Consideration
46 I accept and adopt the Respondent's submissions as to the legal test that the Court must apply in determining an application for leave to appeal from an interlocutory decision of a judge of this Court pursuant to s 24(1A) of the Federal Court Act. I do not understand those principles to be relevantly in issue. As the Full Court stated in Ah-Chee v Stuart [2019] FCAFC 165 (Ah-Chee):
11 The relevant principles guiding the consideration and determination of an application for leave to appeal were not disputed. There are no rigid rules, but it is well settled that key considerations which bear upon the exercise of the Court's discretion include:
(a) whether in all the circumstances the decision of the primary judge is attended by sufficient doubt to warrant it being reconsidered by the Full Court; and
(b) whether substantial injustice would result if leave were refused, supposing the decision is wrong.
12 Those two limbs are cumulative and each limb needs to be made out (Rawson Finances Pty Limited v Deputy Commissioner of Taxation [2010] FCAFC 139; 81 ATR 36 at [4]-[5] per Ryan, Stone and Jagot JJ). The two limbs are also related (see Cabcharge Australia Ltd v Australian Competition and Consumer Commission [2010] FCAFC 111 at [20] per Kenny, Tracey and Middleton JJ), with the consequence that sufficiency of the doubt in respect of the primary decision and the issue of substantial injustice should not be divided into separate compartments.
13 Other considerations which are relevant to the consideration of the Walka Wani applicants' application for leave to appeal were recently identified by the Full Court in Construction, Forestry, Mining and Energy Union v Australian Competition and Consumer Commission [2016] FCAFC 97; 242 FCR 153 at [14] to [17]:
(a) leave is less-often granted where the impugned ruling is discretionary and is on a matter of practice or procedure;
(b) appellate intervention in matters of practice or procedure, where no questions of general principle are at stake, has been said to require the exercise of particular caution (referring to Hogan v Australian Crime Commission [2010] HCA 21; 240 CLR 651 at [34] per French CJ, Gummow, Hayne, Heydon and Kiefel JJ and see also Adam P Brown Male Fashions Pty Ltd v Philip Morris Inc. [1981] HCA 39; 148 CLR 170 at 177 per Gibbs CJ, Aickin, Wilson and Brennan JJ); and
(c) where, as here, the exercise of discretionary judgment is in question, an error of the kind identified in House v The King [1936] HCA 40; 55 CLR 499 at 504-505 needs to be identified and it is not enough to overturn a discretionary judgment that the appeal judges would have weighed considerations differently to the primary judge.
47 For the reasons that follow, I am not satisfied that Mr Gadzikwa has established that the interlocutory judgment of the primary judge is attended by sufficient doubt to warrant her Honour's decision being reconsidered on appeal.
48 In the proceeding before the primary judge, Mr Gadzikwa sought to appeal a decision of the Tribunal. Such appeals are creatures of statute. An "appeal" as is provided for in s 44(1) of the AAT Act is available only from a "decision" of the Tribunal on "a question of law". Such an appeal lies as of right.
49 The meaning of a "decision" in the context of s 44(1) is well-settled. As the decisions collated by Pearce in Administrative Appeals Tribunal (4th ed, LexisNexis Butterworths, 2015) at 369-370 indicate, courts have consistently and repeatedly construed that provision in accordance with the observations of Deane J (with whom Fisher J agreed) in Chaney. As his Honour stated at 103:
The conclusion which I have reached is that, subject to the qualifications mentioned below, an appeal under s 44(1) of the Act lies only from a decision of the Tribunal which constitutes the effective decision or determination of the application for review. Ordinarily, such a decision will be the final decision formulated in accordance with the provisions of s 43 of the Act. The qualifications referred to are an appeal pursuant to s 44(2) from a decision that the interests of a person are not affected by a particular decision and the case where the proceeding before the Tribunal can properly be divided into two or more separate parts in respect of which independent "decisions" may properly be given.
50 Having referred to Pearce above, I would however note that (at 371) he characterises the decision of Wilcox J in Australian Postal Commission v Hayes (1998) 23 FCR 320 (Hayes) as an application of one of the "qualifications" that Deane J identifies. That is not correct. That is because Hayes did not concern an appeal. Rather, it concerned an application for review of the Tribunal's conduct pursuant to the Administrative Decisions (Judicial Review) Act 1977 (Cth) (ADJR Act). I will return to that distinction later in these reasons.
