(1) A Stateless Person's Inability to Return to the Country of Residence
9 Mr Braham's first contention rests on what might be described as a literal reading of the latter part of the definition of "refugee" in article 1A(2) of the Refugees Convention. Article 1A(2) defines a refugee as any person who
"owing to well-founded fear of being persecuted for reasons of race, religion, nationality, membership of a particular social group or political opinion, is outside the country of his nationality and is unable or, owing to such fear, is unwilling to avail himself of the protection of that country; or who, not having a nationality and being outside the country of his former habitual residence, is unable or, owing to such fear, is unwilling to return to it." (Emphasis added.)
Mr Braham submitted that the latter part of the definition deals with the particular case of a stateless person and that its effect is that a stateless person is a refugee if he or she is outside the country of former habitual residence and unable to return to it, whether or not either state of affairs is associated with a fear of persecution for a Refugees Convention reason.
10 As Mr Braham properly pointed out in oral argument, that submission was considered and rejected by Cooper J in Rishmawi v Minister for Immigration and Multicultural Affairs (1997) 77 FCR 421. In that case, Cooper J explicitly adopted the approach to the construction of treaties required by article 31 of the Vienna Convention on the Law of Treaties ("Vienna Convention"), as analysed in Applicant A v Minister for Immigration and Ethnic Affairs (1997) 190 CLR 225. According to his Honour (at 422), the relevant principle is that
"[a]lthough primacy [must] be given to the text, the requirement that the terms of the treaty be construed in their context, and in the light of the object and purpose of the treaty precludes the adoption of a literal construction which would defeat the object or purpose or be inconsistent with the context in which they appear."
11 Cooper J said (at 424) that article 31(2) of the Vienna Convention permitted reference to the travaux preparatoires as part of the context. On this basis, he analysed closely reports of the Ad Hoc Committee on Statelessness and Related Problems and early drafts of the Refugees Convention. He concluded (at 427) that it was
"clear from the documents in the Travaux that the [Refugees] Convention was not intended to deal with stateless persons who were not also refugees. Further it is apparent that the object of the Convention was to treat uniformly persons seeking refugee status, so far as was possible, whether or not those persons had a nationality. This equality of treatment is seen in the equation of country of nationality with country of former habitual residence and in the inability or unwillingness to obtain the protection of the country of nationality with the inability or unwillingness to return to the country of former habitual residence."
12 Cooper J took the view that earlier drafts of the definition of "refugee" had plainly intended that the reason for the stateless person's absence from his or her country of former habitual residence should be an element of the definition. That reason, in respect of both a person having a nationality and a stateless person, was to be persecution or fear of persecution of the type identified in the definition. He accepted the view of a contemporary commentator that the final form of article 1A(2) of the Refugees Convention was intended merely to embody textual or stylistic changes and not substantive amendments to the earlier drafts. Nor was the 1967 Protocol intended to change the substance of what constituted refugee status.
13 Cooper J expressed the following conclusions (at 428):
"A literal interpretation of Art 1A(2) of the [Refugees] Convention in its original form, or as amended by the Protocol, would mean that a stateless person outside his or her country of former habitual residence for a reason other than a Convention reason and unable to return to it for whatever reason other than a Convention reason would by definition be a refugee. Such a result would be unintended on the part of the framers of the Convention and inconsistent with the object of dealing only with persons who have been or who are being persecuted for a Convention reason or who have a well founded fear of such persecution. It would also treat stateless persons in a substantially more favourable way in respect of obtaining refugee status than persons with a nationality and thus would be inconsistent with the object of equality of treatment to all who claim refugee status.
The approach to the interpretation of Art 1A(2) contended for by the applicant is wrong in principle. It ignores the totality of the words which define a refugee. It is in breach of the requirements of Art 31 of the Vienna Convention because it divorces the interpretation of the words from the context, object and purpose of the treaty. And, it also seeks to give the [Refugees] Convention a scope of operation beyond its object and purpose." (Citation omitted.)
His Honour summarised the effect of his reasoning as follows (at 429):
"Thus a refugee is:
(a) any person who owing to a Convention reason is outside the country of his or her nationality or in the case of a stateless person is outside the country of his or her former habitual residence; and
(b) in respect of a person having a nationality is unable or owing to a well founded fear of persecution for a Convention reason is unwilling to avail himself or herself of the protection of the country of nationality; or
(c) in respect of a stateless person is unable or owing to such fear is unwilling to return to the country of his or her former habitual residence."
14 In Haris v Minister for Immigration and Multicultural Affairs, unreported, 12 February 1998, Moore J was invited not to follow the decision in Rishmawi. His Honour held that there was no basis for taking that course, since the observations of Cooper J were clearly central to his decision and were not clearly wrong (cf Bank of Western Australia Ltd v Federal Commissioner of Taxation (1994) 55 FCR 233 (Lindgren J), at 255). Moore J specifically addressed a contention that Cooper J's analysis of article 1A(2) in Rishmawi merely amounted to obiter dicta because the decision of the RRT in that case had ultimately been set aside on other grounds. Moore J held that the order made by Cooper J in Rishmawi, which remitted the matter to the RRT to be determined "in accordance with these reasons and law", demonstrated that his Honour's reasoning on the stateless person issue was essential to his decision. Moore J also addressed specific criticisms of Cooper J's reasoning in Rishmawi, but regarded them as lacking substance.
