The test to be applied
15 The principles to be applied are not in doubt. It is their application to the facts of a particular case which on occasions presents difficulties.
16 Gleeson CJ, McHugh, Gummow and Hayne JJ in Ebner v Official Trustee in Bankruptcy [2000] HCA 63, (2000) 205 CLR 337 at 344 to 345 formulated the test to be applied as follows:
[6] Where, in the absence of any suggestion of actual bias, a question arises as to the independence or impartiality of a judge (or other judicial officer or juror), as here, the governing principle is that, subject to qualifications relating to waiver (which is not presently relevant) or necessity (which may be relevant to the second appeal), a judge is disqualified if a fair-minded lay observer might reasonably apprehend that the judge might not bring an impartial mind to the resolution of the question the judge is required to decide. That principle gives effect to the requirement that justice should both be done and be seen to be done, a requirement which reflects the fundamental importance of the principle that the tribunal be independent and impartial. It is convenient to refer to it as the apprehension of bias principle.
…
[8] The apprehension of bias principle admits of the possibility of human frailty. Its application is as diverse as human frailty. Its application requires two steps. First, it requires the identification of what it is said might lead a judge (or juror) to decide a case other than on its legal and factual merits. The second step is no less important. There must be an articulation of the logical connection between the matter and the feared deviation from the course of deciding the case on its merits. The bare assertion that a judge (or juror) has an "interest" in litigation, or an interest in a party to it, will be of no assistance until the nature of the interest, and the asserted connection with the possibility of departure from impartial decision-making, is articulated. Only then can the reasonableness of the asserted apprehension of bias be assessed.
In describing the test as "relatively well settled", Allsop CJ, Kenny and Griffiths JJ have said that the test "is whether a fair-minded and appropriately informed lay observer might reasonably apprehend that the Court might not bring a fair, impartial and independent mind to the determination of the matter on its merits": ALA15 v Minister for Immigration and Border Protection [2016] FCAFC 30 at [35]. Their Honours went on to say that "there must be an articulation of the logical connection between the matter and the feared deviation from a course of deciding a case on its merits": [2016] FCAFC 30 at [36]. It may also be readily accepted that a "reasonable apprehension" of bias must be "firmly established": Re JRL, Ex parte CJL (1986) 161 CLR 342 at 352 per Mason J. See also: SZRUI v Minister for Immigration, Multicultural Affairs and Citizenship [2013] FCAFC 80 at [22] per Flick J (Allsop CJ agreeing); MZZLO v Minister for Immigration and Border Protection (No 2) [2016] FCA 356 at [53] per Moshinsky J.
17 And when reference is made in the authorities to a "fair-minded observer", questions arise as to the knowledge to be attributed to such an observer. Thus, for example, in Johnson v Johnson [2000] HCA 48, (2000) 201 CLR 488 at 507 to 508 Kirby J summarised the authorities and principles as follows:
The knowledge imputed to the fictitious bystander
There is no simple answer to the foregoing questions. As is usually the case when a fiction is adopted, the law endeavours to avoid precision. The nature of the fiction involved in this instance is illustrated by the many ways in which the hypothesised bystander is described. Phrases that have been used include the "lay observer", "fair-minded observer" … "fair-minded, informed lay observer" … "fair-minded people" … "reasonable or fair-minded observer" … "reasonable and intelligent man" … the "parties or the public" ... a "reasonable person" ... or (as has sometimes been favoured in England ... and Canada ...) the somewhat quaint and circular phrase, a "right-minded" person. Obviously, all that is involved in these formulae is a reminder to the adjudicator that, in deciding whether there is an apprehension of bias, it is necessary to consider the impression which the same facts might reasonably have upon the parties and the public. It is their confidence that must be won and maintained. The public includes groups of people who are sensitive to the possibility of judicial bias. It must be remembered that, in contemporary Australia, the fictitious bystander is not necessarily a man nor necessarily of European ethnicity or other majority traits …