51 Turning to the facts of the present application, it is clear that the decision of the Tribunal not to issue the relevant summonses was interlocutory in nature. That exercise of the Tribunal's discretionary power to issue those summonses under s 40A of the AAT Act did not constitute the effective decision or determination of the substance of Mr Gadzikwa's application for review of the Respondent's decision. Further, the primary judge's finding (at paragraph [19]) that neither of the two "qualifications" that Deane J identified in Chaney applied is unchallenged. For those reasons, there clearly was no error in the primary judge finding that the Tribunal's refusal to issue the relevant summonses was not relevantly a "decision" for the purposes of s 44(1) and that as a result the appeal was incompetent.
52 Such a finding is consistent with prior authority. Judges of this Court have previously found appeals from decisions of the Tribunal not to exercise its discretion to issue summonses to be incompetent on the basis that those decisions were not "decisions" for the purposes of s 44(1) of the AAT Act: Phillips; Yao.
53 I acknowledge, as Mr Gadzikwa submits, that in Chaney Northrop J dissented. That however does not diminish the authority of that decision. I also acknowledge that while the primary judge referred to the first instance decision of Yao, her Honour did not refer to the decision of Flick J in Yao v Secretary, Department of Education, Employment and Workplace Relations [2010] FCA 241. In refusing leave to appeal from Yao, his Honour made the following observation:
20 The character of that which constitutes a "decision" for the purposes of s 44 is well established: Director-General of Social Services v Chaney (1980) 47 FLR 80. After referring to this decision, His Honour concluded:
[19] In this case the five decisions under review are decisions by the learned Tribunal member not to issue summonses to give evidence. Such a decision is not, to use the language of Deane J in Chaney, "a decision constitut[ing] the effective decision of determination of the application for review". It follows that the purported appeal is incompetent.
His Honour, however, was apparently not referred to the decision of Spender J in Cosco Holdings Pty Ltd v Commissioner for Taxation [1997] FCA 1504, 37 ATR 432. An appeal was there entertained from a decision of the Tribunal striking out certain paragraphs of two summonses that had been obtained. The appeal was dismissed. But there was in that case no discussion as to whether or not the "decision" the subject of the appeal was a "decision" for the purposes of s 44. Spender J was content to observe that the application before him was from a "proceeding in the Tribunal".
21 There may thus be room for argument as to whether or not a "decision" such as that now in issue is susceptible of appeal pursuant to s 44.
54 Subsequently however in Phillips Dodds-Streeton J - for reasons that I respectfully adopt - rejected that analysis:
52 In Yao v Secretary, Department of Education, Employment and Workplace Relations [2010] FCA 241 ("Yao"), Flick J refused leave to appeal from Perram J's decision as it was not attended by sufficient doubt. Flick J observed that Perram J had not been referred to Spender J's decision in Cosco Holdings, which potentially left room for argument that a refusal to issue a summons or authorising such refusal was a decision susceptible of appeal.
53 In Cosco Holdings, Spender J treated an application to strike out certain paragraphs of two summonses as "a proceeding" and entertained an appeal under s 44 of the Act. As Flick J recognised, however, the question whether an interlocutory direction or determination constituted a decision was not raised and Spender J was apparently not referred to Chaney. Further, more recently, in Kowalski v Repatriation Commission (2009) 259 ALR 444 ("Kowalski"), Spender J (in a joint judgment with Graham and Gilmour JJ) upheld Mansfield J's decision at first instance (based on Chaney and like authorities) that the Tribunal's refusal to dismiss or permanently stay an application was not the effective decision or determination. The approach in Kowalski was consistent with the reasoning in Chaney which excluded intermediate decisions as valid subject matter of an appeal under s 44(1) of the AAT Act.
55 Mr Gadzikwa also refers to the observations of North J in Mladenov:
60 There is an open question whether a ruling in respect of the production of documents is a decision for the purpose of s 44(1) of the AAT Act: Yao v Secretary, Department of Education, Employment and Workplace Relations [2010] FCA 241, at [29]. For present purposes it will be assumed that the conclusions of the AAT made at the directions hearing on 25 June 2014 in relation to the production of different categories of documents were each such a decision.
56 However, his Honour's obiter observations were made without reference to the considered views of Dodds-Streeton J in Phillips.
57 The primary judge addressed Mladenov at paragraphs [29]-[30] of her Honour's reasons. I identify no error in her Honour's analysis. Moreover, I am satisfied that the course of authority establishes that there is no real doubt as to the correctness of the proposition accepted by Collier J that a refusal to issue a summons is a not a "decision" for the purposes of s 44(1). It is an interlocutory decision, rather than a decision which constitutes the effective decision or determination of the application for review in the Tribunal.
