLR 243 at
248.
[310] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 248.
[311] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 252.
[312] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 257.
[313] Dickason [1910] HCA 7; (1910) 10
CLR 243 at 262.
[314] [1972] HCA 53; (1972) 128 CLR 509.
[315] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 513-516.
[316] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 520.
[317] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 519.
[318] [1923] EWHC KB 1; [1924] 1 KB 256, cited in
Stollery [1972] HCA 53; (1972) 128 CLR 509 at 518-519.
[319] Sussex Justices
[1923] EWHC KB 1; [1924] 1 KB 256 at 259-260.
[320] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 528.
[321] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 527.
[322] Stollery [1972] HCA 53; (1972) 128
CLR 509 at 525.
[323] [2015] HCA 20; (2015) 255 CLR 135.
[324] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 149 [34].
[325] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 157 [63], 158 [68].
[326] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 150 [39].
[327] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 151 [42].
[328] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 143 [9], 151 [41].
[329] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 151 [43].
[330] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 152 [46].
[331] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 153 [49].
[332] Isbester [2015] HCA 20; (2015) 255
CLR 135 at 157 [63] (emphasis added).
[333] [2000] HCA 63; (2000) 205 CLR 337 at 350
[33]. See also Webb [1994] HCA 30; (1994) 181 CLR 41 at 74.
[334] [2015] HCA 20; (2015) 255 CLR 135 at 157
[63].
[335] cf Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 371; Isbester [2015] HCA 20; (2015) 255 CLR 135 at 152 [46].
See also CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 98 [56].
[336] R v Abdroikov [2007]
1 WLR 2679 at 2706 [81]; [2007] UKHL 37; [2008] 1 All ER 315 at 341. See also Smits v Roach
(2006) 227 CLR 423 at 456 [95]; British American Tobacco Australia
Services Ltd v Laurie (2011) 242 CLR 283 at 301 [35]; Isbester [2015] HCA 20; (2015)
255 CLR 135 at 155 [58]; CNY17 [2019] HCA 50; (2019) 268 CLR 76 at 118 [133].
[337] Webb [1994] HCA 30; (1994) 181 CLR
41 at 51.
[338] Australian Law Reform
Commission, Judicial Impartiality: The Fair-Minded Observer and its
Critics, Background Paper JI7 (2021) at 7-10 [27], citing Groves,
"The Rule against Bias" [2009] Monash University Law Research Series 10
and Groves, "Bias by the Numbers" [2020] AIAdminLawF 22; (2020) 100 AIAL Forum 60 at 65. See
also 7-10 [28], citing Gillies [2006] UKHL 2; [2006] 1 WLR 781 at 793 [39]; [2006] UKHL 2; [2006] 1 All
ER 731 at 745.
[339] Gillies [2006] UKHL 2; [2006] 1 WLR
781 at 793 [39]; [2006] UKHL 2; [2006] 1 All ER 731 at 745.
[340] Webb [1994] HCA 30; (1994) 181 CLR
41 at 52.
[341] Charisteas [2021] HCA 29; (2021) 273
CLR 289 at 297 [12], citing Johnson v Johnson [2000] HCA 48; (2000) 201 CLR 488 at 493
[13].
[342] Webb [1994] HCA 30; (1994) 181 CLR
41 at 73.
[343] Wilson v Minister for
Aboriginal and Torres Strait Islander Affairs [1996] HCA 18; (1996) 189 CLR 1 at 23.
[344] Johnson [2000] HCA 48; (2000) 201
CLR 488 at 508 [53].
[345] Olowofoyeku, "Bias and the
Informed Observer: A Call for a Return to Gough" (2009) 68 Cambridge Law
Journal 388 at 393. See also Smits v Roach (2006) 227 CLR 423 at 457
[96]; British American Tobacco (2011) 242 CLR 283 at 306 [48].
[346] See Webb [1994] HCA 30; (1994) 181
CLR 41 at 52.
[347] Johnson [2000] HCA 48; (2000) 201
CLR 488 at 493 [13].
