Ground 1(a)-(b): Non performance of the Secretary's duty under s 418(3)
23 It is not suggested that the Tribunal failed to perform any requirement imposed on it by the Act. However, it is clear that in some circumstances performance of a statutory obligation by a person other than the decision maker can constitute an indispensable requirement for a valid decision: see, eg, Wei v Minister for Immigration and Border Protection [2015] HCA 51; 257 CLR 22 (Wei).
24 In the case of s 418 of the Act, there is a line of authority holding that failure to perform the Secretary's duty does not invalidate a subsequent decision by the Tribunal.
(a) In Muin v Refugee Review Tribunal [2002] HCA 30; 76 ALJR 966 (Muin), Gaudron J observed at [46] that there was nothing in the Act to suggest that compliance by the Secretary with s 418(3) was a precondition to the Tribunal's conduct of review proceedings or the making of a decision.
(b) The issue arose squarely in WAGP v Minister for Immigration and Multicultural and Indigenous Affairs [2006] FCAFC 103; 151 FCR 413 (Moore, North and Mansfield JJ) (WAGP). The Court framed the essential question as "whether the failure by the Secretary to comply with s 418(3) will result in the Tribunal - even though it has conducted its review in accordance with Div 4 of Pt 7 and has provided the visa applicant with procedural fairness … - committing jurisdictional error, or in some way being disempowered from making a valid review" and answered that question in the negative: at [62]-[64].
(c) In SZNZK v Minister for Immigration and Citizenship [2010] FCA 651 at [20], dealing with a subtle argument concerning the relationship between s 418(2) and s 425, Perram J said: "I do not see that an error in the performance of a function under s 418 by the Secretary can result, at least without something more, in a jurisdictional error by the tribunal". (His Honour does not appear to have been taken to Muin or WAGP.)
(d) SZOIN was similar to the present case in that it involved a breach of s 418(3) arising from the Secretary's failure to form an opinion about whether a document was relevant to the Tribunal's review. Bennett and McKerracher JJ said (at [60]-[65]):
The circumstances in which a third party breach not known to the Tribunal may result in jurisdictional error would be extremely limited. One example is SZFDE v Minister for Immigration and Citizenship (2007) 232 CLR 189 [(SZFDE)], in which a third party represented himself to the then appellants to be a solicitor and migration agent duly licensed and received a substantial fee for acting for the family with respect to the Tribunal proceeding. The appellants followed the advice given by the third party, in particular, not to attend the Tribunal hearing. The High Court upheld the dissenting judgment of French J, as his Honour then was, in the Full Court. His Honour was of the view that the Tribunal had fallen into jurisdictional error because whilst it had made its decision blamelessly, its decision-making process was compromised by "third party fraud".
The High Court (at [53]) emphasised that the consequences of its finding of jurisdictional error was limited and that bad or negligent advice to an appellant "or some other mishap" that applies to the appellant's detriment does not vitiate the decision made. The High Court referred to French J's decision at [125] and following. His Honour emphasised at [128] that it was not about unfairness but about the effect of fraud on the Tribunal's decision-making process.
There is no assertion in the present case that any part of the process has been tainted by fraud or that the action of the Secretary was other than inadvertent.
In Applicant S1693 of 2003 v Refugee Review Tribunal [2004] FCA 1512 French J (at [41]) rejected a submission that there was support in Muin for a proposition that failure to comply with s 418(3) could amount to jurisdictional error. On appeal, the decision was upheld although this ground was not expressly considered (Applicant S1693 of 2003 v Refugee Review Tribunal [2005] FCAFC 151).
More recently in SZNZK v Minister for Immigration and Citizenship (2010) 115 ALD 332 at [20] Perram J followed French J in Applicant S1693 of 2003 [2004] FCA 1512, noting that an error in the performance of a function under s 418 by the Secretary cannot result, at least without something more, in a jurisdictional error by the Tribunal. His Honour observed that this follows from the fact that it has been held that a breach of s 418 does not constitute jurisdictional error.
We cannot agree that WAGP was clearly wrong. It is not only directly in point insofar as the crucial question is concerned but is also based on sound reasoning which is consistent with the approach taken by members of the High Court in Muin and also with S487 and SZNZK.
25 These statements are not limited to final decisions by the Tribunal, on the merits, under s 415 of the Act. They are directed more generally to the conduct of the Tribunal's review. Nor is there any reason in principle why the conclusion expressed as to the effect of non-compliance with s 418(3) on decisions of the Tribunal should be regarded as limited to decisions of a particular kind. The reasoning in the cases to which we have referred should be regarded as extending to all dispositive decisions by the Tribunal, including a decision disposing of a review under s 426A(1A). The concession that the Secretary failed to carry out her duty under s 418(3) is therefore not sufficient for the appellant to succeed.