58 Having reached that conclusion, I turn then to the specific grounds Mr Gadzikwa presses:
(a) With respect to Grounds 2 and 11, those grounds relate to the conduct of the Tribunal. Those issues, while potentially relevant to the appeal itself, were not relevant to the confined issue of the scope of the word "decision" in s 44(1) as determined the issue of competency. As I indicated at the hearing, the matter raised under Ground 2 might be thought potentially relevant to costs. However, the ground was not articulated as such and - as I have earlier explained - Mr Gadzikwa did not seek leave to amend it.
(b) With respect to Grounds 3 and 4, I am satisfied that the primary judge correctly interpreted and applied the majority decision in Chaney as it has been applied in numerous other decisions.
(c) With respect to Ground 5, I am satisfied that the primary judge adequately and correctly addressed Mr Gadzikwa's submission regarding the relevance of the Tribunal's decision having been reduced to writing.
(d) With respect to Ground 10, I also accept the Respondent's submissions. I identify no inconsistency in the primary judge's various references to the decision in Adam P Brown. Her Honour's reference to the case in paragraph [15] of the primary judgment was as follows:
15 The meaning of "decision" for the purposes of s 44 (1) of the Act appears to be settled. Recently in MDXJ v Secretary, Department of Social Services [2019] FCA 2163 Besanko J explained relevant principles as follows:
…
20. In Geographical Indications Committee v The Honourable Justice O'Connor [2000] FCA 1877; (2000) 64 ALD 325, the applicant sought judicial review of directions contained in an interlocutory decision made by the Tribunal which had the effect of confining the role which the applicant would have as a party at a future hearing before the Tribunal. Although the application was not brought as an appeal from the Tribunal's decision under s 44 of the AAT Act, the following statement of von Doussa, O'Loughlin and Mansfield JJ is relevant (at [26] and [28]):
26. In the context of curial proceedings, the courts have been at pains to emphasise the undesirability of allowing appeals against interlocutory decisions involving matters of practice and procedure to fragment and delay the trial of proceedings. The most frequently cited authority for this proposition comes from the joint judgment of Gibbs CJ, Aickin, Wilson and Brennan JJ in Adam P Brown Male Fashions Pty Ltd v Philip Morris Inc [1981] HCA 39; (1981) 148 CLR 170 at 176-7; [1981] HCA 39; 35 ALR 625 at 628-9. Their Honours repeated with approval the following statement of Sir Frederick Jordan in In re the Will of F B Gilbert (dec'd) [1946] NSWStRp 24; (1946) 46 SR (NSW) 318 at 323:
... I am of the opinion that ... there is a material difference between an exercise of discretion on a point of practice or procedure and an exercise of discretion which determines substantive rights. In the former class of case, if a tight rein were not kept upon interference with the orders of judges of first instance, the result would be disastrous to the proper administration of justice. The disposal of cases could be delayed interminably, and costs heaped up indefinitely, if a litigant with a long purse or a litigious disposition could, at will, in effect transfer all exercises of discretion in interlocutory applications from a judge in chambers to a Court of Appeal.
Their Honours added that it is safe to say that the question of injustice flowing from the order appealed from will generally be a relevant and necessary consideration. At this stage, as we have just observed, it is not possible to know if there is any real issue in the GIC's complaint about the directions. Until that is possible the GIC is unable to demonstrate that any injustice could flow from the directions.
(Emphasis added).
I identify no inconsistency in her Honour reproducing that passage of MDXJ, which contains broad observations of principle that were material to the issue of the competency of the appeal, and her Honour's later reasoning at paragraphs [21]-[23] to the effect that the decision was distinguishable.
(e) With respect to Ground 12, the Respondent is correct to submit that the relevant question before the primary judge was as to the construction of s 44(1). No evidence was required to support her Honour's reasoning in that regard. Insofar as this ground is intended more broadly to cast doubt on the soundness of the primary judge's analysis of the relevant authorities, for the reasons given above I would reject such a submission.
59 I address Ground 13 separately below.
60 In those circumstances, it is not open to the Court to find that the primary judgment was attended by sufficient doubt to warrant it being reconsidered.
61 My finding with respect to the correctness of the primary judgment is sufficient to dispose of the application. Lest I be in error in that regard however, I should also record that I am not satisfied that Mr Gadzikwa has established that if (contrary to my finding) the decision of the primary judge were wrong then substantial injustice would result from my refusing the leave that he seeks. I note in that regard that in any case, this limb of the test is to be afforded less weight in circumstances where - as I have found - the proposed appeal grounds lack merit: Ah-Chee at [15].
