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[2006] HCA 17
High Court of Australia
2006-05-10
Gleeson CJ, Crennan JJ
Original judgment source is linked above.
GUMMOW, KIRBY, HAYNE, CALLINAN, HEYDON AND CRENNAN JJ
On appeal from the Supreme Court of New South Wales
J F Bleechmore for the appellant (instructed by Ellinghaus & Lindner)
M G Sexton SC, Solicitor-General for the State of New South Wales with K M Richardson for the first and third respondents (instructed by Crown Solicitor for New South Wales)
D M J Bennett QC, Solicitor-General of the Commonwealth with M J Leeming for the second respondent (instructed by Australian Government Solicitor)
C J Kourakis QC, Solicitor-General for the State of South Australia with
J-A Lake intervening on behalf of the Attorney-General for the State of South Australia (instructed by Crown Solicitor's Office (SA))
M Sloss SC with C J Horan intervening on behalf of the Attorney-General for the State of Victoria (instructed by Victorian Government Solicitor)
Notice: This copy of the Court's Reasons for Judgment is subject to formal revision prior to publication in the Commonwealth Law Reports.
Constitutional law (Cth) − Power with respect to service and execution throughout the Commonwealth of civil and criminal process − Summons served under State law upon person in another State to attend State commission of inquiry with investigative functions − Summons a "subpoena" for the purpose of the Service and Execution of Process Act 1992 (Cth) − "Civil and criminal process" − Whether "civil and criminal process" includes process relating to purely investigative functions of tribunals which are not in aid of an adjudicative function − Whether s 76 of the Service and Execution of Process Act 1992 (Cth) a valid exercise of Commonwealth legislative power.
Constitutional law (Cth) - Power with respect to service and execution throughout the Commonwealth of civil and criminal process - Parties did not contend that such power is confined to process of the courts of the States - Whether the High Court can nevertheless consider whether such power is so confined - Paramountcy of the Constitution.
Constitutional law (Cth) - Power with respect to service and execution throughout the Commonwealth of civil and criminal process - Whether such power is confined to process of the courts of the States - Whether increased potential for infringement of liberty associated with extending such power to process of State non-court bodies is a consideration supportive of narrower construction of such power - Proliferation of State non-court bodies that issue process - Relevance to constitutional meaning of changing features of modern government.
Service and Execution of Process Act 1992 (Cth), Pt 4, ss 47-80.
New South Wales Crime Commission Act 1985 (NSW), ss 18, 18AA, 35.
"a process that requires a person to do one or both of the following:
but does not include a process that requires a person to produce a document in connection with discovery and inspection of documents." (emphasis added)
The term "tribunal" is defined in s 3(1) as follows:
(a) a person appointed by the Governor of a State, or by or under a law of a State; or
(b) a body established by or under a law of a State;
and authorised by or under a law of the State to take evidence on oath or affirmation, but does not include:
(d) a person exercising a power conferred on the person as a judge, magistrate, coroner or officer of a court." (emphasis added)
The term "court", as presently material, is defined in s 3(1) as meaning "a court of a State" and as including "an authority exercising the powers of such a court"; in turn, "authority" is defined as meaning "a judge, magistrate, coroner or officer of a court appointed or holding office under a law of a State".
"the function of determining the rights or liabilities of a person in a proceeding in which there are 2 or more parties, including the function of making a determination:
(b) relating to any matters of a kind mentioned in section 48".
Section 76, the critical provision for this appeal, reads:
"(1) The Supreme Court of a State in which a subpoena is issued may, on application, give leave to serve the subpoena outside the State.
(2) The court may give leave only if it is satisfied that:
(a) the evidence likely to be given by the person to whom the subpoena is addressed, or a document or thing specified in the subpoena, is relevant to the performance by the tribunal of the investigative function concerned; and
(b) if the evidence, document or thing may constitute or contain evidence that relates to matters of state - it is in the public interest that the evidence be given or the document or thing be produced.
