[1996] NTSC 12
General information, not legal advice.
Supreme Court of the NT
1996-03-01
Mr J, Martin CJ
Original judgment source is linked above.
COURT IN THE SUPREME COURT OF THE NORTHERN TERRITORY OF AUSTRALIA MARTIN CJ CWDS Administrative law - hearing de novo. Police Administration Act s23 - Police Promotions Appeals Board HRNG DARWIN, 7 July 1994 and 8 September 1995 #DATE 1:3:1996 #ADD 31:5:1996 Counsel for plaintiff: Mr J Reeves Solicitors for plaintiff: Mildrens Counsel for 1st defendant: Mr M Hooper Solicitors for 1st defendant: Ward Keller Counsel for 2nd defendant: Mr T Riley QC Solicitors for 2nd defendant: AG Dept ORDER The determination of the first defendants that the appeal to the Northern Territory Police Promotions Appeals Board against action taken by the Commissioner of Police against the plaintiff pursuant to s23 of the Police Administration Act was an appeal in the strict sense is quashed. Declare that the appeal is by way of hearing de novo. JUDGE1 MARTIN CJ The plaintiff seeks a remedy in the nature of a certiorari to have the determination made by the first defendants, constituting the Northern Territory Police Promotions Appeals Board, ("the Board") that an appeal to the Board by him against action taken by the Commissioner of Police, under s23 of the , (the "Act") was an appeal in the strict sense. That question was determined by the Board in accordance with the opinion of Mr McGregor, a Stipendiary Magistrate, and Chairman of the Board under s67(5) of the Act as it then stood. Alternative remedies are also sought. The provisions now under consideration have since been repealed, but continue to apply in relation to the appeal in question. 2. Section 67 of the Act provides that subject to that section, where the Commissioner takes action under s23 against a member "an appeal may be made to the (Police Promotions Appeal) Board" established under of the Act. What is at issue is the nature of such an appeal. It is common ground that on 21 September 1993, the Commissioner took action under s23(h) to retire the plaintiff from the Police Force on the basis that he was unfit to discharge the duties of his position, (s23(c)). It is not suggested that that action was taken on the basis that the plaintiff was medically unfit. The general provision for appeals against action under s23 encompass actions by the Commissioner in addition to that in question here. For example, where a member (other than a Deputy Commissioner or an Assistant Commissioner) appears to the Commissioner to be inefficient or incompetent (s23(a)), or unable to discharge or incapable of discharging the duties of his position (s23(b)), the Commissioner may transfer the member to another position (s23(d)), reduce the member to a lower position and salary (s23(e)), reduce the rate of salary (s23(f)), or where the action arose because the member was medically unfit, direct the member to take sick leave (s23(g)). The appeal provisions apply as well to promotions made by the Commissioner, decisions to appoint persons to a position from outside the Police Force or appointments contrary to preference in favour of Police Cadets. The appeal provisions apply to a wide range of grievances against action which may have very significant impact upon the member, including, as here, compulsory retirement from the Force. PROCEDURE BEFORE THE COMMISSIONER AND THE BOARD 3. There are no provisions in the Act regarding the procedures to be adopted by the Commissioner prior to taking any of the courses open under s23. There are no requirements as to how the Commissioner should go about his task before arriving at the appearance required as a precondition to the exercise of power, the records that should be kept or the means by which the rights of the member are to be safeguarded in that process. However, action taken under s23 does not take affect until the Commissioner has in writing notified the member of the action and set out his reasons for taking it (s24). . The Board is constituted by a Chairman, who is a Stipendiary Magistrate, a person nominated by the Commissioner and a member nominated by the Northern Territory Police Association or the Northern Territory Police Commissioned Officers Association, dependant upon circumstances, and appointed by the Minister (s60). A member of the Board holds office for such a period, not exceeding three years, as is specified in the instrument of his appointment, but is eligible for reappointment (s61). It will be noted that not only is the Commissioner the administrative body in whom is reposed the power to take action in the circumstances prescribed under s23, but one of the persons on the Board is to be appointed on his nomination, and it is provided in s67(4) that the Commissioner shall be a party to proceedings before the Board. Questions arising in an appeal are to be determined in accordance with the opinion of a majority of the Board s67(5), and questions of law are to be determined in accordance with the opinion of the Chairman s67(6). . The procedures of the Board are provided for in s68. It may take evidence on oath or affirmation, proceed in the absence of a person entitled to be present if the person has had reasonable notice of the proceeding, summon persons to appear before it to give evidence and produce documents, and administer an oath or affirmation. The hearing of proceedings before the Board is to be public subject to the exercise of the Board's power to order otherwise (s69). Parties may be represented before the Board by a legal practitioner or, by leave of the Board, by some other person (s71). . The procedure of the Board is, subject to the Act and regulations, within its discretion, but