© 2026 Zoe. All rights reserved.
Zoe is a legal information platform. Always consult the Federal Register of Legislation for authoritative text.
[2009] NSWIRComm 57
Industrial Relations Commission (NSW)
2009-07-01
Boland J, Kavanagh J, Backman J
Original judgment source is linked above.
CITATION: Morrison v Milner and Baldwin [2009] NSWIRComm 57
APPELLANT: Rodney Dale Morrison
RESPONDENTS: PARTIES: Matter No IRC 2008/574 John Hamilton Milner
Matter No IRC 2008/575 Stephen Barry Baldwin
CORAM: Boland J President; Kavanagh J; Backman J
OCCUPATIONAL HEALTH AND SAFETY - Appeal by prosecutor from decision at first instance dismissing proceedings brought against a director and a manager pursuant to s 15(1) and s 50 of the Occupational Health and Safety Act 1983 - Notice of contentions by respondents challenging prosecutor's authority to institute proceedings against them and other matters - At the time the proceedings were instituted prosecutor was appointed under s 47A of the Occupational Health and Safety Act 2000 - Three preliminary issues: (1) whether the Full Bench had power to deal with the respondents' notices of contention (held necessary power existed); (2) whether the Full Bench had jurisdiction to deal with what was contended to be a collateral challenge by the respondents (held there was jurisdiction); and (3) whether the de facto officer's doctrine applied in respect of Mr Morrison's appointment and, therefore, even if the appointment was defective, the acts done by Mr Morrison in apparent execution of his office cannot be challenged on the ground that he has no title to the office (held doctrine did not apply) - Whether there was a valid appointment was a question of statutory construction - Appropriate test to be applied was that enunciated in Project Blue Sky Inc v Australian Broadcasting Authority [1998] HCA 28; (1998) 194 CLR 355 - Held that even if the respondents were correct in contending that the appellant's appointment as an inspector under s 47A of the Occupational Health and Safety Act 2000 was not in accordance with the provisions of the legislative scheme the appointment was not thereby invalidated and, therefore, the prosecutions were properly instituted
APPEAL - Application for leave to appeal and appeal by prosecutor from decision at first instance dismissing proceedings brought against a director and a manager pursuant to s 15(1) and s 50 of the Occupational Health and Safety Act 1983 - Interlocutory issues - Whether prosecutor validly appointed - Held that regardless of whether prosecutor was appointed in accordance with the terms of the legislative scheme governing the appointment the prosecutions were nevertheless properly instituted - Application for leave to appeal and to appeal to be heard on later scheduled dates CATCHWORDS: STATUTORY CONSTRUCTION - Whether the appointment of a person as an inspector under s 47A of the Occupational Health and Safety Act 2000 in force at the relevant time was a valid appointment in circumstances where it was contended the person did not hold the relevant qualifications for appointment - Appropriate test to be applied was that enunciated in Project Blue Sky Inc v Australian Broadcasting Authority [1998] HCA 28; (1998) 194 CLR 355 - Held that even if the respondents were correct in contending that the appellant's appointment as an inspector was not in accordance with the provisions of the legislative scheme the appointment was not thereby invalidated and, therefore, the prosecutions were properly instituted
PRACTICE AND PROCEDURE - Whether the Full Bench has power to consider Notices of Contention in appeal proceedings involving a criminal prosecution - Held that given the absence of any established practice or procedure, the Notices, in respect of which directions had been made, had served the fundamental purpose of advising the Court and placing the appellant on notice as to the detailed basis upon which it is asserted that an appeal was not available to the appellant - Held there was no injustice caused to the appellant by the use of the Notices
Coal Mines Regulation Act 1982 Criminal Procedure Act 1986 Dangerous Goods Act 1985 (Vic) Industrial Relations Act 1996 Mines Inspection Act 1901 LEGISLATION CITED: Occupational Health and Safety Act 1983 Occupational Health and Safety Act 2000 Occupational Health and Safety Act 1985 (Vic) Occupational Health, Safety and Welfare Act 1986 (SA) Public Sector Employment and Management Act 2002 Public Sector Management Act 1988 Workers Rehabilitation and Compensation Act 1986 (SA)
A B Oxford Cold Storage Co Pty Ltd v Arnott (2005) 11 VR 298; (2005) 145 IR 61 Attorney General for New South Wales v Dylan Chidgey [2008] NSWCCA 65 Berwin v Donohue (1915) 21 CLR 1 Blatch v Archer (1774) 1 Cowp 64 Boddington v British Transport Police [1999] 2 AC 143; [1998] 2 All ER 203 Bros Bins Systems Pty Ltd v Industrial Relations Commission of New South Wales [2008] NSWCA 292 Bugg v Director of Public Prosecutions [1993] QB 473 Cassell v The Queen [2000] HCA 8; (2000) 201 CLR 189 Cheney v Spooner (1929) 41 CLR 532 Commissioner of Taxation v Futuris Corporation Ltd [2008] HCA 32 Country Energy v Malone [2005] NSWIRC 78; (2005) 138 IR 221 Fabio Benjamin Garcia v R (1996) 85 A Crim R 151 Flynn v Director of Public Prosecutions [1998] 1 VR 322 Gelzinis v T & R (Murray Bridge) Pty Ltd [2009] SASC 61 Gilmour v Midways Springwood Pty Limited (1980) 49 FLR 36 Hartmann v Commissioner of Police (1997) 91 A Crim R 141 Hood (1997) 91 A Crim R 526 Jacobs v Onesteel Manufacturing Pty Ltd & WorkCover Corporation of SA [2006] SASC 32 Kirk Group Holdings Pty Ltd & Anor v WorkCover Authority of New South Wales & Anor (2006) 66 NSWLR 151 Maccarron v Coles Supermarkets Australia Pty Ltd t/as Coles Supermarkets & Ors (2001) 23 WAR 355; [2001] WASCA 61 Meng Developments Pty Ltd v Victorian WorkCover Authority and anor (2005) 149 IR 148 Moore-McQuillan v WorkCover Corporation and ors [2005] SAWCT 14 CASES CITED: Morrison v Joy Manufacturing Co Pty Ltd [2004] NSWIRComm 107; 137 IR 8 Morrison v United Collieries Pty Limited [2005] NSWIRComm 259; (2005) 146 IR 154 Ousley v The Queen [1997] HCA 49; 192 CLR 69 Penrith Whitewater Stadium Ltd v Lesvos Enterprises Pty Ltd [2007] NSWCA 131 Price v Humphries [1958] 2 QB 353 Project Blue Sky Inc v Australian Broadcasting Authority [1998] HCA 28; (1998) 194 CLR 355 Quietlynn Ltd v Plymouth City Council [1988] QB 114 Re Williams Bros. Ltd (1928) 29 SR (NSW) 248 R v Bacon (1973) 1 NSWLR 87 R v Brewer (1942) 66 CLR 535 R v Cain [1976] 1 QB 496 R v Janceski [2005] NSWCCA 281; 64 NSWLR 10 R v JS [2007] NSWCCA 272 Rex v Bates [1911] 1 KB 964 at 965; Berwin v Donohoe (1915) 21 CLR 1 Rodney Dale Morrison v John Hamilton Milner and Rodney Dale Morrison v Stephen Barry Baldwin. Prosecutions under s 15(1) of the OH&S Act 1983 by virtue of s 50 of the OH&S Act 1983 [2008] NSWIRComm 77 T & R (Murray Bridge) Pty Ltd v Gelzinis [2008] SAIRC 35 The Attorney-General (Cth) v Breckler [1999] HCA 28; (1999) 197 CLR 83 The Queen v Cawthorne; ex parte Public Service Association of South Australia Incorporated (1977) 17 SASR 321 Thompson v The Queen (1989) 169 CLR 1 Traveland Pty Ltd v Doherty (1982) 41 ALR 563 United Transport Services Pty Ltd v Evans [1992] 1 VR 240 Walsh v Tattersall (1996) 188 CLR 77 Weisser v Spur Group Pty Limited [2003] NSWIRComm 79; 21 IR 89