(a) is to impose a condition that the subpoena not be served after a specified day; and
The interrelation between the State and federal statutes
"the service and execution throughout the Commonwealth of the civil and criminal process and the judgments of the courts of the States".
"The nature of this power, as well as the prior history of the subject to which it relates, provides strong ground for interpreting it as enabling the federal legislature to regulate the manner in which officers of the law in one State should act with reference to the execution of the process of another State. It is a legislative power given to the central legislature for the very purpose of securing the enforcement of the civil and criminal process of each State in every other State. It is given to the central legislature because before federation it had been found that territorial limitations upon colonial power made the effective reciprocal action of the colonies in this field difficult, to the point of impossibility[15]. It is a power to be exercised in aid of the functions of the States and does not relate to what otherwise is a function of the Commonwealth. No doubt the words 'throughout the Commonwealth' include the Territories, at all events those within Australia, but that involves no material qualification of the statement."
"The difficulties which had existed in the Australian colonies in the nineteenth century affecting the service or execution in a colony of process issued in another colony lent some force to the notion that the law of a State may not have made adequate provision for the issue of a warrant in circumstances where a subpoena or summons issued in that State was served in another State and was not complied with. It was an established rule of construction that the process of a court did not run beyond its territorial jurisdiction[17]. And the courts of one colony might declare that a statute of another colony providing for an extra‑territorial operation of its process was ultra vires on the ground that it exceeded the power to legislate for the good government of the colony[18]."
"(d) the service of civil process of the courts of any colony within Her Majesty's possessions in Australasia out of the jurisdiction of the colony in which it is issued:
(e) the enforcement of judgments of courts of law of any colony beyond the limits of the colony:
(f) the enforcement of criminal process beyond the limits of the colony in which it is issued, and the extradition of offenders (including deserters of wives and children, and deserters from the Imperial or Colonial naval or military forces".
These powers were exercised and three statutes were in force at the commencement of the 1901 Act. Section 2 of the 1901 Act repealed The Australasian Civil Process Act 1886, The Australasian Judgments Act 1886 and The Australasian Testamentary Process Act 1897 ("the 1897 Act"). The first of these laws made provision for the service outside the colony of writs of summons issued out of the Supreme Court. The second provided for the enforcement of judgments recovered in a Supreme Court whereby any sum of money was made payable or the doing of or the forebearing to do any act was required or enjoined (s 2). The 1897 Act made provision for the enforcement by the Supreme Court of the first colony of orders made by the Supreme Court of the second colony for the production of testamentary instruments believed to be in the first colony and required to obtain probate or registration in the second colony.
"Process includes the doing of something in a criminal court or proceeding, as well as in a civil court or proceeding. A summons from a judicial officer to appear and answer a criminal charge is a process. A warrant issued by a judicial officer, directing the arrest of a person on a criminal charge, is a process."
"The word 'process' viewed as a legal term is a word of comprehensive signification. In its broadest sense it is equivalent to 'proceedings' or 'procedure' and may be said to embrace all the steps and proceedings in a case from its commencement to its conclusion. 'Process' may signify the means whereby a Court compels a compliance with its demands. Every writ is, of course, a process, and in its narrowest sense the term 'process' is limited to writs or writings issued from or out of a Court under the seal of the Court and returnable to the Court."
But the term "process" was said by Schroeder JA "to extend to a formal writing issued under authority of law by an official having the authority to issue it as a means of enforcing a judgment of the Court"[25]. On the other hand, the exercise by a landlord of a common law power of distraint would not ordinarily be "process"[26]. It will be convenient to return to the term "process" after reference to the course of decision respecting s 51(xxiv).
"The hearing of committal proceedings in respect of indictable offences by an inferior court is a function which is sui generis. Traditionally committal proceedings have been regarded as non‑judicial on the ground that they do not result in a binding determination of rights. At the same time they have a distinctive judicial character because they are curial proceedings in which the magistrate or justices constituting the court is or are bound to act judicially and because they affect the interests of the person charged[30]."
