Leave to raise a new ground for the first time on appeal
31 The indulgence sought by the applicant in relation to the raising of a new ground on appeal that was not advanced before the trial judge, should only be granted if it is expedient in the interests of justice to do so: VUAX v Minister for Immigration and Multicultural and Indigenous Affairs (2004) 238 FCR 588, 598 - 599 [46] - [48]. In reaching that view in that case, the Full Court relied upon the observations of a majority of the High Court in Coulton v Holcombe (1986) 162 CLR 1, 7, where it was said:
It is fundamental to the due administration of justice that the substantial issues between the parties are ordinarily settled at the trial. If it were not so the main arena for the settlement of disputes would move from the court of first instance to the appellate court, tending to reduce the proceedings in the former court to little more than a preliminary skirmish.
32 That concern looms large in this case where there was no first instance consideration of the point now sought to be advanced on appeal.
33 The general principles relevant to the exercise of the Court's discretion to allow a new ground to be raised for the first time on appeal were referred to in Tohi v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs (2021) 285 FCR 187, 193 - 195 [13] - [15] (Tohi), in the following terms:
13 The decision in VUAX v Minister for Immigration and Multicultural and Indigenous Affairs (2004) 238 FCR 588 (VUAX) has been regarded for many years as identifying the principles applicable to determining whether leave ought to be granted to an appellant to raise a new ground on appeal. The overriding rubric of whether leave to do so is in the interests of justice is well established. It is also well accepted that within the deliberative process of deciding that question certain, almost ubiquitous, issues arise for consideration. They include the following:
(1) That in the ordinary operation of the court structure, the substantial issues between parties to litigation are decided at trial. Leave is not granted merely for the asking and hearings before courts at first instance are not to be regarded as provisional: Coulton v Holcombe (1986) 162 CLR 1 at 7-8.
(2) Has the applicant for leave provided any adequate or acceptable explanation for why the ground was not raised below? This is a significant matter: NAJT v Minister for Immigration and Multicultural and Indigenous Affairs (2005) 147 FCR 51 at [166]. The fact that new counsel may have been engaged for the purposes of the appeal and has identified the new point is not, of itself, sufficient: BLX16 v Minister for Immigration and Border Protection [2019] FCAFC 176 at [31]; CSZ15 v Minister for Immigration and Border Protection [2017] FCA 706 at [11]; DKT16 v Minister for Immigration and Border Protection [2019] FCAFC 208 at [31] (DKT16).
(3) The making of a deliberate forensic decision in the hearing below not to take a point strongly militates against the granting of leave to advance it on appeal: DKT16 at [31]; Singh v Minister for Immigration and Border Protection (2018) 261 FCR 556 at [61]; Li Pei Ye v Crown Ltd [2004] FCAFC 8 at [79]; SZWCO v Minister for Immigration and Border Protection [2016] FCA 51 at [38]. It may follow that, where the appellant demonstrates that the point was not taken below as a result of an oversight, the negative weight accorded to the omission will not be as great.
(4) Whether there exists any prejudice to the respondent in permitting the new ground to be agitated? Necessarily, where the new ground sought to be raised might have been met by evidence at trial, the need to accord the respondent procedural fairness will usually prevent leave being granted: SZQYM v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs (2020) 169 ALD 579 at [136]. Conversely, where the new point sought to be raised turns on a question of law or construction, or where the facts are not in controversy, leave is more likely to be given. Even then, if leave is granted, the consequence for the respondent is the removal of a right of appeal on the point with the remaining avenue for redress being the limited prospects of obtaining special leave to the High Court: Leota v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020] FCA 1120 (Leota) at [44]; AAM15 v Minister for Immigration and Border Protection (2015) 231 FCR 452 at [14].
(5) The nature and extent of the prejudice which will be suffered by the appellant if leave is not granted will also usually be relevant. In migration appeals, this consideration can extend to persons associated with the appellant who might be affected as a result of an appeal being dismissed.