[348] Johnson [2000] HCA 48; (2000) 201
CLR 488 at 493 [12], citing Vakauta v Kelly (1988) 13 NSWLR 502 at 527
and Vakauta v Kelly [1989] HCA 44; (1989) 167 CLR 568 at 584-585.
[349] Australian Law Reform
Commission, Judicial Impartiality: The Fair-Minded Observer and its
Critics, Background Paper JI7 (2021) at 7-10 [29].
[350] Wilson [1996] HCA 18; (1996) 189 CLR
1 at 23. See also Laws v Australian Broadcasting Tribunal [1990] HCA 31; (1990) 170 CLR
70 at 87-88, referring to Vakauta v Kelly [1989] HCA 44; (1989) 167 CLR 568.
[351] Johnson [2000] HCA 48; (2000) 201
CLR 488 at 508 [53].
[352] British American
Tobacco (2011) 242 CLR 283 at 306 [48].
[353] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[354] See CNY17 [2019] HCA 50; (2019) 268
CLR 76 at 90 [28].
[355] Including through
publications such as Australasian Institute of Judicial Administration, Guide
to Judicial Conduct, 3rd ed (rev) (2022) at 11-18.
[356] Abdroikov [2007] 1
WLR 2679 at 2706 [81]; [2007] UKHL 37; [2008] 1 All ER 315 at 342.
[357] Gillies [2006] UKHL 2; [2006] 1 WLR
781 at 793 [39]; [2006] UKHL 2; [2006] 1 All ER 731 at 745.
[358] S & M Motor
Repairs (1988) 12 NSWLR 358 at 372.
[359] S & M Motor Repairs
(1988) 12 NSWLR 358 at 372-373.
[360] See Director of Public
Prosecutions Act 1983 (Cth), especially ss 7 and 8.
[361] [2015] HCA 20; (2015) 255 CLR 135 at 157
[63], 158 [68].
[362] cf Re Polites; Ex parte
Hoyts Corporation Pty Ltd [1991] HCA 25; (1991) 173 CLR 78 at 91.
[363] Libke v The Queen
[2007] HCA 30; (2007) 230 CLR 559 at 586 [71]; HT v The Queen (2019) 269 CLR 403 at
428 [59].
[364] Mabo v Queensland [No
2] [1992] HCA 23; (1992) 175 CLR 1 at 29.
[365] Ebner v Official Trustee
in Bankruptcy [2000] HCA 63; (2000) 205 CLR 337 ("Ebner") at 344 [6].
[366] These are part of the terms
of the judicial oath: see, eg, s 11 of the Federal Court of Australia
Act 1976 (Cth) and the Schedule to that Act, and s 11 of the High
Court of Australia Act 1979 (Cth) and the Schedule to that Act.
[367] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 344 [6].
[368] Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 352.
[369] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [20].
[370] Australasian Institute of
Judicial Administration, Guide to Judicial Conduct, 3rd ed (rev) (2022)
at 12.
[371] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 87 [18].
[372] Livesey v New South Wales
Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294.
[373] Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 352.
[374] Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 371.
[375] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [20].
[376] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [21].
[377] Livesey v New South Wales
Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294, citing Re Lusink; Ex parte
Shaw (1980) 55 ALJR 12 at 16; 32 ALR 47 at 54.
[378] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020]
FCA 1810.
[379] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328 at 346 [60].
[380] Section 91X of the
Migration Act 1958 (Cth).
[381] Australasian Institute of
Judicial Administration, Guide to Judicial Conduct, 3rd ed (rev) (2022)
at 12.
[382] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328.
[383] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328 at 346 [60].
[384] QYFM v Minister for
Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 166; (2021)
287 FCR 328 at 346 [61].
[385] Section 501(3A)(a) of the
Migration Act.
[386] Section 501(6), (7) of the
Migration Act.
[387] Section 501CA(3)(b) of the
Migration Act.
[388] Section 501CA(4)(b) of the
Migration Act.
[389] Section 500(1)(ba) of the
Migration Act.
