D The Function of THE Assessor
25 I now turn to consider the function of the assessor to be appointed. In this respect the word "assessor" is somewhat of a misnomer. The assessor is not going to assess anything. The assessor's role will be consistent with the original Latin roots of the word, namely someone who sits with another, or is an assistant.
26 As Sir Joseph Napier observed in The "Magna Charta" (1871) 1 Asp. M. L. C. 153 (PC) (at 154), a case concerning the duty and powers of Trinity Masters as assessors:
[The judge] is advised and assisted by persons experienced in nautical matters, but that is only for the purpose of giving him the information he desires upon questions of professional skill, and having got that information from those who advise him, he is bound in duty to exercise his own judgment, and it would be an abandonment of his duty if he delegated that duty to the persons who assisted him. The assessors merely furnish the materials for the court to act upon, and, for convenience sake, they are allowed to hear all the evidence. If the learned judge is unable to see what are the grounds upon which they give their opinion and draw their inferences, or assume facts, and if they are other than those to which he gives his assent, he is not at liberty to act upon any inferences which they draw from the evidence, except [if] they accord with those of which he himself approves. The deductions to be drawn from the evidence must be his own, and all the assessors can do is merely to give him their aid and advice in those matters in which they are supposed to be skilled.
27 Indeed, given this Court is exercising Ch III judicial power, granted to it by Parliament acting conformably with the Constitution, it is necessary that the assessor acts in a way which does not constitute an impermissible delegation of judicial power: see Harris v Caladine (1990) 172 CLR 84. I have already written extensively on this issue in CPB Contractors in the context of referees. As I explained there (at 600-1 [40]), the typical features of an exercise of judicial power are the quelling of controversies between the parties, the determination of existing accrued rights or incurred liabilities, and the conclusive nature of the decision made in the exercise of power. Further, as I observed, the requirements of Ch III cannot be considered only by reference to the characteristics of the function exercised; it is also necessary to consider the process adopted by the court, as well as the independent and impartial character of the court. I went on to note that (at 605 [59]) "[t]he task undertaken by the referee lacks the most basic characteristic of the exercise of judicial power, that is, quelling a controversy between parties by determining rights or liabilities in a manner that is authoritative, conclusive or binding." These comments apply a fortiori in respect of an assessor.
28 It has been remarked that, "[i]n some respects the function of assessors is similar to that of expert witnesses in that they are sources of information on matters concerning their own special skill or knowledge", although assessors "are not called by the parties, are not sworn, and cannot be cross-examined": Dickey A, "The Province and Function of Assessors in English Courts" (1970) 33 Modern Law Review 494 (at 501). Indeed, usually, at least historically, the advice of assessors is both sought by and given to the court in private and is only disclosed to the parties at the court's discretion and then usually at the end of the case in the judgment: see Carlewie Pty Ltd v Roads and Maritime Services [2018] NSWCA 181; (2018) 98 NSWLR 233 (at 237 [15] per Basten JA, with whom Payne and White JJA agreed).
29 The distinction between an assessor and a witness, although fundamental, has sometimes been somewhat blurred - at least historically. As Viscount Simon LC explained in respect of a medical assessor in Richardson v Redpath, Brown & Co Ltd [1944] AC 62 (at 70, with whom Lords Thankerton, Russell of Killowen, MacMillan and Wright agreed):
… to treat a medical assessor, or indeed any assessor, as though he were an unsworn witness in the special confidence of the judge, whose testimony cannot be challenged by cross-examination and perhaps cannot even be fully appreciated by the parties until judgment is given, is to misunderstand what the true functions of an assessor are. He is an expert available for the judge to consult if the judge requires assistance in understanding the effect and meaning of technical evidence.
30 Later in his Lordship's speech (at 71) he went on to disapprove of judges referring to the advice of assessors as "evidence", and stressed that the role of an assessor is not to supply anything which might be regarded as being evidence, but to help the judge understand the evidence.
31 Although this view has been criticised as too restrictive, and it said that assessors may properly be required to answer any question of fact within their special skill or knowledge that is relevant to the case (Dickey (at 501)), this is not the way I would intend using an assessor. In saying this, I note that there is some authority which could be seen as interpreting the role of an assessor as being somewhat akin to an expert. For example, in Owners of S.S. Australia v Owners of Cargo of S.S. Nautilus [1927] AC 145 (at 150) Viscount Dunedin said "assessors may be used to the full for information" and Lord Sumner observed (at 152) that assessors "are not only technical advisers; they are sources of evidence as to facts". A similar statement was made in by Scott LJ in The "Clan Lamont" (1948) 79 Ll. L. Rep. 521 (at 524, with whom Bucknill LJ agreed), when it was said that in arriving at the conclusion that the master of a vessel was not negligent, "we attach the greatest weight to the expert advice which has been given to us by our [nautical] assessors - and that advice, it should be remembered, is expert evidence, admissible in Admiralty Courts, on all issues of fact about seamanship."
32 It is unnecessary for the purposes of this judgment to form a definitive view as to the precise limits of the function of an assessor in all cases in this Court conducted pursuant to the requirements of the Evidence Act 1995 (Cth). But the view expressed by the Lord Chancellor in Richardson v Redpath more closely resembles the function of an assessor that I would regard as appropriate. Certainly in this Court, if an assessor was to somehow start operating as an expert, as it appears, at least historically, has sometimes been the case in Admiralty, the more appropriate course would be to appoint a court-appointed expert, rather than an assessor.