It was this reasoning upon which the Court relied in Murphy for the conclusion that the federal law investing authority in the courts and magistrates of the States to commit for trial persons charged with offences against Commonwealth law was a law for investing a State court with jurisdiction in a "matter" arising under a law of the Commonwealth within the meaning of s 77(iii) of the Constitution. The entire "matter" comprised the commital proceedings and a subsequent trial[31].
"[a] summons issued by a justice for the purpose of securing the attendance of a witness at a committal proceeding is not only 'process' within the ordinary meaning of that expression, but is part of the criminal process of a State within par (xxiv), whether or not it can properly be described as the process of a court."
"[I]n my view the summons is process of a court if it is issued by or out of a court and it commands the witness to appear and give evidence in proceedings in that court. In each case the witness summons was issued by a magistrate under s 12 and s 23 of the Justices Act [1921 (SA)] and required the witness to give evidence in the matter of an information laid in a court of summary jurisdiction. It was, accordingly, a process of that court."
"It might be thought that the words 'courts of the States' in s 51(xxiv) include all bodies which are courts according to the law of the States, whether or not those bodies exercise judicial power. However, it is not in my opinion necessary to decide whether a magistrate in South Australia when holding a preliminary examination for the purpose of deciding whether a person charged with an indictable offence should be committed for trial, or issuing a summons or warrant for the purpose of procuring the attendance of a witness at such a preliminary examination, can be described as one of 'the courts of the States' within s 51(xxiv) of the Constitution. It is therefore unnecessary to consider whether the words 'the courts of the States' in that paragraph refer only to tribunals exercising judicial powers, or whether the provisions of Pt V of the Justices Act show that a magistrate holding such preliminary examination or issuing such a summons or warrant is not a court according to the law of South Australia."
"s 51(xxiv) enables laws to be made with respect to the service and execution of (1) the civil and criminal process of the States, and (2) the judgments of the courts of the States".
Barwick CJ, McTiernan J, Menzies J, Walsh J, Stephen J and Mason J[36] agreed with this construction of s 51(xxiv).
"The words 'criminal process' are capable, in their natural and ordinary meaning, of extending to encompass compulsory powers to force attendance to give evidence in a criminal investigation by such a statutory authority. The context which suggests that the words should be read down is the reference to 'service and execution'. However, the force of that context in narrowing the interpretation is considerably attenuated by the fact, established by Ammann, that the words 'of the courts' do not qualify the words 'civil or criminal process'. These words are at large, albeit in the immediate context of 'service and execution'. No authority has been cited to the Court which would suggest that these words, in such a context, should be confined to the determination of legal disputes or the enforcement of laws."
"No more is involved, in my opinion, in the notion of the civil and criminal process to which par (xxiv) refers than a document which may be served or an order which may be executed in relation to proceedings for the establishment of legal rights or the enforcement of the criminal law."
However, what is there said must be read in context. The Chief Justice was responding to an argument that the process spoken of in s 51(xxiv) is limited to that issued by a court or which initiates a legal proceeding. When read with that in mind, the passage in question does not give the present appellant the support he seeks to draw from it.
"The questions about the construction of the Constitution, which fall for decision in this Court, require particular answers to particular questions arising in a live controversy between parties. The task of the Court is not to describe the metes and bounds of any particular constitutional provision; it is to quell a particular controversy by deciding whether, in the circumstances presented in the matter, the relevant constitutional provisions do or do not have the consequence for which a party contends."
The facts, legislation and constitutional provisions
"The service and execution throughout the Commonwealth of the civil and criminal process and the judgments of the courts of the States."
"The recognition throughout the Commonwealth of the laws, the public Acts and records, and the judicial proceedings of the States."
"Full faith and credit shall be given, throughout the Commonwealth to the laws, the public Acts and records, and the judicial proceedings of every State."
(1) The confinement to court process issue: Whether the federal SEP Act is invalid because the only provisions that it may make for service and execution throughout the Commonwealth of "civil and criminal process" is for the "process" of "the courts of the States" and hence not the "process" of a defined non-court "tribunal", such as the Commission.