[390] Section 43(1) of the
Administrative Appeals Tribunal Act 1975 (Cth).
[391] Section 476A(1)(b) of the
Migration Act.
[392] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[393] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[394] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[395] [2000] HCA 63; (2000) 205 CLR 337 at 345
[8].
[396] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348-351 [22]- [37].
[397] Livesey v New South Wales
Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294.
[398] Livesey v New South Wales
Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294.
[399] [2015] HCA 20; (2015) 255 CLR 135 at 149
[34].
[400] [2000] HCA 63; (2000) 205 CLR 337 at 345
[8], 348-351 [22]-[37].
[401] Whitehorn v The Queen
[1983] HCA 42; (1983) 152 CLR 657 at 663-664.
[402] Libke v The Queen
[2007] HCA 30; (2007) 230 CLR 559 at 586 [71], citing Randall v The Queen [2002] UKPC 19; [2002] 1 WLR
2237 at 2241, in turn citing R v Puddick [1865] EngR 61; (1865) 4 F & F 497 at 499
[176 ER 662 at 663] and R v Banks [1916] 2 KB 621 at 623.
[403] Libke v The Queen
[2007] HCA 30; (2007) 230 CLR 559 at 586 [71], quoting Richardson v The Queen [1974] HCA 19; (1974) 131
CLR 116 at 119.
[404] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[405] CNY17 v Minister for
Immigration and Border Protection [2019] HCA 50; (2019) 268 CLR 76 at 90 [28].
[406] Webb v The Queen
[1994] HCA 30; (1994) 181 CLR 41 at 73. See also Johnson v Johnson [2000] HCA 48; (2000) 201 CLR 488 at
493 [13].
[407] Johnson v Johnson
[2000] HCA 48; (2000) 201 CLR 488 at 493 [12], quoting Vakauta v Kelly (1988) 13 NSWLR
502 at 527, adopted in Vakauta v Kelly [1989] HCA 44; (1989) 167 CLR 568 at 584-585.
[408] Isbester v Knox City
Council [2015] HCA 20; (2015) 255 CLR 135 at 146 [23].
[409] Johnson v Johnson
[2000] HCA 48; (2000) 201 CLR 488 at 493 [13].
[410] Dickason v Edwards
[1910] HCA 7; (1910) 10 CLR 243 at 259. See also Ebner [2000] HCA 63; (2000) 205 CLR 337 at 359 [62];
Isbester v Knox City Council [2015] HCA 20; (2015) 255 CLR 135 at 149-153 [34]- [49].
[411] Stollery v Greyhound
Racing Control Board [1972] HCA 53; (1972) 128 CLR 509 at 519, citing R v Sussex
Justices; Ex parte McCarthy [1923] EWHC KB 1; [1924] 1 KB 256 at 259.
[412] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [7].
[413] [2003] WASCA 275; (2003) 27 WAR 554.
[414] (1988) 50 SASR 392.
[415] McCreed v The Queen
[2003] WASCA 275; (2003) 27 WAR 554 at 561 [17]; R v Garrett (1988) 50 SASR 392 at 400.
[416] [2003] WASCA 275; (2003) 27 WAR 554 at 568
[45].
[417] (1988) 50 SASR 392 at
400-401.
[418] R v Garrett (1988) 50
SASR 392 at 400.
[419] North Australian
Aboriginal Legal Aid Service Inc v Bradley [2004] HCA 31; (2004) 218 CLR 146 at 162-163
[27]- [29], citing Ebner [2000] HCA 63; (2000) 205 CLR 337 at 363 [81], 373 [116].
[420] Appleby and McDonald, "Pride
and Prejudice: A Case for Reform of Judicial Recusal Procedure" (2017) 20
Legal Ethics 89 at 90.
[421] Perry, Disqualification
of Judges: Practice and Procedure, Australasian Institute of Judicial
Administration Discussion Paper (2001) at 22 [2.39].