(6) The criterion of whether the proposed new ground has merit has been referred to as "an important consideration": Maharjan v Minister for Immigration and Border Protection (2017) 258 FCR 1 at [33]; Leota at [43]. In NWQR v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 30, the Full Court observed (at [31]) that, in common with the approach adopted in determining whether an extension of time in which to appeal should be granted, the determination of whether any proposed new ground of appeal has merit is assessed at a relatively impressionistic level, and the Court should not descend into a fuller consideration of arguments for and against each proposed new ground.
14 Although the above represent criteria which often fall for consideration in the determination of an application for leave to raise a new ground, the broadness of the overriding question of whether it is in the interests of justice to grant leave should not be overlooked. In MBJY v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs (2021) 284 FCR 152, Allsop CJ said (at [2]):
… I refer to and repeat what I said in SZQYM v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs [2020] FCA 779 at [136] about leave to argue new points on appeal. The ultimate question is the interests of justice, which extend to the potential vindication of a just outcome, to which is relevant the seriousness of the consequences of the decision: cf Iyer v Minister for Immigration [2000] FCA 1788 at [22]. Whilst not intending to identify any error in the way Bromwich J helpfully summarised some of the cases in Han v Minister for Home Affairs [2019] FCA 331 at [10]-[18] care is always necessary in a discretion of this kind not to over-conceptualise or over-categorise matters, which, in any particular case, may be seen to affect the interest of justice, into categories of consideration to be applied as rules or as a set of rules.
15 Whilst his Honour's observations are entirely correct and judicial discretions of the nature under discussion ought not to be constrained by artificial limitations, that does not suggest the absence of a principled approach to the exercise of the Court's power which is likely to ensure coherency in its exercise and result in like cases being treated in similar ways. It may be that some of the categorisation to which the Chief Justice was referring included the observations of the Full Court in VUAX where it identified (at [48]) two circumstances which might be regarded as having a likely outcome. The first was that:
The Court may grant leave if some point that was not taken below, but which clearly has merit, is advanced, and there is no real prejudice to the respondent in permitting it to be agitated.
The second was that:
Where, however, there is no adequate explanation for the failure to take the point, and it seems to be of doubtful merit, leave should generally be refused.
34 It is to be acknowledged that those views were expressed in dissent (as to the exercise of the discretion in that case). Nevertheless, the summary of the principles at [13] has subsequently been endorsed by the Full Court in AZAFF (at [35]) and in TGWR v Minister for Immigration, Citizenship, Migrant Services and Multicultural Affairs [2021] FCAFC 200 [21]. However, in view of the High Court's decision in Katoa, it may be that the sixth point of that summary is no longer accurate or complete as a statement of the law: Ali v Minister for Immigration, Citizenship and Multicultural Affairs [2022] FCAFC 140 [13] - [14].
35 The first consideration here is that the appellate court ought not be the forum for the determination of the substantial issues between the parties to litigation. That should occur at first instance, particularly where questions about the existence or availability of evidence are in issue. As the authorities referred to identify, leave to add a new ground is not one which is granted for the asking, and that emphasises that determinations by courts at first instance are not to be regarded as provisional. This is especially so in the present case where the Authority's decision was extensive and detailed. The appellate court is entitled to have some analysis from the trial and resultant decision rather than undertaking the trial process itself.
36 The second and more important issue is whether an adequate explanation has been provided as to why the new ground was not raised below. In this context, it is relevant that the applicant was represented before the FCFCOA by solicitors, and one might expect that he received appropriate advice as to the grounds which ought to have been agitated in that forum. There is nothing in the evidence to suggest that the applicant's former lawyers failed in their duty to analyse the evidence with which they were provided or that they were deficient in articulating the grounds of review which were most favourable to him.
37 It is of especial relevance that the evidence is silent on why the proposed new ground was not articulated. There is nothing on which this Court can be satisfied that the failure to take the point was not a forensic decision as opposed to being an oversight: Tohi at 195 - 196 [16], [17], [18(b)]. The applicant was represented before this Court and there is no evidence to the effect that he was unable to secure evidence in relation to that issue. The mere fact that new lawyers have been engaged for the purposes of the current appeal and have articulated a new point is not sufficient to provide an adequate explanation as to why the new ground was not advanced at first instance. The failure to provide an adequate explanation in this respect is a not insignificant hurdle to the granting of leave: Tohi at 196 - 197 [19].