proceedings are to be conducted with as little formality and technicality and with as much expedition as the requirements of the Act and a proper consideration of the matter before the Board permit; the Board is not bound by the rules of evidence, but may inform itself on any matter in such manner as it thinks appropriate (s72). It has power to order an appellant to pay the Commissioner costs where it is of the opinion that an appeal is frivolous or vexatious (s72(2)(b) and reg25). A member of the Board has in the performance of his duty as a member the same protection as a Judge of the Supreme Court (s73)(1)). As to its decisions, it is provided in s74 that where, on an appeal, "the appellant proves to the satisfaction of the Board that the .... action to which the appeal relates was wrong," it may affirm, set aside or vary the action and where it sets it aside, the Board may substitute its own action for the action to which the appeal relates (s74(1) and (2)). It is suggested that these provisions reveal important guidance as to the nature of the appeal. OTHER APPEALS UNDER THE ACT 7. The paucity of the statutory direction given to the Commissioner as to how he should proceed pursuant to the powers in s23, may be compared with those then contained in Part V relating to other disciplinary measures. If a member committed a disciplinary offence, such as being guilty of disgraceful or improper conduct, being negligent or careless in the discharge of his duties, or acting in a manner prejudicial to the good order and discipline of the Police Force, he was subject to punishment (s85). Where it appeared to the Commissioner that a member may have committed a disciplinary offence in respect of which he would, if found guilty, be subject to a penalty, the member was to be given written notice stating briefly the particulars of the offence and outlining the courses available by which the member may have put his case to the Commissioner (s86). There were detailed provisions as to how the matter was to proceed including, if appropriate, by way of a hearing (s87). If it was found that the member had committed a disciplinary offence, he may have been punished by a penalty ranging from a reprimand at the lower end of the scale through fines, reduction in rank and dismissal from the Force at the other (s88). 8. A Police Appeal Board was established to hear appeals in respect of the exercise of those disciplinary powers (s89). Again it was constituted by a Stipendiary Magistrate as Chairman and a person nominated by the Commissioner and another nominated member (s90). That Board had similar powers to those conferred upon the Board as to procedure including the summoning of witnesses (s97), conduct of hearings (s101), and representation of parties (s103). It was instructed as to the proceedings in the same manner as applies to the Board. In contrast with the lack of direction as to the nature of the appeal to the Board, s108 provided that an appeal to the Police Appeals Board was by way of re-hearing except that, where a ground of the appeal was that (a) the punishment specified to which the appeal related was too severe; or (b) the Commissioner, in making the determination to which the appeal related was wrong in law, and the Board was of the opinion that the justice of the appeal would not be compromised thereby, that appeal was conducted as an appeal in the strict sense. APPEALS GENERALLY 9. Absent clear guidance from the legislature it is often a vexed question as to what is the nature of the appeal allowed from one decision making body to an appellate body. The extent of the various forms of appeal are usefully summarised, with respect, by his Honour Glass JA. in Turnbull v New South Wales Medical Board at 297-8. The categorisation appears to have been adopted by Kirby P. in Clarke and Walker Pty Ltd v Secretary Department of Industrial Relations and Another at 691. Reference might also be made to Workers' Compensation (Dust Diseases) Board v Veksans Some are of no relevance here. In Builders Licensing Board v Sperway Constructions (Syd) Pty Ltd and Another ; , commencing at p619, Mason J reviewed the law as to categories of appeal which are of most significance in this matter, notwithstanding, that the appeal there under consideration was one from an administrative body to a court. His Honour pointed out that an appeal is not a common law proceeding, but a remedy given by a statute, and proceeded to outline the features of those categories: 1. An appeal stricto sensu where the question considered is whether the judgment complained of was right when given, that is, whether the order appealed from was right on the material which the lower court had before it. 2. Such an appeal is to be distinguished from an appeal by way of rehearing involving rehearing of the cause at the date of the appeal, that is: "by trial over again on the evidence used in the Court below; but there is special power to receive further evidence" (In re Chennell; Jones v Chennell at 505). "On such an appeal the rights of the parties must be determined by reference to the circumstances as they then exist and by reference to the law as it then exists; the appellate court may give such judgment as ought to be given if the case at that time came before the court at first instance. But this appeal by way of rehearing did not call for a fresh hearing or hearing de novo; the court does not hear the witnesses again". 3. Notwithstanding that the legislation may provide for an appeal in the nature of a rehearing, it may be that what is required is a hearing de novo before the appellate body, the nature of the original proceedings not lending itself to an appeal in which the appellate body could be confined to the
