THE SECTION 425 POINT (GROUNDS 1 AND 2)
18 Section 425(1) of the Act imposes an obligation on the Tribunal to invite an applicant to appear before it "to give evidence and present arguments relating to the issues arising in relation to the decision under review." The Federal Magistrate held that the Tribunal had denied the visa applicant "a proper opportunity to give evidence and present arguments due to his mental state …". As a result it had failed to comply with the requirements of s 425 and thereby committed a jurisdictional error.
19 The reasoning that led the Federal Magistrate to this conclusion was as follows:
"[110] [Dr Phillips'] expert opinion was that the applicant was affected in three ways at the time of the two Tribunal hearings:
i. His traumatically induced fear of authority figures, including persons within the Tribunal;
ii. His cognitive impairment associated with major depressive disorder, interfering with his capacity to think rationally, to marshal information, to give evidence and to face cross-examination and./or [sic] interrogation in the legal arena; and
iii. His ongoing problems with communication in Australian English.
…
[112] I accept [Dr Phillips'] evidence in its entirety.
…
[118] There is no evidence that the Tribunal was aware of the applicant's psychiatric issues. This, then, raises the question as to whether there was a failure to comply with s.425 of the Act.
[119] This was an issue considered by Smith FM in SZIWY v Minister for Immigration & Anor. The facts of that case are that the applicant's Legal Aid solicitor had raised concerns about the applicant's mental state at the time of submitting the application for a protection visa. However, the applicant's medical history was not conveyed by the Secretary to the Tribunal. What did happen, though, was that the applicant's solicitor repeated her concerns about the applicant's mental health in her submission to the Tribunal. The solicitor did not attend the Tribunal hearing. It appears that the Tribunal was not made aware of the applicant's full medical history.
[120] Smith FM observed at [28]:
I consider that had the tribunal known of her medical condition it is probable that its evaluation of the credibility of the applicant's history would have been materially affected, and it is quite possible that the conclusions it drew might have been significantly different.
[121] His Honour went on to consider in some detail the authorities … and held that:
… a breach of s.425 can occur as a result of circumstances unknown to the Tribunal and beyond its control. It also supports the Full Court's opinion at [38] as to the jurisdictional nature of the requirements implicit in s.425.
[122] In the present case, the Tribunal was not aware of the applicant's mental health problems and, consequently, had no obligation to make its own inquiries about his mental state.
[123] In my view, the decision in SZIWY is relevant to the present case and, with respect, I find his Honour's reasoning persuasive.
[124] Had the Tribunal been aware of the applicant's mental state, it may have formed different conclusions about his credibility. It was the Tribunal's adverse view of the applicant's credibility that was the primary reason for its decision to affirm the delegate's decision.
[125] In my view the applicant was denied a proper opportunity to give evidence and present arguments due to his mental state and, consequently, the requirements of s.425 of the Act have not been complied with. For this reason, and for the failure to consider relevant material as set out in [87] above, I find that jurisdictional error has been made out."
20 The Minister's first ground was that the Federal Magistrate had erred, having regard to the evidence before him, in making the findings contained in paragraph [110] i) and ii) and the finding that the visa applicant was affected by these conditions at the Tribunal's hearings on 23 September and 13 November 2008.
21 The Minister's second ground was that the Federal Magistrate had erred in concluding that the Tribunal is unable validly to exercise its jurisdiction if an applicant is subsequently determined by the Court to have had a relevant mental impairment at the time of the Tribunal's hearing.
22 As will become apparent the Minister's first and second grounds are related. It will be convenient to deal, first, with ground 2.
23 It is clear, from his reasons, that the Federal Magistrate was strongly influenced by the decision of Smith FM in SZIWY when concluding that a contravention of s 425 of the Act had occurred. In SZIWY Smith FM had held that a breach of s 425 could occur if an applicant, unbeknown to the Tribunal, suffered from a mental impairment at the time of a hearing and that this impairment may have affected the outcome of the appeal.
24 Smith FM had adopted the same analysis in a later decision. In SZNVW v Minister for Immigration & Citizenship & Anor [2009] FMCA 1299, he followed his previous decision in SZIWY. The Minister appealed from Smith FM's decision in SZNVW. In Minister for Immigration and Citizenship v SZNVW & Anor (2010) 183 FCR 575 the Full Court of this Court set aside Smith FM's decision. This occurred after the Federal Magistrate had given judgment in the present proceeding.