26 Gageler and Keane JJ observed in Wei at [26] that "[to] label a particular statutory duty either 'imperative' or 'directory' is to express the conclusion of a process of statutory construction". That observation applies to the question whether non-performance by the Secretary of her duty under s 418(3) goes to the jurisdiction of the Tribunal. The conclusion reached on that point in WAGP and in SZOIN is thus a conclusion concerning the construction of the Act; ie, the intention of the legislature as to the relationship between s 418(3) and the provisions conferring decision-making power on the Tribunal. It does not depend on the seriousness of the non-performance or its materiality in individual cases. The "something more" referred to by Perram J in SZNZK must therefore be something other than an especially egregious or significant breach of s 418(3).
27 There is a degree of affinity between these cases and the cases concerning the effect of third-party fraud on a decision of the Tribunal, of which SZFDE (referred to in SZOIN) was one. In SZFDE, the appellants' adviser had fraudulently persuaded them not to attend the Tribunal hearing. The consequence was that the Tribunal dealt with their review under s 426A. The unanimous High Court described the effect of this conduct as "stultifying the operation of the legislative scheme to afford natural justice to the appellants" (at [49]) and, for that reason, rendering the Tribunal's purported decision invalid (at [52]).
28 SZFDE was distinguished in Minister for Home Affairs v DUA16 [2020] HCA 46; 271 CLR 550, another case involving a fraudulent agent. The agent's misconduct in that case (lodging recycled submissions which did not address her clients' cases) let her clients down but did not prevent the Immigration Assessment Authority performing its statutory functions. The Court (Kiefel CJ, Bell, Keane, Gordon and Edelman JJ) said at [18]:
In this Court, the Minister correctly submitted that, as a ground of judicial review, fraud must affect a particular duty, function or power of the Authority. It is not sufficient to assert that fraud might be said to affect the process of decision-making in some abstract sense.
29 The same approach must in our view apply to failures by the Secretary to perform her duty under s 418(3). The cases establish that such a failure does not in itself vitiate an exercise of decision-making power by the Tribunal. It may do so if it "stultifies" the performance of a particular duty or function, or the exercise of a particular power, by the Tribunal. Attention must therefore focus on the particular duties, functions and powers of the Tribunal and how, it is said, their proper performance or exercise was affected.
30 What we have said in the previous paragraph aligns with the approach of the Full Court in BBS15 v Minister for Immigration and Border Protection [2017] FCAFC 61; 248 FCR 159 (Griffiths, Kerr and Farrell JJ) (BBS15). There, the Department had accidentally failed to include a supportive letter from the appellant's pastor in the material that it sent to the Tribunal under s 418(3). The appellant did not submit the letter to the Tribunal, because the Tribunal had caused him to understand that it would receive all the documents he had submitted to the Department. The Tribunal went on to find that the appellant was not a genuine Christian and affirmed the refusal of a protection visa. Thus, the omission of the letter caused the Tribunal to mislead the appellant as to the material it had before it, leading to him not receiving the procedural fairness for which the Act provided. The Full Court, having analysed the line of cases to which we have referred above, said (at [106]):
None of the cases purports to narrow the principle established by the High Court in Muin and Aala. That is, it is a failure of s 425 of the Act if the failure to provide information causes the Tribunal (even innocently) to mislead an applicant to mistakenly believe that a state of affairs exists and that in turn affects the manner in which the case is conducted to the applicant's detriment. In any event we would be bound by the hierarchy of precedent to apply the reasoning of the High Court.
31 What occurred in the present case has some similarity with the course of events in SZFDE. Through a series of unfortunate events, the review of the delegate's decision was diverted from what might be regarded as the normal course (an oral hearing under s 425, where the appellant would have a chance to develop his case, followed by a decision on the merits), on to the pathway provided for in s 426A (which inevitably resulted in the delegate's decision being affirmed). If that diversion could be sheeted home to the Secretary's failure to comply with s 418(3), the failure could be regarded as having stultified the operation of the scheme of procedural fairness for which the Act provides.
32 However, that conclusion would not be reached merely on the basis that proper performance of the Secretary's duty under s 418(3) might have led to the review being determined differently. A conclusion that the Secretary had stultified the Tribunal's review process by her misconduct would require a finding that such misconduct had set the review on an inevitable pathway to failure (as in SZFDE) or directly affected the way the hearing was conducted to the appellant's detriment (as in BBS15), or at least that such adverse consequences would not have occurred but for the Secretary's misconduct. The evidence does not warrant findings of that kind, for three reasons.
33 First, contrary to a submission made by the appellant, it is not apparent that compliance with s 418(3) by the Secretary would necessarily have led the spreadsheet to be provided to the Tribunal. Compliance required the Secretary to form a view as to whether the spreadsheet was "relevant to the review of the decision". Assuming (as was conceded) that that formulation captures a document which is relevant only to the conduct of the review (not to the substantive issues), it would nevertheless have been open to the Secretary to come to the view that the spreadsheet was not "relevant". The Secretary cannot be assumed to have had any knowledge of what contact details the appellant had provided to the Tribunal, how the Tribunal's ability to contact the appellant (by email or any other means) would be affected by him being in custody, whether he had notified the Tribunal of his situation or was going to do so, or how long he was likely to be held on remand.