38 A further difficulty raised by the Minister is that he may be prejudiced in dealing with the proposed new ground. The new ground relates to the applicant's alleged involvement with an elite military force of the LTTE, being the Charles Anthony Brigade, and his role with that unit involving Claymore bombs. It appears that the argument sought to be advanced turns in part on the evidence which was before the Authority including information provided by the applicant and Country Information. Although some indication of the material that was before the Authority can be gleaned from its reasons, in circumstances where the Authority had no obligation to extract or refer to all of the evidence before it, there is difficulty in inferring that only the evidence referred to in its reasons reflects all that was before it.
39 The Minister also complains that the manner in which the Authority dealt with this new issue needs to be contextualised by reference to all the material before it with the result that had the proposed new ground been raised, the Minister may have sought to investigate all of the material before the Authority, including a transcript of the audio of the interview with the applicant and all Country Information in the Authority's possession.
40 As a general rule, a party will not be permitted to agitate a new ground for the first time on appeal where there is "any possibility" that a respondent might have been able to meet the new ground were it raised at first instance: Branir Pty Ltd v Owston Nominees (No 2) Pty Ltd (2001) 117 FCR 424, 439 - 440 [37] - [38]. That principle has been reiterated by the High Court on a number of occasions where it has indicated that the strict application of the principle is necessary in the interests of the administration of justice: see Suttor v Gundowda (1950) 81 CLR 418, 438; Water Board v Moustakas (1998) 180 CLR 491, 497; Metwally v University of Wollongong (1985) 60 ALR 68, 71; Coulton v Holcombe (1986) 162 CLR 1, 7 - 8; Whisprun Pty Ltd v Dixon (2003) 200 ALR 447, 461 [51]. Moreover, if there exists any possibility of a new ground being met by evidence at first instance, there is a general presumption that the respondent will suffer irremediable prejudice if the ground is allowed: NAJJ v Minister for Immigration and Multicultural and Indigenous Affairs (2005) 147 FCR 51, 68 [77] - [78].
41 On the hearing of the application the applicant submitted that the Minister was in possession of the recording of the interview between the Authority and the applicant, such that he was in the position of identifying all of the relevant evidence from that hearing that might be relevant to the new ground. However, the Minister carries no onus to establish that he is able to search through the available evidence and attempt to respond to any factual issue raised by the new ground. The discrimen is whether there is a possibility that the ground sought to be raised could be met by new evidence. If there is, the Court will necessarily be reluctant to allow the new ground to be raised, lest the appeal court become the primary forum for the determination of disputed questions of fact and the party opposing leave be placed in a difficult position.
42 In addition, the Minister would suffer the prejudice of being denied one level of appeal if the point is decided against him. In reality, where the next avenue is an application for special leave to appeal, the Minister will likely be denied any rights at all: see ss 24, 33 of the Federal Court Act; Tohi [18(c)].
43 It is also relevant that the abandoning of all other grounds of appeal and reliance on the new ground comes at a very late stage of the proceedings. As mentioned, it followed the filing of written submissions by the Minister which dealt with the previously proposed grounds of appeal. No explanation has been given for the lateness of the proposed amendments.
44 It was also submitted for the applicant that there is a particular sensitivity in refugee cases to whether the interests of justice favour the grant of leave, because an adverse decision may have very serious consequences for the applicant: CGA15 v Minister for Home Affairs (2019) 268 FCR 362, 372 [36]. That may be so, but it is not a freestanding consideration and really amounts to according heightened importance to the consideration of the merit (if any) of the proposed new ground: NAJT v Minister for Immigration and Multicultural and Indigenous Affairs (2005) 147 FCR 51, 85 - 86 [166] - [175].