25 In SZNVW Smith FM, acting on evidence from a psychologist and a psychiatrist which had not been before the Tribunal, found that the visa applicant "probably gave his evidence to [the Tribunal] when suffering from mental impairments affecting his memory, ability to recall details, and capacity to engage in discussions about his history and opinions." His Honour concluded (at [64]-[65]) that:
"[64] I accept the submission of the Minister … that the evidence now before me does not indicate that the applicant was entirely unfit to attend the Tribunal's hearing and answer its questions … However, I am satisfied with the benefit of the additional evidence now before the Court, that the Tribunal was deprived of the opportunity to assess the evidence given by the applicant in the light of his diagnosed mental impairments, and that the applicant was denied a "real and meaningful" opportunity to participate in the hearing and to have his evidence fairly assessed by the Tribunal in the light of his impairments.
[65] Importantly to the grant of relief in this situation, the Tribunal in its reasoning and its ultimate decision has plainly given a great deal of weight, even overriding weight, in arriving at its adverse conclusions about the applicant's credibility upon matters of demeanour, memory, and consistency. In relation to all of these matters, the applicant was denied a fair opportunity of having the Tribunal assess whether those defects were attributable to a mental impairment, or to concerns about veracity."
26 On appeal, Keane CJ (with whom Emmett J agreed) held that these findings by Smith FM did not support his conclusion that the Tribunal had failed to comply with the requirements of s 425(1) of the Act. His Honour said (at 586) that:
"[34] It was not demonstrated that the Tribunal was wrong to regard the respondent as a witness who was not worthy of belief. It has not even been shown that the Tribunal was wrong to attribute the respondent's poor performance before it to dishonesty rather than to the effects of his psychological problems. At the highest for the respondent it may be said that more information relating to his psychological problems might have led to a different view of his credibility. To say only that it is possible that a different view might have been taken of the respondent's credibility had more information been made available to the Tribunal as to his psychological problems is to fall short of demonstrating that the respondent was denied a "real and meaningful" opportunity of giving evidence and presenting arguments in support of his application. In this case … it has not been established, as a fact, by the evidence subsequently adduced before the magistrate, that the Tribunal's adverse view of the respondent's credibility reflects an impaired opportunity for him to give evidence and present arguments.
…
[36] There was, in my respectful opinion, no foundation for the magistrate's ultimate conclusion that "the applicant was denied a fair opportunity of having the Tribunal assess whether those defects [in addition to demeanour, memory, and consistency] were attributable to a mental impairment, or to concerns about veracity." The Tribunal was not obliged to conduct an inquiry to discover whether the respondent's case might be better put or supported by other evidence. The applicant had the opportunity to adduce such evidence as to his psychological state and its impact on his 'demeanour, memory and consistency", as he wished. There is no suggestion that his capacity to make decisions in his own interests in that regard was impaired by his condition.
[37] … The further evidence subsequently adduced before the magistrate was not apt to, and was not found to, demonstrate an unfitness to "give evidence and present arguments" at the hearing. Nor was this a case where the integrity of the hearing under s 425 was subverted by a want of an appreciation on the part of the Tribunal that the respondent's presentation of his case might have been adversely affected by an impaired mental state of which the Tribunal was oblivious."
27 The Minister submitted that the Federal Magistrate's conclusion that the Tribunal committed jurisdictional error by failing to comply with the requirements of s 425(1) of the Act and the reasoning that supported that conclusion cannot stand, consistently with the Full Court's decision in SZNVW.
28 The visa applicant submitted that ground 2, as framed in the notice of appeal, did not cover the Minister's submissions insofar as they were based on the Full Court's decision in SZNVW. Under cover of that objection the visa applicant accepted that SZIWY, after SZNVW, could no longer be taken as correctly expounding the law. SZNVW was, however, distinguishable because the Federal Magistrate, in the present case, had expressly found that the visa applicant "was denied a proper opportunity to give evidence and present arguments due to his mental state". No such finding had been made by Smith FM.
29 A semantic argument could be mounted in support of the proposition that the Minister's submissions in support of ground 2 were not framed in such a way as to make it immediately obvious that they were intended to advance that ground. Despite this the visa applicant was alerted to the Minister's argument in advance of the hearing and the issues were fully debated. The visa applicant suffered no disadvantage as a result of any uncertainty which might otherwise have arisen.
30 The argument focussed on what an applicant must prove in order successfully to establish a contravention of s 425 of the Act. Following SZNVW an applicant who has a diagnosed mental impairment which does not render him or her "entirely unfit" to attend a Tribunal hearing and answer questions cannot be held to have been denied a "real and meaningful" opportunity to participate in the appeal hearing. It must be demonstrated that the applicant was unfit (in the sense of being unable) to give evidence, present arguments and answer questions in the course of the hearing.