HEARING DATES: 11 November 2008, 12 November 2008
APPELLANT: Mr R J Burbidge QC with Mr J A Kernick of counsel Crown Solicitor (Mr I V Knight)
RESPONDENTS: Matter No IRC 2008/574 LEGAL REPRESENTATIVES: Mr G M Watson SC Colin Biggers & Paisley, Lawyers (Mr A Riordan)
Matter No IRC 2008/575 Mr B G Docking of counsel Bartier Perry, Solicitors (Mr J Wright)
CORAM: BOLAND J, President KAVANAGH J BACKMAN J
Application by Rodney Dale Morrison to appeal against a judgment of Justice Haylen given on 14 April 2008 in Matter No IRC 860 of 2006
Application by Rodney Dale Morrison to appeal against a judgment of Justice Haylen given on 14 April 2008 in Matter No IRC 862 of 2006
1 These matters concern applications for leave to appeal and to appeal from a judgment of Haylen J given on 14 April 2008 in Rodney Dale Morrison v John Hamilton Milner and Rodney Dale Morrison v Stephen Barry Baldwin. Prosecutions under s 15(1) of the OH&S Act 1983 by virtue of s 50 of the OH&S Act 1983 [2008] NSWIRComm 77. Those proceedings involved a prosecution by Rodney Dale Morrison of Allied Coal Pty Ltd for contravention of s 15(1) of the Occupational Health and Safety Act 1983 ("the 1983 OHS Act"). By virtue of that breach and by operation of s 50 of the Act, John Hamilton Milner, being a person concerned with the management of the company, and Stephen Barry Baldwin, being a director of the company, were allegedly deemed to have contravened s 15(1). 2 The incident giving rise to the prosecution occurred on 20 December 2000. A mining crew was working underground at the Bellambi West Colliery, which is situated at Picton Road, Wilton near Bulli on the south coast of New South Wales. A section of the mine's roof collapsed, covering two members of the crew, Mr Gregory Aspinall and Mr Justin Rowles, with rock. Mr Aspinall suffered fatal injuries and Mr Rowles was severely injured and remained in a coma until January 2001. 3 The trial judge (at [287]) found that: [T]he prosecutor has not been able to establish a breach of s 15 of the Occupational Health and Safety Act 1983 by the company Allied Coal Pty Ltd: there has been a failure to establish a causal connection between the alleged acts or omissions of the company and the particularised risks to safety. It therefore follows that, by operation of s 50 of the Act, neither Mr Milner nor Mr Baldwin are thereby guilty of a breach of the Act. The proceedings in Matter No IRC 860 of 2006 against Mr Milner and the proceedings in Matter No 862 of 2006 against Mr Baldwin are dismissed. The prosecutor is to pay the costs of the defendants in a sum agreed or, in the absence of agreement, as ordered by the Court. 4 The appellant is Mr Morrison. He was, at the relevant time of filing the charges, the Director of Mine and Forest Safety Performance, New South Wales Department of Primary Industries and, according to the judgment of Haylen J, was an Inspector appointed under s 47A of the Occupational Health and Safety Act 2000 ("the 2000 OHS Act"). 5 The appeal was listed for hearing on the four days between 11 and 14 November 2008. As the proceedings developed it became apparent to the Full Bench that the appropriate course was to adjourn the proceedings to allow the Full Bench to consider and determine issues raised by notices of contention filed by the two respondents, Mr Milner and Mr Baldwin. Further hearing dates for the appeals were fixed for five days on 20 to 24 July 2009. This judgment deals with the matters raised by the notices of contention. NOTICES OF CONTENTION
6 The notices of contention were not materially different. The notices raised the following contentions: (1) that the appellant prosecutor was not validly appointed as an inspector under the occupational health and safety legislation and therefore an appeal cannot be made by the appellant under s 197A of the Industrial Relations Act 1996 as this section does not apply to the decision;
(2) that there was a miscarriage of justice in the Court below in respect of the authority or consent to prosecute defence and Mr Milner and Mr Baldwin thereby lost a chance which was fairly open to them of being acquitted or he lost a real chance of being acquitted;
(3) the appellant directly used answers and information in contravention of the use immunity and compensatory protection in s 60(2) of the Coal Mines Regulation Act 1982. The contravention(s) of the use immunity and compensatory protection in s 60(2) was an abuse of process;
(4) there was not negatived by the prosecutor as a reasonable possibility that there was an inexplicable failure by the afternoon shift to sound and bar or scale down the roof and, therefore, there could not be established to the criminal standard that a causal nexus was not broken between any alleged risk and failure; and
7 Mr B G Docking of counsel appeared for Mr Baldwin with Mr G M Watson SC appearing for Mr Milner. Mr Docking made the primary submission on the notices of contention for both respondents. 8 The relief sought in the notices was that the decision of Haylen J should be affirmed. In addition to or in the alternative, the relief sought was: (a) A permanent stay on the ground of an abuse of the court's process;
(b) declarations that: (i) on 5 or 6 July 2005 or both, Rodney Dale Morrison was not validly appointed as an Inspector for the purposes of s 47A of the Occupational Health and Safety Act 2000 with functions limited to s 32B and section 106 of that Act; (ii) the order instituting Matter Nos 860 and 862 in respect of John Hamilton Milner and Stephen Barry Baldwin in the proceedings in those matters are a nullity, invalid or void; (iii) the appeals in Matter Nos 574 and 575 of 2008 in respect of John Hamilton Milner and Stephen Barry Baldwin are a nullity, invalid or void. 9 It was the appellant's submission that the Full Bench did not have the power to make declarations. We disagree: see Country Energy v Malone [2005] NSWIRC 78; (2005) 138 IR 221 at [56]-[63]. AUTHORITY TO PROSECUTE