materials before the original decision maker (Phillips v The Commonwealth of Australia [1964] HCA 22; (1963-64) 110 CLR 347). At pp 621-2 his Honour said: "Where a right of appeal is given to a court from a decision of an administrative authority, a provision that the appeal is to be by way of rehearing generally means that the court will undertake a hearing de novo, although there is no absolute rule to this effect ... . 10. The nature of the proceeding before the administrative authority may be of such a character as to lead to the conclusion that it was not intended that the court was to be confined to the materials before the authority. There may be no provision for a hearing at first instance or for a record to be made of what takes place there. The authority may not be bound to apply the rules of evidence or the issues which arise may be non-justiciable. Again, the authority may not be required to furnish reasons for its decision. In all these cases there may be ground for saying that an appeal calls for an exercise of original jurisdiction or for a hearing de novo. 11. On the other hand the character of the function undertaken by the administrative authority in arriving at its decision may differ markedly from the instances already supposed. The authority may be required to determine justiciable issues formulated in advance; to conduct a hearing, at which the parties may be represented by barristers and solicitors, involving the giving of oral evidence on oath which is subject to cross-examination; to keep a transcript record; to apply the rules of evidence; and to give reasons for its determination. In such a case a direction that the appeal is to be by way of rehearing may well assume a different significance. 12. But in the end the answer will depend on an examination of the legislative provisions rather than upon an endeavour to classify the administrative authority as one which is entrusted with an executive or quasi-judicial function, classifications which are too general to be of decisive assistance. Primarily it is a question of elucidating the legislative intent, ... ." 13. Similarly, in Harris v Caladine [1991] HCA 9; (1991) 172 CLR 84 at 124-5 Dawson J speaking of a hearing de novo said: "... the informant or complainant starts again and has to make out his case and call his witnesses" .... A hearing de novo may be contrasted with an appeal stricto sensu and an appeal by way of rehearing. In an appeal stricto sensu the question is whether, upon the material before the tribunal below, the conclusion which was reached was correct. An appeal by way of rehearing involves the rehearing of the matter as at the date of the appeal, but upon the evidence called before the tribunal below, subject to a power to receive further evidence. On an appeal by way of rehearing the rights of the parties must be determined by reference to the circumstances, including the law, as they exist at the time of the rehearing. But an appeal by way of rehearing does not call for a fresh hearing as does a hearing de novo; the appeal court does not hear the witnesses again". 14. In the cases referred to thus far reference is made to appeals from an administrative body or court to a court. There have been suggestions in some cases that determining the nature of an appeal might be aided by a presumption such as that spoken of by McHugh JA. in Strange-Muir and Another v Corrective Services Commission of New South Wales and Another (1985-86) 5 NSWLR 234 at 250, that in an administrative appeal to an administrative body the issue is whether the decision was correct when it was made. It was suggested in written submissions in this case that the view his Honour there expressed was shared by Priestly JA. It is true that his Honour reached the same conclusions as did McHugh JA. concerning the construction of the legislation there in question, but he expressed himself "content to rest my opinion upon a reading of the words of the section in the context of that Act as a whole" (at p246). The position binding on me is that propounded by Deane, Gaudron and McHugh JJ in Re Coldham and Others; Ex parte Brideson [1990] HCA 36; (1989-90) 170 CLR 267 at 273-4: "...it is well settled that, when the legislature gives a court the power to review or hear an "appeal" against the decision of an administrative body, a presumption arises that the court is to exercise original jurisdiction and to determine the matter on the evidence and law applicable as at the date of the curial proceedings: see Ex parte Australian Sporting Club Ltd; Re Dash [1947] NSWStRp 11; (1947) 47 SR (NSW) 283. Nevertheless, whether the right of appeal against an administrative decision is given to a court or to an administrative body, the nature of the appeal must ultimately depend on the terms of the statute conferring the right: Builders Licensing Board v Sperway Constructions (Syd) Pty Ltd". 