31 The visa applicant argued that the Federal Magistrate's ultimate decision in relation to s 425 was founded on an acceptance of the reasoning of Smith FM in SZIWY and a separate and independent finding, in paragraph [125], that the visa applicant had been "denied a proper opportunity to give evidence and present arguments due to his mental state." That mental state had been identified by Dr Phillips as including "cognitive impairment associated with major depressive disorder" which interfered with the visa applicant's capacity "to think rationally, to marshal information, to give evidence and to face cross-examination and/or interrogation in the legal arena …"
32 I am not persuaded that the Federal Magistrate made a separate finding of the kind attributed to him by the visa applicant. A fair reading of his reasons suggests that, in paragraph [125], he expressed ultimate findings based on an application of SZIWY to the facts of the case before him. The reference to the visa applicant's "mental state" is, it is tolerably clear, a reference back to what was said in paragraph [122] about the visa applicant's "mental health problems" and "his mental state" and to paragraph [124] which deals with the possible effect of the visa applicant's "mental state" on the Tribunal's assessment of his credibility. The visa applicant did not invite the Federal Magistrate to uphold grounds 13, 14 or 15 on a free standing ground that he was unfit to pursue his case before the Tribunal. His submission to the Federal Magistrate was that Dr Phillips's evidence supported a favourable finding for the reasons expounded in SZIWY. The Federal Magistrate recorded that the submission was that "he was suffering from a major depressive disorder which interfered with his capacity to think rationally, to marshal information and to face questioning, these matters being to the applicant's considerable disadvantage": at [63]. (emphasis added). Nowhere in his reasons did the Federal Magistrate record that he had been invited to make a favourable finding on an independent basis and he did not, expressly, make any such finding. For reasons which I have already given, no such separate finding is, implicitly, to be found in paragraph [125].
33 It should be noted, in passing, that the Federal Magistrate's penultimate conclusion in paragraph [124] is plainly consistent with SZWIY but inconsistent with SZNVW. The mere possibility that the Tribunal, had it been aware of an applicant's mental state, may have formed a different conclusion about the applicant's credibility is not sufficient to establish a contravention of s 425(1) of the Act.
34 It is also to be observed that Dr Phillips went no further than finding that the visa applicant's "mental state" had interfered with his capacity to advance his case before the Tribunal. Dr Phillips did not opine that the visa applicant was unfit to prosecute his application.
35 I return now to ground 1. I do so lest I be mistaken in upholding ground 2.
36 The Minister challenged the Federal Magistrate's acceptance of Dr Phillips's evidence for a number of reasons. The Minister had submitted, before the Federal Magistrate, that an examination of the transcripts of the hearings before the Tribunal disclosed that the visa applicant had given coherent and responsive answers to questions put to him and had, at no time, suggested that he was labouring under any disability, mental or otherwise. Dr Phillips had acknowledged that, in forming his opinion about the visa applicant's mental state at the time of the hearing, he had not read either of the transcripts. He had, however, relied on the visa applicant's account of events in Sri Lanka which was contained in a statutory declaration attached to his protection visa application. The Tribunal had declined to accept many of these claims. Dr Phillips had not read the Tribunal's reasons for decision.
37 In these circumstances the Minister submitted to the Federal Magistrate that it was not open to him to find that the visa applicant was unfit to prosecute his case before the Tribunal. The Federal Magistrate's reasons failed to deal with any of these submissions.
38 The visa applicant submitted, in this Court, that ground 1 amounted to a challenge to findings of fact made by the Federal Magistrate at [110] and [112]. The challenge must, it was submitted, fail because Dr Phillips had been found to be an impressive witness and the Federal Magistrate was entitled to accept and act on his evidence.
39 The Federal Magistrate may not have felt it necessary to deal with the Minister's objections to the acceptance of Dr Phillips's evidence because of the favourable view which he took of the approach taken by Smith FM in SZIWY. Whatever the reason, it was not open to the Federal Magistrate, consistently with SZNVW, to make the findings about the visa applicant's "mental state" without dealing with the Minister's submissions. The Minister was entitled to rely on the transcript of the hearings before the Tribunal in order to contradict the visa applicant's contention that he was suffering from mental incapacity at the time of the hearings. Whilst Dr Phillips was, no doubt, as the Federal Magistrate found, an impressive witness, his opinion about the visa applicant's mental state during the hearings was based on an interview conducted some nine months after the second of the two hearings had taken place. If the Minister was right and the transcript of the hearings (which Dr Phillips had not read) demonstrated that the visa applicant was able properly to represent his interests before the Tribunal, this evidence would have tended against any finding that he was unfit (in the SZNVW sense) to participate in the hearings. This evidence could not be ignored.
40 In any event, for the reasons already given, even if the Federal Magistrate's acceptance of Dr Phillip's evidence is unimpeachable, that evidence does not establish that the visa applicant's condition was sufficiently serious to meet the standard required by SZNVW.