10 The primary issue arising out of the notices of contention is whether Mr Morrison was validly appointed as an inspector under s 47A of the 2000 OHS Act. We will come to it in more detail shortly, but s 47A of that Act provides that the Minister may appoint as an inspector (for the purposes of that Act and the regulations) any person who is, or could be appointed or designated as, an inspector, mine safety officer or investigator under the Coal Mines Regulation Act 1982 or the Mines Inspection Act 1901. The evidence was that Mr Morrison was appointed as an inspector on the basis that he could be appointed as a mine safety officer under the Mines Inspection Act. That Act defined a mine safety officer as a person appointed as a mine safety officer under Pt 2 of the Public Sector Management Act 1988, which was later superseded by the Public Sector Employment and Management Act 2002.
11 The respondents contended that Mr Morrison was unable to perform the functions of a mine safety officer as prescribed by the Mines Inspection Act and, therefore, he could not be appointed by the Minister as an inspector under s 47A of the 2000 OHS Act. This was so, it was submitted, because a mine safety officer was a person appointed under the Public Sector Employment and Management Act and that Act required a person to be appointed on merit having regard to such matters as the nature of the duties to be performed and the abilities, qualifications and the experience of the person. It was submitted that Mr Morrison did not have the necessary attributes to qualify as a mine safety officer in accordance with the requirements of the Public Sector Employment and Management Act. Three preliminary issues
12 Before addressing the validity of Mr Morrison's appointment, there are three preliminary issues raised by the appellant that we need to deal with, they being that: there was no power in the Full Bench to deal with the respondents' notices of contention; the Full Bench did not have jurisdiction to deal with what was contended to be a collateral challenge by the respondents; and that, in any event, the de facto officer's doctrine applied in respect of Mr Morrison's appointment and, therefore, even if the appointment was defective, the acts done by Mr Morrison in apparent execution of his office cannot be challenged on the ground that he has no title to the office. 13 By way of preliminaries, we should also refer to the first instance decision as it relates to the validity point and to fresh evidence received by the Full Bench on appeal. In addition, we have set out below a summary of the relevant submissions of the parties.
14 The appellant submitted, although we consider only faintly so, that there was no power in the Full Bench to deal with the respondents' notices of contention. The appellant's reasoning was based on r 89(5) of the Industrial Relations Commission Rules 1996, which provide: (5) Where: (a) there are no relevant provisions, and
(b) there is no established practice, procedure or usage, and
(c) there is no Rule, order, direction or Practice Direction in force, the practice, procedure or usage for the time being of the Supreme Court or, in the case of appeals, the practice, procedure or usage for the time being of the Court of Appeal or the Court of Criminal Appeal, as may be appropriate, is, as far as practicable, to regulate the practice, procedure or usage of the tribunal. 15 It is the case that there are no relevant provisions in the Industrial Relations Act 1996 regarding the use of a notice of contention in appeal proceedings, either criminal or civil in nature. Nor is there any rule or practice direction in force regarding the use of such notices. 16 There does exist a procedure in the Court of Appeal. The use of notices of contention was governed by Part 51 r 21 of the Supreme Court Rules 1970. It is now governed by the Uniform Civil Procedure Rules 2005 ("the UCPR"): see r 50.11 and r 51.40. In civil matters, then, it would be open to a party to file a notice of contention having regard to the combined operation of r 89(5) of the Industrial Relations Commission Rules and Parts 50 (r 11) or 51 (r 40) of the UCPR. See also Weisser v Spur Group Pty Limited [2003] NSWIRComm 79; 21 IR 89 at [51]. 17 Mr R Burbidge QC, for the appellant, however, drew attention to decisions of the Court of Criminal Appeal where it had been observed that "there is no procedure in the Court of Criminal Appeal for the raising of a point of contention, as exists under the procedures of the Court of Appeal": Attorney General for New South Wales v Dylan Chidgey [2008] NSWCCA 65 at [41]. See also Fabio Benjamin Garcia v R (1996) 85 A Crim R 151 per Hunt J at 152. Nevertheless, we note there has been a recent instance of a notice of contention being used in the Court of Criminal Appeal: see R v JS [2007] NSWCCA 272. 18 There might be some doubt about whether notices of contention may be used, as a matter of course, in criminal proceedings before the Industrial Court and, therefore, it would seem appropriate to effect a rule change or to issue a practice direction governing their use. However, in the present proceedings, directions (see r 85; r 89(5)(c)) were made on 3 June 2008 for the filing and service of notices of contention and there can be no doubt the appellant was on notice of such contentions. Additionally, comprehensive submissions were filed by the respondents that address the matters raised in the notices. 19 It was further submitted for the appellant that an incompetent appeal argument could not be brought in the guise of a notice of contention. The scope for appeal is limited by statute and is not a matter of judicial discretion: see, for example, Morrison v Joy Manufacturing Co Pty Ltd [2004] NSWIRComm 107; 137 IR 8 at [68]-[69]. Further, that a notice of contention could not support a challenge to rulings made, as the respondents seek to do in the present case: see discussion in Ritchie's Supreme Court Practice at [51.40.5] and Penrith Whitewater Stadium Ltd v Lesvos Enterprises Pty Ltd [2007] NSWCA 131 at [14]-[18].