33 In his article, Justice Beach noted (at 16-7) that assessors could perform a variety of functions at the discretion of the appointing judge at the pre-trial, trial and post-trial stages of the proceedings. These include:
(a) acting as a human primer to deliver tutorials to the judge pretrial on relevant specialised topics (see for example Kirin-Amgen Inc v Hoechst Marion Roussel Ltd (No. 2) [2004] UKHL 46; [2005] RPC 9, 169 at [135] per Lord Hope of Craighead);
(b) explaining the expert reports, including any joint report;
(c) answering questions that a judge might have regarding the technical evidence;
(d) sitting with a judge at trial to listen to the technical evidence and to help the judge understand it in and out of court;
(e) assisting the judge with any basis or relevance evidentiary objections in an unusually complex technical matter;
(f) putting questions directly to counsel or witnesses at the hearing or suggesting questions for the judge to put to counsel or witnesses;
(g) generally, acting as a discipline on the behaviour of expert witnesses in a concurrent evidence session who may otherwise perceive that they can confound the lawyers present with technical complexity without challenge;
(h) conferring with the judge after trial to assist the judge to get the technical concepts correct; and
(i) reviewing draft judgments for technical accuracy, but solely against the evidence adduced by the parties.
34 Justice Beach also noted (at 17) that the assistance of assessors could provide added confidence to the appointing judge as to the cogency of the judge's technical reasons; at the least, the reasons would be based on a deeper understanding of the technical evidence in a field with which the judge may not be familiar.
35 It is clear from a survey of the cases, that within limits of the proper exercise of the judicial function and the law, the precise role an assessor will play is a matter for the appointing judge in the exercise of discretion. It is for this reason that both parties submit, and I agree, that it is prudent to specify with some particularity the precise role that the assessor will play and to do so in such a way as to apprise the assessor of the metes and bounds of the function to be performed.
36 Understandably, the role of a third party assisting the judge gives rise to issues concerning procedural fairness. This was addressed by Heerey J in Genetic Institute v Kirin-Amgen, but was not considered to be a valid ground to oppose the appointment of an assessor. This issue was also addressed by J Forrest J Matthews v SPI Electricity (Ruling No 32) [2013] VSC 630. Unlike this Court, s 77(1) of the Supreme Court Act 1986 (Vic) provides that "[t]he Court may in any proceeding call in the assistance of one or more specially qualified assessors and hear the proceeding wholly or partially with their assistance but shall not be bound by their opinion or findings." Relying on, inter alia, s 77(1) and other case management powers, J Forrest J appointed two assessors to provide him with assistance in relation to scientific and engineering questions relating to the failure of the "Valley Span conductor on Black Saturday", including both quantitative and qualitative analysis of the loads or stresses on the conductor.
37 In this context, his Honour went on to note the following (at [27]):
The primary role of the assessors is to assist the court in understanding the evidence of the experts. Applying the CPA, combined with the principles of natural justice and the guidance from the cases I have referred to, I set out below the scope of the role of the assessors in this case:
(a) The assessors' role is to assist the judge. The decision is that of the judge alone.
(b) The assessors will sit with me during the concurrent evidence sessions. If they wish, they may question the experts (or counsel) in this context. Such questioning however will be limited to clarification of the evidence; that is, where they consider the evidence to be ambiguous, unclear or incomplete.
(c) I may consult with the assessors while sitting if I find a point of evidence unclear and seek their immediate input as to an appropriate or useful inquiry to make.
(d) I will consult with the assessors whilst in chambers on matters raised by the experts in their oral evidence and in their individual and joint reports. This may include advice as to any questions the assessors think I should ask counsel or the experts in order to determine the questions at hand.
(e) I will seek the guidance of the assessors on technical matters upon which I lack the requisite knowledge to understand without qualified assistance. This may include "lessons" on matters fundamental to, for example in this case, fracture mechanics or vibration.
(f) If the assessors raise a theory or opinion that has not previously been identified by the parties, I will discuss this with counsel.
(g) The assessors may from time to time provide me with advice on matters over which there is dispute between the experts. Such advice is not binding and the determination of a particular issue rests with the judge.
(h) I anticipate that I will consult with the experts immediately after the conclusion of the concurrent evidence session and, from time to time, while drafting the judgment. This is likely to include seeking confirmation from them that I have properly understood the meaning of the expert evidence of conclaves 1, 3 and 4. I repeat, however, that their role is confined to providing advice and ensuring that I have comprehended the evidence given. I also repeat that the decision on these issues is mine and mine alone.
38 It may be that in different cases it would be appropriate for the scope of the assessor's duties to be somewhat differently calibrated to those identified by J Forrest J. But the role of the assessors delineated in the circumstances of the Black Saturday class action accords with my views as to the appropriate use of assessors in the present case. Accordingly, upon the appointment of an assessor, I intend to make an order adapting the roles identified by J Forrest J and providing a copy of the order to the assessor so that there is no misunderstanding as to the scope of the assessor's function.