The attributes of the fictitious bystander to whom courts defer have therefore been variously stated. Such a person is not a lawyer ... Yet neither is he or she a person wholly uninformed and uninstructed about the law in general or the issue to be decided ... Being reasonable and fair-minded, the bystander, before making a decision important to the parties and the community, would ordinarily be taken to have sought to be informed on at least the most basic considerations relevant to arriving at a conclusion founded on a fair understanding of all the relevant circumstances. The bystander would be taken to know commonplace things, such as the fact that adjudicators sometimes say, or do, things that they might later wish they had not, without necessarily disqualifying themselves from continuing to exercise their powers ... The bystander must also now be taken to have, at least in a very general way, some knowledge of the fact that an adjudicator may properly adopt reasonable efforts to confine proceedings within appropriate limits and to ensure that time is not wasted ... The fictitious bystander will also be aware of the strong professional pressures on adjudicators (reinforced by the facilities of appeal and review) to uphold traditions of integrity and impartiality … Acting reasonably, the fictitious bystander would not reach a hasty conclusion based on the appearance evoked by an isolated episode of temper or remarks to the parties or their representatives, which was taken out of context … Finally, a reasonable member of the public is neither complacent nor unduly sensitive or suspicious …
Gleeson CJ, Gaudron, McHugh, Gummow and Hayne JJ further observed that although the fictional observer is not to be assumed to have a detailed knowledge of the law, the reasonableness of the apprehension of bias is to be considered in the context of ordinary judicial practice and that such practice is "not frozen in time". The practice has to take account of the exigencies of modern litigation, including the fact that at the trial level modern judges respond to a need for more active case management and intervene in the conduct of a case, which "may surprise a person who came to court expecting a judge to remain, until the moment of pronouncement of judgment, as inscrutable as the Sphinx": [2000] HCA 48 at [13], (2000) 201 CLR at 493.
18 Where an application is made for a judge to disqualify himself, three further principles should be noted.
19 First, a judge should not automatically disqualify himself on an application being made: Livesey v New South Wales Bar Association (1983) 151 CLR 288 at 294. Mason, Murphy, Brennan, Deane and Dawson JJ there observed that:
"... it would be an abdication of judicial function and an encouragement of procedural abuse for a judge to adopt the approach that he should automatically disqualify himself whenever he was requested by one party so to do on the grounds of a possible appearance of pre-judgment or bias, regardless of whether the other party desired that the matter be dealt with by him as the judge to whom the hearing of the case had been entrusted by the ordinary procedures and practice of the particular court."
Appl'd: Deputy Commissioner of Taxation v Commercial & General Law (SA) Pty Ltd [2011] FCA 1269 at [44] per Lander J. Similarly, in Antoun v The Queen [2006] HCA 2, (2006) 80 ALJR 497 at 504 to 505 Kirby J has observed:
[34] It is true that, in the oft-repeated and oft-applied words of Mason J in Re JRL; Ex parte CJL [(1986) 161 CLR 342 at 352], this Court has "loudly and clearly" expressed a corrective against any view that a judge should too readily accept recusal because a party has demanded it. In the administration of justice in Australia, the parties do not (at least normally) have an entitlement to choose amongst the judicial officers who will conduct the trial. This principle has been reasserted and applied in many cases. It was not questioned in this appeal.
[35] The duty to discharge judicial functions is necessarily subject to any disqualifying conduct on the part of the judge subject to a recusal submission. The observations in Re JRL are a corrective to over-ready disqualification. But they are not a blanket that smothers the effect of disqualification where it has already arisen.
A "judge should not recuse himself or herself from hearing a particular case without there being a proper and substantial reason for doing so": Rana v Commonwealth of Australia [2013] FCA 189 at [36] per Mansfield J. See also: Patel v Minister for Immigration and Citizenship (No 4) [2012] FCA 1170 at [80] per Collier J. In a recent review of some of the authorities, it has been said that the "case law demonstrates that appeasement is not an appropriate ground for recusal": Olowofoyeku, 'Inappropriate Recusals' (2016) 132 LQR 318 at 323. As noted there, on occasions acceding to an application for disqualification is only succeeded by another application to disqualify a newly allocated judge.
20 Second, a party should be afforded a reasonable opportunity to make submissions in support of a disqualification application. A refusal to permit a party reasonable time may lead a fair-minded observer to "take a much harsher view" of remarks made and may create a "real and not remote possibility" of a judge not bringing an impartial mind to the resolution of a case: AJH Lawyers Pty Ltd v Careri [2011] VSCA 425 at [68], (2011) 34 VR 236 at 254 to 255 per Warren CJ, Hansen JA and Almond AJA.