34 Secondly, even if compliance with s 418(3) did require provision of the spreadsheet to the Tribunal, non-compliance was not fatal to the provision of a proper hearing under s 425 or to the appellant's ultimate prospects of success. That is because it was open to him, at any time between 23 October 2020 and 14 October 2021, to inform the Tribunal that he no longer had access to email and provide it with an address where he could be contacted. There is no evidence that being in custody made this especially difficult and no reason to make an inference to that effect (as the primary judge noted at [70]). It is not necessary to go so far as to assert that it was the duty of the appellant to keep the Tribunal informed of his up to date contact details. The point of significance is that nobody else was charged by statute with that responsibility. On the contrary, the terms of ss 441A(5)(d) and 425A(2) make clear that the Tribunal gives sufficient notice of a hearing if it sends the notice to the last email address provided for that purpose by the review applicant. Section 441A(3), (4) and (6), which permit other modes of communication, contain language similar to s 441A(5)(d). The clear intention embodied in those provisions is that, if relevant contact details are not kept up to date by the review applicant, that applicant cannot complain when notifications are not received. It was clearly in the appellant's interests to make sure that he received communications such as the invitation to attend a hearing.
35 It was obliquely suggested in submissions that the appellant would have been informed, upon being taken into custody, that the fact of his custody would be communicated to the Australian Border Force (ABF). The source of this suggestion was a procedural document of Corrective Services NSW which instructed officers to inform an inmate "that the ABF will be informed of the inmate's incarceration". The appellant, who gave evidence by way of an affidavit in the Circuit Court, did not refer to having been given this information (let alone having relied on it). There is also the difficulty that the notification of the delegate's decision was on the letterhead of the Department and did not mention the ABF; and the Tribunal is a separate entity from both. Nothing in the evidence indicates that the appellant was given any reason to think that the Tribunal would find out he was in custody (let alone where he was being held or how to contact him) without him doing anything.
36 The case can therefore be properly seen as one where the review applicant did not appear at the hearing because he had neglected to update the contact details supplied to the Tribunal. Provision of the spreadsheet to the Tribunal could have provided an impetus for that situation to be remedied. Even then, however, the Tribunal would have had to find the appellant and elicit a new address for service from him in order for that address to be available for use under s 441A. The Act does not place any onus on the Tribunal to find a review applicant and prompt them to update their contact details.
37 Thirdly, it was not inevitable that the Tribunal would use the email address to which the appellant no longer had access when it tried to send the hearing invitation to him. The applicant's review application also listed a residential address in Haymarket, NSW as a place to which correspondence could be sent. There was no evidence as to whether a notification sent to him at that address would have been forwarded to him. The appellant therefore has not established that the failure of the hearing invitation to reach him was an inevitable consequence of his contact details not being updated. (While it may seem intuitively unlikely that a letter sent to the appellant's old address roughly a year after his arrest would reach him, the true position depends on a host of factors and would not be an appropriate matter for judicial notice. Evidence could have been led on this point.)
38 For similar reasons, it cannot be said that by reason of the Secretary's failure to consider whether the spreadsheet was relevant to the Tribunal's review, the Tribunal was disabled from exercising its discretion under s 426A(2) to consider other measures to deal with the appellant's failure to appear. That discretion was not conditioned on the Tribunal forming any view about whether the appellant had received notice of the hearing.
39 For these reasons, we conclude that the Secretary's failure to comply with s 418(3) did not undermine or stultify the performance by the Tribunal of any of its statutory functions or duties. It therefore did not result in the breach of any condition on the validity of the dismissal decision or the confirmation decision. We therefore agree with the conclusion reached by the primary judge at [71]. We should add two further observations.
40 It will be apparent that we have reached our conclusion by a somewhat different route from the primary judge. To the extent that his Honour's reasoning at [63]-[69] focuses on the reasonableness of the Tribunal's conduct, we consider (with respect) that this does not answer the question posed by ground 1(a) and (b). These paragraphs did not accuse the Tribunal of any wrongdoing.
41 It will also be noted that we have said nothing above concerning the concept of materiality (as explored in, eg, MZAPC v Minister for Immigration and Border Protection [2021] HCA 17; 273 CLR 506 (MZAPC)).
42 Questions as to materiality arise when "non-compliance with an express or implied statutory condition of a conferral of a statutory decision-making authority" has been found; materiality is (usually) determinative of whether that non-compliance "results in a decision that exceeds the limits of the decision-making authority" (MZAPC at [30]-[32] (Kiefel CJ, Gageler, Keane and Gleeson JJ)). The cases to which we have referred above establish that compliance by the Secretary with s 418 is not an "express or implied statutory condition" of the conferral of "statutory decision-making authority" on the Tribunal by s 426A. The question whether lack of such compliance results in a decision that exceeds that authority is, therefore, not a question of materiality in the sense discussed in MZAPC. Instead, the question that arises (in the light of SZFDE and BBS15) is whether the Secretary's non-compliance has had the effect of stultifying or derailing the performance by the Tribunal of any functions or duties the performance of which condition the valid exercise of its power. If that were found to have occurred, questions of materiality would arise.