15 In Al-Anezi v Minister for Immigration and Multicultural Affairs [1999] FCA 355, Lehane J (at [20]) expressed his agreement with the conclusion reached by Cooper J and the reasons which led his Honour to that conclusion.
16 At the time Rishmawi was decided, there were some judicial observations in England which suggested that the literal construction of the second part of the definition of "refugee" in article 1A(2) of the Refugees Convention might be correct. In Adan v Secretary of State for the Home Department [1997] 1 WLR 1107, Simon Brown LJ, with whom Hutchison LJ agreed, said (at 1117) that
"[s]o far as the stateless are concerned...the latter part of article 1A(2)..., construed literally, requires of those presently unable to return home nothing more, save only that until 1967 [that is, the adoption of the Protocol] they had to show that they were displaced as a result of events prior to 1951".
17 Cooper J referred to these observations, but declined to follow them. Subsequently, the House of Lords allowed an appeal from the Court of Appeal: Adan v Secretary of State for the Home Department [1999] 1 AC 293. Lord Lloyd, who delivered the principal judgment, stated (at 304) that it was common ground that the Refugees Convention covered four categories of refugee, of which two related to non-nationals. The categories relating to non-nationals were said to be these:
"(3) non-nationals who are outside the country of their former habitual residence owing to a well-founded fear of persecution for a Convention reason and are unable to return to their country, and (4) non-nationals who are outside the country of their former habitual residence owing to a well-founded fear of persecution for a Convention reason, and, owing to such fear, are unwilling to return to their country."
While this statement does not constitute a considered decision by the House of Lords, it is obviously inconsistent with the dicta of Simon Brown LJ in Adan and consistent with Cooper J's reasoning in Rishmawi.
18 Cooper J in Rishmawi, although analysing the drafting history of article 1A(2) of the Refugees Convention in detail, did not refer to academic writings. It is permissible to have regard to such writings in considering the meaning of treaties: Somaghi v Minister for Immigration, Local Government and Ethnic Affairs (1991) 31 FCR 100 (FC), at 117, per Gummow J. In this context, it is of some significance that Professor Hathaway, after considering the position of stateless persons under the Refugees Convention (J C Hathaway, The Law of Refugee Status (1991)), expressed a strong view on the question of construction addressed in Rishmawi: Professor Hathaway said this (at 62):
"Conversely, where the stateless refugee claimant has no right to return to her country of first persecution or to any other state, she cannot qualify as a refugee because she is not at risk of return to persecution. Assessment of the claimant's fear of returning to the country of first persecution is a non-sensical exercise, as she could not be sent back there in any event. Thus, when it is determined that the claimant does not have a right to return to any state, and does not therefore have a country of 'former habitual residence', her needs should be addressed within the context of the conventional regime for stateless persons rather than under refugee law."
Rishmawi is Not Followed
19 In this state of the authorities it might perhaps have been expected that a single Judge of this Court would follow Cooper J's decision in Rishmawi, even though a plausible argument to the contrary can be mounted by reference to the literal language of the second part of article 1A(2) of the Refugees Convention. Such an approach would leave any challenge to Cooper J's reasoning to be addressed by a Full Court.
20 However, in Savvin v Minister for Immigration and Multicultural Affairs [1999] FCA 1265, Dowsett J refused to follow Rishmawi. His Honour appears to have taken the view (at [29]), that Cooper J's reasoning was not strictly part of the ratio in Rishmawi, although he did not advert to Moore J's analysis in Haris for reaching a contrary conclusion on this question. For this reason, Dowsett J did not consider it necessary to determine whether Cooper J's reasoning was "clearly wrong", the standard usually applied in this Court in determining whether a single Judge should refuse to follow an earlier determination of a single Judge: see the authorities cited by Lindgren J in Bank of Western Australia, at 255.
21 The essential difference between the reasoning of Dowsett J and that of Cooper J is that the former (at [35]) took the view that a "certain conservatism" should attach to the use of extrinsic aids in construing language as clear as the second part of article 1A(2) of the Refugees Convention. Dowsett J thought that Cooper J's approach failed to give priority to the text, as required by the judgments of the High Court in Applicant A. His Honour did not dispute that a conscious decision may have been made by the framers of the Refugees Convention to deal only with the problems of "refugees" and not with that of statelessness (at [72]). Nonetheless, it was clear, in his view, that the question of statelessness had been addressed for some purposes and that the literal construction of article 1A(2) still meant that stateless persons could suffer problems not addressed by the Refugee Convention.
22 It must be said, with respect, that there is nothing inherently implausible in Dowsett J's approach to the construction issue. Questions of construction often involve judicial choice between two (or perhaps more) plausible views as to the meaning of a provision. The range of choice may be widened when dealing with treaties which, as McHugh J observed in Applicant A, at 255-256, often fail to exhibit the precision of domestic legislation, this being the "necessary price paid for multinational political comity". While the language of the law tends to encourage particular decisions or reasoning being characterised as "correct" or "erroneous", in truth it is often a question of choosing between arguable alternatives, each of which has merits and drawbacks. The doctrine of precedent ultimately produces an answer which earns the label of being the "correct" construction of a particular enactment or treaty.