20 In Whitewater, what was said by Basten JA at [17] and [18] was that: [17] The criterion for determining which process is required turns on whether it is sought to discharge or vary the "decision" below. The term "decision" may have a variable meaning depending on its context. The present context is the relevant process for the purpose of an appeal. Although dealing with the language of s 73 of the Constitution, the comments of Barwick CJ and Kitto J in Driclad Pty Ltd v Federal Commissioner of Taxation (1966-68) 121 CLR 45 are apposite; at p 64 their Honours said: "The taxpayers lodged notices of appeal to the Full Court which were expressed as if the appeals were against the reasons of Taylor J relating to the 'B' part of the fund rather than against the orders that he made. Needless to say, this was erroneous, because it is of the nature of appeals, as s 73 of the Constitution recognizes, that they lie only against 'judgments, decrees, orders and sentences', not against reasons. The word 'judgments' in this connexion refers only to operative judicial acts, and is not used, as it often is in other contexts, as a convenient abbreviation for reasons for judgment." [18] An appeal is a challenge to the orders made below, not to findings or reasons. A cross-appeal has the same purpose. Accordingly, a notice of cross-appeal is not required unless the respondent seeks to vary the orders of the Court below.
21 Strictly speaking, a notice of contention is for the purpose of a respondent wishing to contend that the decision of the court below should be affirmed on grounds other than those relied on by the court below, but where the respondent does not seek a discharge or variation of any part of that decision. 22 The respondents in the present proceedings do not seek a discharge or variation of any part of the orders of the court below, which were entirely in their favour. Their primary contention is that, contrary to the trial judge's ruling, the prosecutor was not validly appointed as an inspector under the occupational health and safety legislation and, therefore, an appeal cannot be made by the appellant. 23 It seems to us that what the respondents are, in effect, submitting is that the appeal is incompetent. There is no specific provision in the Industrial Relations Act, in the Commission's Rules or any practice or usage to enable a respondent to object to the competency of an appeal (cf r 51.41 of the UCPR), although there seems to be no reason why such a challenge could not be brought by way of notice of motion (see Pt 11 of the Commission's Rules) or, where leave to appeal is necessary, in a submission opposing leave. 24 In the present proceedings, given the absence of any established practice or procedure, the notices, in respect of which directions have been made, have served the fundamental purpose of advising the Court and placing the appellant on notice as to the detailed basis upon which it is asserted that an appeal is not available to the appellant. There is no injustice caused to the appellant by the use of the notices in this case.
25 Accordingly, we consider there is no impediment to the Full Bench dealing with the respondents' notices of contention.
26 In the proceedings at first instance, the respondents put the prosecutor on notice at the outset that the authority of Inspector Morrison to bring the prosecutions would need to be established by the prosecution and was not conceded by them. 27 As Haylen J correctly found at [9], the legislative scheme as it related to the appointment of inspectors was that: (a) by s 106(1)(c) of the Occupational Health and Safety Act 2000, proceedings for an offence against the Act may be instituted only, here relevantly, by an Inspector;
(b) s 47A of Occupational Health and Safety Act 2000 sub-section 1 provides that the Minister may appoint as an Inspector for the purposes of the Act ... "any person who is, or could be appointed or designated as, an inspector, mine safety officer or investigator under the Coal Mines Regulation Act 1982 or The Mines Inspection Act 1901. Section 137A of the Occupational Health and Safety Act permits the delegation of functions in relation to mines by the Minister to the Director-General of the Department of Mineral Resources and also permits the Director-General to sub-delegate to any authorised person any function delegated to the Director-General by the Minister if the Director-General was so authorised to do so by the Minister;
(c) both the Mines Inspection Act 1901 in s 4, and at the relevant time the Coal Mines Regulation Act 1982 in s 5 defined "Mines Safety Officer" as meaning a person appointed as a Mines Safety Officer under Pt 2 of the Public Sector Management Act 1988 ... 28 There was evidence before Haylen J that the Deputy Director-General of the Department of Primary Industries - Mineral Resources, under sub-delegated authority, had appointed Mr Morrison as an Inspector for the purposes of the 2000 OHS Act and had done so on 6 July 2005. The Government Gazette announcing that appointment and a copy of the original appointment were also in evidence, together with a copy of Mr Morrison's Identification Card certifying his appointment as an Inspector under the 2000 OHS Act, itself issued by the Deputy Director-General of the Department. Mr Morrison, exercising his authority as an appointed Inspector, had commenced the prosecution of the respondents in late February 2006. 29 After reviewing the relevant evidence, the trial judge expressed his disappointment about the state of that evidence. His Honour said at [23]: [23] Having regard to the observations made about the terms of s 47A and its focus upon those who are or could be appointed or designated as an Inspector, Mines Safety Officer or Investigator as an Inspector under The Occupational Health and Safety Act it is unsatisfactory and disappointing, to say the least, that no evidence was placed before the Court to indicate the range of experience and/qualifications that were to be considered in the appointment of a Mines Safety Officer. The prosecutor's position was that there were no such documents although there was evidence that there had been newspaper advertisements for the position laying down qualifications and a more recent document representing a statement of duties but that evidence was unsatisfactory and imprecise. If the position is that no qualifications are necessary but relevant mining or other experience is desirable, then that evidence should have been called. It is most unsatisfactory for the Court to be left in the position of having no evidence at all about what may be considered appropriate for appointment as a Mines Safety Officer with the necessary implication that, regardless of background and qualifications, any person may be appointed to such a position. This does not seem consistent with the terms of s 47A nominating three mining positions as the benchmark for appointment as an Inspector under the Occupational Health and Safety Act. In the present case it is known from the Summons and Affidavit in Support of it that Mr Morrison was the Director, Mine and Forest Safety Performance with the New South Wales Department of Primary Industries although there was no evidence of his qualifications and experience, the scope of the duties of the position he occupied and no information as to the combination of experience and qualifications required or desirable for appointment to that position. 