62 I accept and adopt the Respondent's submissions with respect to this issue. Mr Gadzikwa has not identified any substantial injustice that would flow from his being refused leave to appeal. It is not in contest that his application before the Tribunal remains on foot.
63 Further, once his application before the Tribunal is determined it will be open to Mr Gadzikwa to appeal from the Tribunal's final decision on a question of law. As Flick J observed in Yao v Secretary, Department of Education, Employment and Workplace Relations [2010] FCA 241 at [22]:
A conclusion that a decision to refuse to issue a summons pursuant to s 40(1A) may not be susceptible of appeal pursuant to s 44, it may be noted, does not necessarily have the consequence that such decisions may not ultimately be susceptible of examination by this Court by way of an appeal. In some cases it may, for example, be possible to contend that a refusal to issue a summons has consequentially denied a party of the "reasonable opportunity to present his case" - as guaranteed by s 39. In such cases, the ultimate or final decision may thus be examinable on appeal; but not the decision when made during the course of and for the purposes of conducting the review pending before the Tribunal.
64 In the circumstances of the present proceeding, the Tribunal gave careful and considered reasons for rejecting Mr Gadzikwa's application for the issue of the subpoenas he had sought (Gadzikwa and Comcare (Compensation) [2020] AATA 631). The materials he sought are clearly identified in those reasons, as are the reasons the Tribunal gave for rejecting his application. If thereby the Tribunal was in error, Mr Gadzikwa may advance that as a ground of appeal in respect of any determinative decision of the Tribunal. If he persuades the Court hearing such an appeal that the refusal denied him a reasonable opportunity to present his case, he may yet succeed.
65 In any case, there were other avenues available to Mr Gadzikwa which were potentially open and might have permitted him to challenge the conduct of the Tribunal in this Court. In circumstances where an appeal is unavailable (as to which qualification see generally Duncan v Hotop [2002] FMCA 37), an application for review of a decision by the Tribunal may be brought under the ADJR Act (as in Hayes). Under the ADJR Act, both decisions (s 5) and conduct (s 6) are reviewable. Moreover, by reason of s 3(2) of that Act the word "decision" is defined in a manner which gives it a broader meaning than that which applies to the word in the context of s 44(1) of the AAT Act: Australian Broadcasting Tribunal v Bond [1990] HCA 33; 170 CLR 321 at 337. Alternatively, Mr Gadzikwa might have brought an application pursuant to s 39B of the Judiciary Act 1903 (Cth) (Judiciary Act) (see, eg, Commissioner of Police, New South Wales v Guo [2016] FCAFC 62; 332 ALR 236). That avenue is also not subject to the same restrictions that s 44(1) imposes on appeals.
66 Those matters reinforce the Court's finding that refusing to grant the leave that Mr Gadzikwa seeks does not risk exposing him to substantial injustice. Subject to discretionary considerations as I note below, those avenues would appear to remain potentially available.
67 I accept however that relief, if available, would be discretionary. There are time limits provided for in proceedings under the ADJR Act. While an application for an extension of time might be made, delay may be a reason for the Court to refuse to relief. While there are no fixed time limits for proceedings to be brought pursuant to s 39B of the Judiciary Act, delay is a discretionary consideration. Moreover, any court in which relief is sought could be accepted to take into account the circumstance that the proceeding before the Tribunal has not yet been finally determined, being "astute to protect parties from the expense and delay of unnecessary applications" (Hayes at 323). It can be accepted that it would consider the appropriateness of interfering with the lawful functions of the Tribunal, and the undesirability of fragmenting proceedings: see generally Pearce, Administrative Appeals Tribunal (4th ed, LexisNexis Butterworths, 2015) at 413-414. The following observation of the Court in Geographical Indications Committee v The Honourable Justice O'Connor [2000] FCA 1877 is apposite:
28. In Commissioner of Taxation v Beddoe, which concerned an application under the ADJR Act to review directions made by the AAT under s 33 of the AAT Act for the filing and exchanging of answers to questions prior to a hearing Spender J, said at 453:
"It is in my opinion wholly undesirable that the process contemplated by the AAT Act should be fragmented by applications seeking to challenge intermediate directions or determinations made along the way to reaching an ultimate determination of the issue before the Tribunal, in the same way that this Court should be reluctant to fragment the criminal process by entertaining applications under the ADJR Act in relation to committal proceedings and, in particular, intermediate rulings or determinations made in the course of committal proceedings rather than the ultimate decision to commit."
Whilst that observation was not necessary for the determination of the case, we respectfully endorse his Honour's observations.
68 Those matters, however, are for Mr Gadzikwa to address as he may be advised to do so.