21 Third, a party may "waive" any entitlement to rely upon conduct that could otherwise constitute a reason for seeking disqualification: Ebner [2000] HCA 63 at [6], (2000) 205 CLR at 344. The rationale behind the principle which requires a party to make an election as to whether reliance should be placed upon allegedly inappropriate conduct or to waive any future right to rely upon such conduct has been explained as follows by Brennan, Deane and Gaudron JJ in Vakauta v Kelly (1989) 167 CLR 568 at 572:
Where such comments which are likely to convey to a reasonable and intelligent lay observer an impression of bias have been made, a party who has legal representation is not entitled to stand by until the contents of the final judgment are known and then, if those contents prove unpalatable, attack the judgment on the ground that, by reason of those earlier comments, there has been a failure to observe the requirement of the appearance of impartial judgment. By standing by, such a party has waived the right subsequently to object. The reason why that is so is obvious. In such a case if clear objection had been taken to the comments at the time when they were made or the judge had been asked to refrain from further hearing the matter, the judge may have been able to correct the impression of bias which had been given or alternatively may have refrained from further hearing. It would be unfair and wrong if failure to object until the contents of the final judgment were known were to give the party in default the advantage of an effective choice between acceptance and rejection of the judgement and to subject the other party to a situation in which it was likely that the judgment would be allowed to stand only if it was proved to be unfavourable to him or her.
See also: Dawson J at 577 and Toohey J at 587. The trial Judge was there hearing a personal injury case and had referred to the defendant's doctors as "that unholy trinity" being part of the "usual panel of doctors who think you can do a full week's work without any arms or legs" and whose "views are almost inevitably slanted in favour of the [insurer] by whom they have been retained, consciously or unconsciously". It was concluded that the comments did not constitute actual bias. The repetition by the trial Judge of the same comments in his judgment, however, did expose "ostensible bias". Their Honours thus went on to address the consequences flowing from the repetition of much the same comments in the judgment of the trial Judge as follows:
If the above comments made by the learned trial judge in the course of the trial had stood alone, we would have been of the view that the appellant, having taken no clearly stated objection to them at the time and having stood by until the contents of his Honour's judgment were known, could not now found upon them in order to have that judgment set aside on the grounds of a reasonable apprehension of bias. The statements which the learned trial judge had made about his preconceived views of Dr Lawson were, however, effectively revived by what his Honour said in his reserved judgment. The appellant's failure to object to the comments made in the course of the trial cannot, in our view, properly be seen as a waiver of any right to complain if comments made about Dr Lawson in the judgment itself would, in the context of those earlier comments, have the effect of conveying an appearance of impermissible bias in the actual decision to a reasonable and intelligent lay observer. While, as we have indicated, the line between comments which would be likely to have that effect and comments which would not is necessarily an imprecise one, we have come to the conclusion that, when they are read in the context of what was said in the course of the trial, his Honour's comments in his judgment fall on the wrong side of that line. In particular, it seems to us that such a lay observer would be likely to see the derogatory and wide-sweeping references to Dr Lawson in the judgment - "Even Dr Lawson"; "his evidence, which was as negative as it always seems to be - and based as usual upon his non-acceptance of the genuineness of any plaintiff's complaints of pain" (emphasis added) - as indicating that his Honour was concerned to vindicate his preconceived and very strong adverse views about the reliability of Dr Lawson as a witness and had allowed those views to prejudice his whole approach to the case to the detriment of the defendant. An experienced lawyer would appreciate the ability of a trial judge to ensure that preconceived views do not cause the actual decision to be tainted by prejudgment or bias. The likelihood that the lay observer would not lies at the heart of the requirement of the appearance as well as the reality of impartial justice. To borrow and adapt words used by Mahoney JA in his dissenting judgment in the Court of Appeal, the comments in the judgment were such as to cause "reasonable apprehension" on the part of a lay observer that the judgment itself was, "in the end", affected by bias: (1989) 167 CLR at 573 to 574.
See also: Royal Guardian Mortgage Management Pty Ltd v Nguyen [2016] NSWCA 88 at [23] to [34] per Basten JA.