30 His Honour then observed, "… an argument in the forefront of [the prosecutor's case] was reliance upon the presumption of regularity." After reviewing the authorities in that respect (Meng Developments Pty Ltd v Victorian WorkCover Authority and anor (2005) 149 IR 148; A B Oxford Cold Storage Co Pty Ltd v Arnott (2005) 11 VR 298; (2005) 145 IR 61; Thompson v The Queen (1989) 169 CLR 1; Moore-McQuillan v WorkCover Corporation and ors [2005] SAWCT 14; The Minister for Natural Resources v The New South Wales Aboriginal Land Council and anor (1987) 9 NSWLR 154; R v Brewer (1942) 66 CLR 535), his Honour concluded that the prosecutor had established his authority to prosecute the respondents: [32] The line of authority referred to in the Moore-McQuillan and Aboriginal Land Council cases does not appear to have been considered in either Oxford Cold Storage Co or in Meng. On the material before the Court it is unnecessary to attempt to resolve this issue. The prosecutor has produced evidence of the necessary delegation and the Gazette announcing his appointment as an Inspector while the defendants have produced no evidence calling into question Mr Morrison's eligibility to be appointed or designated a Mine Safety Officer. This position is very close to that dealt with in Brewer. On either approach, the prosecutor has established the authority of Mr Morrison to prosecute the defendants. The defendants' propositions are not strengthened by pointing to previous occasions when Mr Morrison's authority to prosecute has been challenged or successfully challenged: those cases involved considerations, quite different to the present challenge and its focus on Mr Morrison's appointment as an Inspector for the purposes of the Occupational Health and Safety Act.
31 There was an application by the respondents to adduce fresh evidence. It was requested that the appellant make available, as witnesses, Alan Coutts, Deputy Director-General, Department of Primary Industries - Mineral Resources ("the decision maker or Mr Coutts"), and the prosecutor, Mr Morrison, as part of the prosecutor's case so that both could be cross-examined. Additionally, new documentary evidence was sought to be adduced. 32 The application to have Mr Coutts and the prosecutor called was refused by the Full Bench. New documentary evidence, however, to which the appellant prosecutor took no objection, was admitted. That evidence consisted of the following: (a) documents produced in response to a summons to produce issued to the NSW Department of Primary Industries filed on 19 September 2008; (b) documents produced in response to a summons to produce issued to the appellant filed on 19 September 2008; (c) a letter and its annexures from the Crown Solicitors Office to Bartier Perry, Solicitors, dated 22 October 2008; (d) "NSW Mines Safety Review", a report to the Hon Kerry Hickey MP, Minister for Mineral Resources, by the Hon Neville Wran AC QC and Jan McLelland, February 2005; and (e) the Crown Employees (Mine Safety and Environmental Officers - Department of Mineral Resources) Award, 28 September 2001 (pages 6.1 to 6.15); the Crown Employees (Mine Safety and Environment Officers - Department of Mineral Resources) Award, 11 March 2005 (pages 6.16 to 6.29); Crown Employees (NSW Department of Primary Industries) Mine Safety and Environment Officers Award, 26 October 2007 (pages 6.30 to 6.43). Respondents' submissions
33 The respondents contended that the appellant, on 5 or 6 July 2005, was never "any person who … could be appointed … as … mine safety officer … under … the Mines Inspection Act 1901" and, therefore, on 6 July 2005 he was invalidly appointed as an inspector. It was submitted that: (a) the failure to obtain the necessary consent or authority to prosecute of a validly appointed inspector deprived the Court on appeal and deprived the Court at first instance of any jurisdiction to respectively hear the appeal or try the charge. The Court had no jurisdiction to entertain the proceedings and the prosecution must fail ( Rex v Bates [1911] 1 KB 964 at 965; Berwin v Donohoe (1915) 21 CLR 1 at 25 per Isaacs J; and Gilmour v Midways Springwood Pty Limited (1980) 49 FLR 36 at 38 per Brennan J). (b) the temporal requirement in respect of s 197A of the Industrial Relations Act is confirmed by the principle that a provision of the kind in s 106 of the 2000 OHS Act requires that the prosecution shall not be begun without the prescribed consent, the commencement of the prosecution occurring when the information is laid (or here the Application for Order filed) ( Midways Springwood at 37); (c) there was a miscarriage of justice in the Court below in respect of the authority or consent to prosecute defence as the respondents thereby lost a chance which was fairly open to them of being acquitted or they lost a real chance of being acquitted; (d) the legal onus was and is on the appellant to prove a valid authority or consent to prosecute as an inspector. If objection is taken, then the prosecution must be in a position to prove the consent or authority to prosecute ( Price v Humphries [1958] 2 QB 353 at 358). The granting of consent to the institution of proceedings clearly is not an element of the offence, and accordingly, the standard of proof is upon the prosecutor on the balance of probabilities ( Maccarron v Coles Supermarkets Australia Pty Ltd t/as Coles Supermarkets & Ors (2001) 23 WAR 355; [2001] WASCA 61 at [32]-[34] per Kennedy J, citing Thompson v The Queen at 12-13; A B Oxford Cold Storage at [26] per Nettle JA); (e) the appellant had an evidentiary onus which is the obligation to introduce evidence to prove his authority or consent to prosecute. "It is a well established maxim that all evidence is to be weighed according to the power of one party to produce it and of the other to contradict it" ( Blatch v Archer (1774) 1 Cowp 64 at 65; 98 ER 969 at 970) and, in weighing the evidence of the appellant, it was proper to have regard to the facts relating to the authority or consent to prosecute were peculiarly within the knowledge of Alan Coutts and the prosecutor; (f) Haylen J erred as a matter of principle in considering the presumption of regularity. A B Oxford Cold Storage was not properly distinguishable and should have been applied. Haylen J at [32] erred as a matter of principle in reasoning: The prosecutor has produced evidence of the necessary delegation and the Gazette announcing his appointment as an Inspector while the defendants have produced no evidence calling into question Mr Morrison's eligibility to be appointed or designated a Mine Safety Officer. This position is very close to that dealt with in Brewer. On either approach, the prosecutor has established the authority of Mr Morrison to prosecute the defendants… The defence did not and does not have a legal onus to produce evidence. The onus never passes to a defendant ( R v Bacon (1973) 1 NSWLR 87 at 96); (g) even if the presumption of regularity was capable of application in the present facts and circumstances (and it was contended that it was not), it was met by rebutting evidence adduced by the defence; (h) as to the gazette notification, in the absence of some provision making the gazette notification conclusive, it is not a "conclusive estoppel" precluding further investigation of the conditions of appointment or service; (i) the Minister's delegate did not subjectively consider the appointment of Mr Morrison and the nature of what was required to meet the statutory pre-condition in s 47A of the 2000 OHS Act. At first instance, there was no or no adequate evidence that Mr Coutts applied his mind and decided in his own mind this matter; (j) an objective consideration is required of whether or not the appellant on 6 July 2005 could be appointed as a Mine Safety Officer under the provisions of the Public Sector Employment and Management Act in Part 2.3 - Officers (Other than Department Heads), namely, ss 16 - 26; (k) the following reasons mean that he could not be so appointed: (i) the appellant would not have been able to perform the nature of duties of a Mine Safety Officer;