(2) The criminal process issue: Assuming (as authority suggests[85]) that the "civil and criminal process" referred to in s 51(xxiv) of the Constitution is not confined to that of "the courts of the States", but is disjunctive and free-standing, is the "process" envisaged confined to documents executed "in relation to proceedings for the establishment of legal rights or the enforcement of the criminal law"[86]? If it is, the appellant argued that the purpose of the "process" in question, being the investigation of whether there are any relevant legal obligations requiring enforcement of the criminal law, a summons issued by the Commission is not the kind of "process" envisaged by the Constitution and hence, so far as the SEP Act purports to attach coercive requirements to the Commission's summons, it exceeds the nominated source of power. It is invalid. No incidental or other power can breathe life into it.
(3) The State law issue: If the foregoing issues are determined against the appellant, does the State Act, by its own terms, (without the need for leave under federal law for interstate service) validly apply to the appellant anywhere within Australia so as to oblige his attendance before the Commission? Is the State Act "picked up" and applied in federal jurisdiction? Or, if the SEP Act is in this regard invalid, is the State Act constitutionally capable, by its own force, of applying beyond the State of New South Wales to a person such as the appellant, having regard to the principles governing the extra-territorial operation of State laws within the Commonwealth without any need for federal legislative support[87]?
The arguable confinement of the power to court process
"The nature of this power, as well as the prior history of the subject to which it relates, provides strong ground for interpreting it as enabling the federal legislature to regulate the manner in which officers of the law in one State should act with reference to the execution of the process of another State. It is a legislative power given to the central legislature for the very purpose of securing the enforcement of the civil and criminal process of each State in every other State. It is given to the central legislature because before federation it had been found that territorial limitations upon colonial power made the effective reciprocal action of the colonies in this field difficult, to the point of impossibility."
Later in the same reasons, this Court pointed out that[102]:
"A justice of the peace is not a court and in at least one State he has no strictly judicial functions."
On the other hand, the actual constitutional issues decided in Aston were not specific to the issue whether "the civil and criminal process" referred to in s 51(xxiv) of the Constitution was confined to that "of the courts of the States". The request in that case, for leave to enforce the proceedings commenced in South Australia, concerned an attempt to have the defendants appear before the Police Court in Adelaide. Such a court (or its equivalent) would almost certainly now be considered one of the "courts of the States" within the meaning of that phrase in s 51(xxiv), giving the words the broad interpretation proper to a constitutional provision. Two other issues argued in Aston concerned the supposed impermissibility of entrusting to State officers "part of the executive power of the Commonwealth"[103] or invalidly conferring on State magistrates part of the judicial power of the Commonwealth[104].
"[I]n s 51(xxiv), which empowers the Parliament to make laws with respect to 'the service and execution throughout the Commonwealth of the civil and criminal process and the judgments of the courts of the States', the word 'process' is not governed by the words 'of the courts'; those words refer only to 'judgments'. In other words, s 51(xxiv) enables laws to be made with respect to the service and execution of (1) the civil and criminal process of the States, and (2) the judgments of the courts of the States."
"No more is involved, in my opinion, in the notion of the civil and criminal process to which par (xxiv) refers than a document which may be served or an order which may be executed in relation to proceedings for the establishment of legal rights or the enforcement of the criminal law."
"Its issue and execution is to make effective the civil or criminal process of a State to compel the attendance of witnesses required to give evidence at civil or criminal proceedings instituted in the State."
"[T]he summons is a process of a court if it is issued by or out of a court and it commands the witness to appear and give evidence in proceedings in that court. In each case the witness summons was issued by a magistrate under s 12 and s 23 of the Justices Act [1921 (SA)] and required the witness to give evidence in the matter of an information laid in a court of summary jurisdiction. It was, accordingly, a process of that court."
"It is largely taken for all the proceedings in any action or prosecution, real or personal, civil or criminal, from the beginning to the end; strictly, the summons by which one is cited into a court, because it is the beginning or principal part thereof, by which the rest is directed."