15. That case fell to be considered in the Court of Appeal in New South Wales in Maritime Services Board v Murray, unreported 22 December 1993. Kirby P. said that the: "the appellant sought to extract from Strange-Muir and the qualified support given to it, by reference, in Re Coldham, a settled rule of law governing all appeals from administrative decisions to administrative tribunals. I would doubt the existence of such a rule. If it exists, it is no more than a principle to aid in the ultimate task to which the High Court drew attention in Re Coldham. This is to try to find what Parliament intended by the particular "appeal" provided by the legislation in question." (at p14) 16. Handley and Sheller JJA. agreed. With respect, the weight of opinion does not support the presumptive rule spoken of by McHugh JA. I do not adopt it. This case, however, concerns an appeal from one administrative body to another administrative body. The Board is not a Court. If it were, then it would be appropriate to bear in mind that when considering the nature of an appeal from an administrative body to a Court that factor may be taken into account as indicative of the appeal being by way of hearing de novo (see for example the comments of Kirby P. in Workers' Compensation (Dust Diseases) Board v Veksans (supra) at 231. LEGISLATIVE HISTORY AND PREVIOUS DECISIONS OF THE BOARD 17. There have been a number of changes to the relevant provisions of the Police Administration Act over the years, although the Commissioner's powers under s23 were largely untouched. (Included in the Commissioner's original powers was that of dismissing a member from the Police Force (s23(h)) and retiring a member on health grounds (s24). There is no longer the power to dismiss, and the retirement provisions apply upon unfitness, on medical grounds or otherwise). The Act was initially brought into force in 1979, and did not then contain any express right of appeal from a Commissioner's decision under the then ss23 and 24, but in s67 it was provided that the then Northern Territory Police Promotions Board would have power to hear and determine an appeal from a decision of the Commissioner made under s23 and other provisions. Its procedures as to taking evidence, summoning witnesses and administering oaths, were much the same as they are now, (s68). It was provided in the original s69 that the hearing of proceedings before the Board should be in public with power, if the Board was satisfied that it was desirable to do so by reason of the confidential nature of any evidence or matter in the public interest, to direct that proceedings or any part take place in private. Parties could be represented, but nothing was said about the position of the Commissioner in an appeal to the Board. Its procedure was, subject to the Act and Regulations, within its discretion and otherwise the same as in the present s72. 18. In a decision of the Board in the matter concerning Chief Inspector Cronshaw in 1980 (at which, by the way, the Commissioner was represented by counsel) it was said that it was the first case before the Board in which the decision complained of was a demotion. The Board noted that there was no express provision regarding the position of the Commissioner, and suggested that the Act be amended to make it clear whether the Commissioner should be a party. It was said, in the reasons, that the appellant had had no hearing before the Commissioner directed to the points at issue in the appeal, and that he claimed a hearing de novo before the Board. But counsel for the Commissioner argued that the proceedings were of the nature of a true appeal and the Board agreed with him (I take that to mean an appeal stricto sensu). The Board noted that there were no provisions in relation to an appeal against the then s23, equivalent to that in the then s108, dealing with appeals from other disciplinary decisions, that the appeal be by way of a rehearing. The short reasons of the Board on this point were to the effect that since the nature of the appeal had been described as being by way of rehearing in s108, and there was no description of the nature of the appeal envisaged under s67, it followed that that appeal was stricto sensu. In the course of the reasons the Board also pointed out that under s110 of the Act in relation to appeals from other disciplinary proceedings, it was provided that a question of law arising was to be determined in accordance with the opinion of the Chairman, a Stipendiary Magistrate, and such provision should also be included in relation to the appeals of the type then under consideration. There is no date on those reasons, but it was given in respect of an appeal from a decision of the Commissioner declared on 1 December 1980. In 1983 the Legislative Assembly made substantial amendments to the Police Administration Act. As mentioned above, the power of the Commissioner to dismiss a member was removed and it was substituted with the power to "retire the member" and there was an added obligation upon him to give notice to the member of a decision made under s23. As to appeals, s67 was amended, as indicated above, to specifically provide for an appeal to be made to the new Board against the action of the Commissioner under s23, and there was added a significant number of provisions indicating that there had been a substantial review of the appeal provisions contained in the original s67. Amongst other things, it was provided that the Commissioner be a party to proceedings before the Board in respect of such an appeal, and that a question of law arising in the appeal be determined in accordance with the opinion of the Chairman, two of the suggestions made in the reasons for decision in Cronshaw. 19. It is submitted that the decision of the Board in Cronshaw that the nature of the appeal was stricto sensu, coupled with the adoption by the legislature of the suggestions made by the Board as to the Commissioner being a party and the role of the Chairman on questions of law, the parliament must have considered that the decision of the Board as to the nature of the appeal ought not to be affected by legislative intervention. It is put by counsel for the Commissioner that that view is reinforced by the amendments that were made at the same time to s74. As originally enacted, it was provided that:
Hart
McGregor & Ors [1996] NTSC 12; 130 FLR 55
(1976) 2 NSWLR 281
(1985) 3 NSWLR 685
(1993) 32 NSWLR 221
(1991) 172 CLR 84