(ii) the appellant would not have been able to meet the abilities, qualifications, experience, standard of work performance and personal qualities that are relevant to the performance of the duties; (iii) the appellant was not on any eligibility list for the position of Mine Safety Officer; (iv) there does not appear to be any position of a Mine Safety Officer that was vacant or the holder of which was suspended, sick or absent to which the appropriate Department Head (or a delegate including but not limited to Alan Coutts) might appoint another person to act in the position of a Mine Safety Officer. Appellant's submissions
34 In response to the respondents' contentions regarding the prosecutor's authority to prosecute Mr Burbidge addressed three areas: (a) that the respondents' challenge was collateral and, therefore, impermissible; (b) that the respondents' argument concerning the interpretation of s 47A of the 2000 OHS Act and the relevant provisions of the Mines Inspection Act and Coal Mines Regulation Act was wrong. In this respect it was contended, inter alia , that as to qualifications the respondents appeared to argue that some unstated qualifications are to be spelled out from documents and evidence. In this respect, it was submitted that the wording of s 47A reflected the circumstance that both the Mines Inspection Act and Coal Mines Regulation Act contained (at ss 32 and 146, respectively) professional requirements for appointment of inspectors exercising functions under those Acts. Neither Act, it was submitted, contained any limitations in respect of mine safety officers beyond the implied requirement that the person had the Minister's, or delegate's, confidence, and is to be a public servant appointed under Part 2 of the Public Sector Employment and Management Act.
(c) that there was no basis to conclude that the provisions of the 2000 OHS Act were intended to override the common law de facto officer doctrine. It was submitted it, therefore, followed that there is a presumption that public and official acts and duties have been regularly and properly performed. Proof that a person has acted in such a capacity is evidence of the appointment and capacity to act. Even were it demonstrated that some defect in Mr Morrison's appointment existed, the fact that he had acted in the office of occupational health and safety prosecution for many years and in innumerable cases (albeit not always in the same capacity) would engender application of the de facto officer doctrine in the public interest.
35 The appellant submitted that the question of the validity of the Minister's delegate's decision to appoint the prosecutor as an inspector for occupational health and safety purposes was to assert a procedural defect, and was a collateral challenge to that decision. It was submitted that in the circumstances of these proceedings a collateral challenge was not permissible. It was also submitted that this Court had no jurisdiction to determine an administrative challenge to the validity of the delegate's decision. 36 The challenge to the decision to appoint Mr Morrison as an inspector under s 47A of the 2000 OHS Act is a collateral challenge. In Ousley v The Queen [1997] HCA 49; 192 CLR 69 at 98 McHugh J said that a collateral challenge occurs "in proceedings where the validity of the administrative act is merely an incident in determining other issues". 37 A recent relevant example of a collateral challenge is T & R (Murray Bridge) Pty Ltd v Gelzinis [2008] SAIRC 35. In that case a complaint was laid against the respondent, T & R (Murray Bridge) Pty Ltd, alleging that on 28 April 2004 at Murray Bridge, it breached s 19 of the Occupational Health, Safety and Welfare Act 1986 (SA) in that it failed to ensure so far as was reasonably practicable that its employee, James Feast, was, while at work, safe from injury and risks to health. It was asserted by the complainant that the Acting Director of Public Prosecutions had by written instrument dated 6 July 2007 extended to 20 July 2007 the two-year time limit for the laying of the complaint that would otherwise apply. It was said this was done in reliance upon s 58(6a) of the Occupational Health, Safety and Welfare Act, which authorised an extension in certain circumstances. When the complaint came before the Industrial Magistrate, the defendant raised a preliminary objection to the validity of the complaint. It was said that the Acting Director of Public Prosecutions' written instrument failed to comply with s 58(6a) of the Act. The Industrial Magistrate dismissed the application and confirmed the validity of the complaint. 38 The matter was appealed to a single judge. Her Honour Judge Parsons considered whether a collateral challenge was permissible and held that it was, based primarily on the authority of Jacobs v Onesteel Manufacturing Pty Ltd & WorkCover Corporation of SA [2006] SASC 32, which we shall come to in more detail shortly. The complainant then appealed to the Full Industrial Court, which unanimously dismissed the appeal. The matter was then taken on appeal to the Full Court of the Supreme Court of South Australia: Gelzinis v T & R (Murray Bridge) Pty Ltd [2009] SASC 61. Relevantly, the Full Court considered that a preliminary objection taken by the defendant before an Industrial Magistrate to the validity of the complaint "was a collateral challenge taken at the outset of the proceedings" (at [21]). At [22] the Full Court noted that it was accepted that an alternative approach that could have been taken was to seek judicial review in the Supreme Court of the impugned administrative decision but no objection was taken to it having been dealt with by the Magistrate. 39 The central issue in the present proceedings is whether Haylen J erred in dismissing the prosecutions against the respondents. Incidental to that is the respondents' challenge to the validity of Mr Morrison's appointment as an inspector and, therefore, his capacity to institute the proceedings in the first place. 40 The appeals in these proceedings are brought pursuant to s 197A of the Industrial Relations Act. That section is in the following terms: 197A Appeals against acquittals in proceedings for offences against occupational health and safety legislation
(1) This section applies to the decision of a member of the Commission or of a Local Court constituted by an Industrial or other Magistrate to acquit a person of an offence against the occupational health and safety legislation.