"(1) For the purposes of this Act, service of a document on a person may be effected:
(ii) by leaving it at, or by sending it by pre‑paid post to, the residential or business address of the person last known to the person serving the document, or
(b) on a body corporate - by leaving it at, or by sending it by pre‑paid post to, the head office, a registered office or a principal office of the body corporate,
or in any other way in which service could have been effected had this section not been enacted.
(2) In addition to the means of service provided for under subsection (1), service of a document on a person (whether a natural person or a body corporate) may be effected by facsimile transmission or other electronic means notified by the person as being an available means of communication.
(3) Service of a facsimile copy of a document in accordance with subsection (1) is taken to be service of the document for the purposes of that subsection." ↑
(2004) 78 ALJR 1383 at 1417 [152]; 209 ALR 355 at 402. ↑
(2004) 78 ALJR 1383 at 1386 [10]; 209 ALR 355 at 359. ↑
cf with respect to bankruptcy and insolvency the remarks of Gibbs CJ in Storey v Lane (1981) 147 CLR 549 at 558. ↑
Cardile v LED Builders Pty Ltd (1999) 198 CLR 380. ↑
CSR Ltd v Cigna Insurance Australia Ltd (1997) 189 CLR 345. ↑
Daniell, The Practice of the High Court of Chancery, 5th ed (1871), vol 1 at 799‑805. The procedures of the common law courts had developed in a similar fashion: Lush's Practice of the Superior Courts of Law at Westminster, 3rd ed (1865), vol 1 at 524‑534. ↑
Singh v The Commonwealth (2004) 78 ALJR 1383 at 1417 [152]; 209 ALR 355 at 402. See joint reasons at [47]. ↑
See Shaw v Minister for Immigration & Multicultural Affairs (2003) 218 CLR 28 at 55-57 [76]-[80] and cases there cited. ↑
Cf Roberts v Bass (2002) 212 CLR 1 at 54-55 [143]-[144]. ↑
Evda Nominees Pty Ltd v Victoria (1984) 154 CLR 311 at 316. See also Allders International Pty Ltd v Commissioner of State Revenue (Vict) (1996) 186 CLR 630 at 673; Shaw (2003) 218 CLR 28 at 56 [77]. ↑
See, eg, Amalgamated Society of Engineers v Adelaide Steamship Co Ltd (1920) 28 CLR 129; (1921) 29 CLR 406; cf Re Patterson; Ex parte Taylor (2001) 207 CLR 391 and Shaw (2003) 218 CLR 28 at 55-56 [76]-[78]. ↑
There is also a change from the 1901 Act, considered in Aston (1955) 92 CLR 353, and the SEP Act applicable to the present appeal. However, the differences of language do not appear to be material. ↑
Shaw (2003) 218 CLR 28 at 55-57 [76]-[80]; Ruddock v Taylor (2005) 79 ALJR 1534 at 1563 [179]; 221 ALR 32 at 71. ↑
Cf Lane, Commentary on the Australian Constitution, 2nd ed (1997) at 268. ↑
Cf Constitution, s 107: Egan v Willis (1998) 195 CLR 424. See also R v Richards; Ex parte Fitzpatrick and Browne (1955) 92 CLR 157. ↑
State Act, s 6(1), by reference to the definition of "relevant offence" in s 3(1). ↑
See, eg, Ng v The Queen (2003) 217 CLR 521 at 526 [9]-[10], 532-534 [33]-[37]; Singh (2004) 78 ALJR 1383 at 1391 [27], 1396-1398 [51]-[58], 1434-1438 [244]-[266]; 209 ALR 355 at 366, 372-375, 426-431. ↑