[422] eg, Olowofoyeku, "Bias in
Collegiate Courts" (2016) 65 International and Comparative Law Quarterly
895; Appleby and McDonald, "Pride and Prejudice: A Case for Reform of Judicial
Recusal Procedure" (2017) 20 Legal Ethics 89.
[423] Australian Law Reform
Commission, Without Fear or Favour: Judicial Impartiality and the Law on
Bias, Report No 138 (2021) at 234-240 [7.12]-[7.32], 263-270
[7.102]-[7.125].
[424] Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21; "Senior law
lord told to make sure embarrassment is not repeated", The Guardian, 18
December 1998 at 7.
[425] See, eg, fnn 33 to 39 in the
reasons of Kiefel CJ and Gageler J.
[426] [2000] HCA 63; (2000) 205 CLR 337 at
397-398 [185].
[427] [2000] HCA 63; (2000) 205 CLR 337 at 361
[74].
[428] [1998] HCATrans 43
(18 February 1998) at lines 28-30; Kartinyeri v The Commonwealth
[No 2] (1998) 72 ALJR 1334; 156 ALR 300.
[429] [2013] HCATrans 263
(5 November 2013) at lines 53-77.
[430] For example, under the
Federal Court of Australia Act 1976 (Cth) a Full Court of the Federal
Court "consists of 3 or more Judges sitting together" (s 14(2)) and the
appellate jurisdiction of the Court must be exercised by a Full Court subject to
immaterial exceptions (s 25(1)).
[431] Jewell Ridge Coal Corp v
Local No 6167 [1945] USSC 123; (1945) 325 US 897 at 897.
[432] eg, GetSwift Ltd v
Webb [2021] FCAFC 26; (2021) 283 FCR 328 at 330 [1]; cf Mason, "Judicial Disqualification for
Bias or Apprehended Bias and the Problem of Appellate Review" (1998) 1
Constitutional Law & Policy Review 21 at 22.
[433] Locabail (UK) Ltd v
Bayfield Properties Ltd [1999] EWCA Civ 3004; [2000] QB 451 at 466-467.
[434] [2000] HCA 63; (2000) 205 CLR 337 at 348
[21].
[435] Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 352.
[436] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 348 [20].
[437] Re JRL; Ex parte CJL
[1986] HCA 39; (1986) 161 CLR 342 at 352.
[438] eg, s 23 of the
Judiciary Act 1903 (Cth); s 16 of the Federal Court of Australia
Act 1976 (Cth).
[439] Livesey v New South Wales
Bar Association [1983] HCA 17; (1983) 151 CLR 288 at 294, citing Re Lusink; Ex parte
Shaw (1980) 55 ALJR 12 at 16; 32 ALR 47 at 54.
[440] cf Mason, "Judicial
Disqualification for Bias or Apprehended Bias and the Problem of Appellate
Review" (1998) 1 Constitutional Law & Policy Review 21 at 22; see
also Campbell, "Review of Decisions on a Judge's Qualification to Sit" [1999] QUTLawJl 1; (1999) 15
Queensland University of Technology Law Journal 1 at 3-4.
[441] Re Nash [No 2] [2017] HCA 52; (2017)
263 CLR 443 at 450 [16], quoting Federated Engine-Drivers and Firemen's
Association of Australasia v Broken Hill Pty Co Ltd [1911] HCA 31; (1911) 12 CLR 398 at
415.
[442] s 16 of the Federal
Court of Australia Act 1976 (Cth).
[443] eg, CPJ16 v Minister for
Home Affairs [2020] FCAFC 212 at [50].
[444] Ebner [2000] HCA 63; (2000) 205 CLR
337 at 345 [8].
[445] Kartinyeri v The
Commonwealth [No 2] (1998) 72 ALJR 1334 at 1334-1336 [1]-[26]; 156 ALR 300
at 300‑304.
[446] Australasian Institute of
Judicial Administration, Guide to Judicial Conduct, 3rd ed (rev) (2022)
at 18.
[447] Johnson v Johnson
[2000] HCA 48; (2000) 201 CLR 488 at 493 [13].