(2) This section applies to such a decision only if proceedings for the offence were instituted by an inspector appointed under that legislation or with the consent of the Minister or other officer authorised by that legislation to give such a consent.
(3) An appeal lies to the Full Bench of the Commission in Court Session against a decision to which this section applies. The appeal is not limited to a question of law.
(4) The appeal may be made by the Attorney General, the Minister, the Director of Public Prosecutions or the prosecutor in the proceedings in which the decision appealed against was made.
(5) An appeal may be made within 21 days after the date of the decision appealed against or within such further time (not exceeding 3 months after that date) as the Full Bench or the Commission constituted by a Presidential Member allows. Further time may be allowed, either before or after the end of that 21-day period.
(6) Section 191 applies to an appeal under this section.
(7) On an appeal under this section, the Full Bench may: (a) dismiss the appeal, or
(b) set aside the decision appealed against and make a decision in the matter in accordance with law (including the conviction and sentence of the defendant for the offence charged).
(8) If the Full Bench on appeal convicts the defendant of the offence, the maximum penalty that the Full Bench may impose for the offence is the maximum penalty that the court that acquitted the defendant could have imposed for the offence.
(9) This section has effect despite anything to the contrary in section 196 or 197.
(10) In this section, occupational health and safety legislation means: (a) the Occupational Health and Safety Act 1983 and the regulations made under that Act, and
(b) the Occupational Health and Safety Act 2000 and the regulations made under that Act, and
(c) the 1982 and the regulations made under that Act, and
(d) the Coal Mine Health and Safety Act 2002 and the regulations made under that Act, and
(d1) the Mines Inspection Act 1901 and the regulations made under that Act, and
(d2) the Mine Health and Safety Act 2004 and the regulations made under that Act, and
(e) the associated occupational health and safety legislation, within the meaning of the Occupational Health and Safety Act 2000.
(11) This section does not apply to a decision made before the commencement of this section. 41 The Industrial Court is a superior court of record (see s 152 of the Industrial Relations Act), albeit a Court limited by statute. Pursuant to s 197A, a Full Bench of the Court may hear an appeal from a decision of a single member of the Court or a Local Court constituted by an Industrial or other Magistrate to acquit a person of an offence against the occupational health and safety legislation. In so doing, it is apparent that the Full Bench may determine a question of law (this must follow from the fact that an appeal is not limited to a question of law: s 197A(3)).
42 We have considered why s 197A(2) is there at all. There is no indication of its rationale in the Minister's second reading speech relating to the introduction of s 197A in 1996. However, we note that under s 48 of the 1983 OHS Act proceedings for an offence could be instituted only: (a) with the written consent of the Minister or a prescribed officer, or
(c) by the secretary of an industrial organisation of employees any member or members of which are concerned in the matter to which the proceedings relate. 43 Under the 2000 OHS Act (s 106) proceedings can be instituted only: (a) with the written consent of a Minister of the Crown, or
(b) with the written consent of an officer prescribed by the regulations, or
(d) by the secretary of an industrial organisation of employees any member or members of which are concerned in the matter to which the proceedings relate. 44 So the effect of s 197A(2) would appear to be that those with the authority to prosecute may institute an appeal following an acquittal, except the secretary of an industrial organisation of employees. We assume there are public policy reasons for this, but it would not appear there is any other special reason for the existence of s 197A(2). In particular, we do not consider the legislature was intending that on appeal the Full Bench be required to have a special focus (beyond observing the provisions of s 197A) on the question of an inspector's appointment or ministerial or other consent to determine whether it was validly made or given, as the case may be. The main purpose of s 197A(2), in our opinion, was to exclude appeals from acquittals by the secretary of a union.