Macquarie Dictionary (Federation ed), (2001), vol 2 at 1514. ↑
Macquarie Dictionary (Federation ed), (2001), vol 2 at 1514. ↑
Ng (2003) 217 CLR 521 at 526 [9], 531-534 [29]-[37]; Brownlee v The Queen (2001) 207 CLR 278 at 298 [54], 321-327 [125]-[138]. ↑
Appellant's written submissions at [31] citing Plucknett, A Concise History of the Common Law, 5th ed (1956) at 80-81. ↑
Re Wakim; Ex parte McNally (1999) 198 CLR 511 at 553-554 [45]-[47]; Grain Pool (2000) 202 CLR 479 at 529-530 [126]-[129]. The capacity of legal process, as envisaged in the constitutional text, to expand beyond that applicable in 1900 was recognised in Re Refugee Review Tribunal; Ex parte Aala (2000) 204 CLR 82 at 92-94 [18]-[25], 132-135 [135]-[141]. ↑
Ammann (1972) 129 CLR 415 at 422. It necessarily envisages changed "processes" available in a State from time to time: see Alliance (1983) 34 SASR 215 at 250 per Wells J. ↑
Cf Al-Kateb v Godwin (2004) 219 CLR 562 at 628 [187] citing Lawrence v Texas 539 US 558 at 576-577 (2003) per Kennedy J for the Court. ↑
Smith, "Criminal Law: The Future", (2004) Criminal Law Review 971; Kirby, "The Future of Criminal Law", (1999) 23 Criminal Law Journal 263; Kirby, "Criminal Law Futurology", (2006) 1 International Journal of Punishment and Sentencing 79. ↑
Jumbunna (1908) 6 CLR 309 at 367; Shaw (2003) 218 CLR 28 at 60 [90]. ↑
Posner, "Foreword: A Political Court", (2005) 119 Harvard Law Review 31 at 96. ↑
SEP Act, s 76. However, mandatory reports to Parliament on the number and proportion of refusals of judicial leave in such cases show how rarely they arise, suggesting the limited protection offered by such engagement of the judiciary in the executive's business: see Grollo v Palmer (1995) 184 CLR 348 at 365, 377, 382, 392; Wilson v Minister for Aboriginal and Torres Strait Islander Affairs (1996) 189 CLR 1 at 8, 21, 43-44. ↑
Carter, Subpoena Law and Practice in Australia (1996) at 3. ↑
Dalton
NSW Crime Commission
[2006] HCATrans 006
(2004) 62 NSWLR 77
(1940) 63 CLR 73
(2003) 214 CLR 397
(1958) 98 CLR 310
(1985) 160 CLR 548
(1955) 92 CLR 353
(1972) 129 CLR 415
(1915) 21 CLR 55
(1988) 166 CLR 1
(1998) 196 CLR 1
(1995) 183 CLR 525
(2003) 216 CLR 161
(1985) 158 CLR 596
(1978) 142 CLR 1
(1983) 34 SASR 215
(1985) 159 CLR 22
(1992) 174 CLR 219
(2002) 210 CLR 51
(1954) 90 CLR 353
(1929) 41 CLR 532
(1999) 92 FCR 200
(1999) 96 FCR 1
(1927) 39 CLR 411
(2004) 78 ALJR 1383
(1981) 147 CLR 549
(1999) 198 CLR 380
(1997) 189 CLR 345
(1987) 162 CLR 574
(1956) 94 CLR 254
(1996) 189 CLR 1
(1996) 189 CLR 51
(1989) 168 CLR 340
(2002) 211 CLR 1
(2003) 218 CLR 28
(2002) 212 CLR 1
(1984) 154 CLR 311
(1996) 186 CLR 630
(1920) 28 CLR 129
(1921) 29 CLR 406
(2001) 207 CLR 391
(1904) 2 CLR 139
(1982) 152 CLR 25
(1908) 6 CLR 309
(1945) 71 CLR 29
(2000) 202 CLR 479
(1997) 190 CLR 410
(2005) 79 ALJR 1534
(1998) 195 CLR 424
(1955) 92 CLR 157
(2003) 217 CLR 521
(2001) 207 CLR 278
(1999) 198 CLR 511
(2000) 204 CLR 82
(2004) 219 CLR 562
(1995) 184 CLR 348