45 Nevertheless, in the ordinary course, if a question arises on appeal as to whether proceedings for an offence were instituted by an inspector appointed under the occupational health and safety legislation - in this case, the 2000 OHS Act as it applied at the time the charges were laid - the Court will need to determine that question of law. Therefore, in hearing an appeal from an acquittal, the Full Bench has jurisdiction to determine if proceedings for the offence were instituted by an inspector appointed under that legislation. The question is, however, whether the Full Bench should determine the validity of that appointment as a collateral issue which, in these proceedings, would involve going behind the instrument of appointment and examining whether the appointment was validly made. 46 The decision to appoint Mr Morrison as an inspector under s 47A of the 2000 OHS Act was made by Mr Coutts as the Deputy Director General of the Department of Primary Industries under delegation. There was no issue about the delegation. The decision by Mr Coutts was clearly administrative in nature. The appellant relied on the decision in Flynn v Director of Public Prosecutions [1998] 1 VR 322 to submit that a collateral challenge to an administrative decision on the basis of a procedural defect cannot be entertained in criminal proceedings, but may only be undertaken by appropriate proceedings outside the criminal proceedings to which the decision maker would be a party. Flynn followed Quietlynn Ltd v Plymouth City Council [1988] QB 114 and Bugg v Director of Public Prosecutions [1993] QB 473. 47 In Boddington v British Transport Police [1999] 2 AC 143; [1998] 2 All ER 203 the House of Lords held that a defendant in criminal proceedings was entitled to contend that subordinate legislation or an administrative act made under it was ultra vires and for those purposes it made no difference whether the error of law alleged was patent or substantive, or latent or procedural. That is to say, the House of Lords expressly approved a collateral challenge in criminal proceedings, overruling Quietlynn and Bugg. 48 As Debelle J observed in Jacobs at [18]: The obvious policy reason to allow a collateral challenge to the validity of delegated legislation in criminal or civil proceedings is that it avoids an unnecessary duplicity of proceedings: see Lord Bridge in Chief Adjudication Officer v Foster [1993] AC 754 at 766 - 767, affirmed by Lord Steyn in Boddington at 175. To adopt a contrary view would lead to fragmentation of procedures and an inappropriate distinction between public law and private law when, not infrequently, the validity of delegated legislation affects private law rights. 49 Nevertheless, as Besanko J observed in Jacobs at [91], there does not appear to exist in Australia a general principle that a collateral challenge is permissible in the case of all legislative and administrative acts, although both he and Debelle J acknowledged there was clear authority that a person prosecuted for the breach of a by-law or regulation may raise as a defence in the criminal court the invalidity of the by-law or regulation. Besanko J considered that such authorities existed "at least when the challenge is on the ground of simple or narrow ultra vires". Debelle J said at [15]: It has long been settled law that a collateral challenge may be made to the validity of delegated legislation on the ground that it ultra vires. A collateral challenge may be made to the validity of delegated legislation as a defence in a criminal prosecution: see, for example, Kruse v Johnson [1898] 2 QB 91; Widgee Shire Council v Bonney [1907] HCA 11; (1907) 4 CLR 977; Bishop v Deverix [1908] SALR 122. The High Court has on several occasions not questioned that by-laws may be challenged as a collateral issue in a prosecution under that by-law: Widgee Shire Council v Bonney ; Foley v Padley [1984] HCA 50; (1984) 154 CLR 349, although in Widgee Shire Council v Bonney at 986 Isaacs J expressly approved a collateral challenge.
50 In Ousley, the High Court held that judges issuing warrants were acting administratively, not judicially. Therefore, the validity of the warrants was open to collateral review by a trial judge in criminal proceedings. We do not believe, however, that Ousley can be regarded as authority for the proposition that a collateral challenge is permissible in the case of all administrative acts in criminal proceedings. Ousley was concerned with the special nature of search warrants and, in that respect, it was held that a collateral challenge of warrants was only available in criminal trials for defects appearing on the face of the warrants. 51 In Jacobs, a five Member Full Court of the South Australian Supreme Court considered a case stated by the Full Bench of the Workers Compensation Tribunal pursuant to s 86A of the Workers Rehabilitation and Compensation Act 1986 (SA) as to whether the Tribunal had jurisdiction to determine the validity of rules of the Tribunal as a collateral issue. The Full Court found that such jurisdiction existed. Debelle J considered that the Tribunal had jurisdiction to determine the validity of its Rules as a collateral issue in the determination of an entitlement of a worker to costs against his employer essentially on the basis that it was not inconsistent with prevailing authority: see [14]-[24] of the judgment. Besanko J, with whom Duggan, Vanstone and Layton JJ agreed, found that a collateral attack to the validity of the relevant rules was permissible based on the acceptance of two propositions (at [83]): First, as I have said, the relevant rules are a form of delegated or subordinate legislation. They are the product of a legislative act, not an administrative decision. Secondly, there is clear authority that, at least when the challenge is on the ground of simple or narrow ultra vires , a person prosecuted for the breach of a by-law or regulation may raise as a defence in the criminal court the invalidity of the by-law or regulation… 52 Besanko J confirmed this view by cross checking against seven factors he derived from M Aronson, "Criteria for Restricting Collateral Challenge" (1998) 9 Public Law Review 237 and Professor Enid Campbell, "Collateral Challenge of the Validity of Governmental Action" (1998) 24 Monash University Law Review 272. The factors identified were the following: (1) Are the grounds of challenge likely to involve the adducing of substantial evidence?
(2) If a collateral challenge is permitted, will all proper parties be heard before the court or tribunal in which the collateral challenge is to be heard?
(3) In the particular case, does the allowing of a collateral challenge by-pass the protective mechanisms associated with judicial review proceedings such as the rules as to standing, delay and other discretionary considerations?
(4) Is there a statutory provision that bears in one way or another on the question of whether a collateral challenge should be permitted?
(5) Is the issue raised by the collateral challenge clearly answered by authority?
(6) Are there other cases pending which raise the same issue?
(7) (Possibly) Is there a more appropriate forum in terms of expertise and perhaps court procedures such that a collateral challenge should not be permitted? 53 At [94], Besanko J said of these factors and their relevance to the issue before the Full Court: The grounds of challenge in this case do not involve the adducing of substantial evidence; nor is there any difficulty with the proper parties being before the Tribunal. I do not think moreover that any of the protective mechanisms contained in r 98 of the Supreme Court Rules 1987 would be by-passed if a collateral challenge is permitted in this case. There is no statutory provision that indicates or suggests that a collateral challenge ought not to be permitted, and there is nothing to suggest that the Workers Compensation Tribunal does not have the necessary expertise to determine the validity of the relevant rules. As against this last point, it might be said that it would be preferable for the validity of the relevant rules of the Tribunal to be determined by this Court rather than, in the first instance, by the Tribunal: Taylor v Guttilla (1992) 59 SASR 361 per King CJ at 368. 54 An important difference between Jacobs and the present proceedings is that Jacobs involved a challenge to the validity of the rules on the ground of simple ultra vires, namely, the rules exceeded the scope of the empowering legislation. That is not the case here. The respondents themselves contended that "it would be necessary to go behind the face of the appointment of Mr Morrison (the Government Gazette notice) and question whether Mr Coutts examined the facts of whether the appellant could be appointed as a mine safety officer and applied his mind to the facts": see R v Cain [1976] 1 QB 496 at 502 per Widgery CJ, James LJ, May J; Traveland Pty Ltd v Doherty (1982) 41 ALR 563 at 568 per Bowen CJ, Deane and Toohey JJ; Berwin v Donohue (1915) 21 CLR 1; R v Bacon (1973) 1 NSWLR 87 at 94-95 per Kerr CJ, Hope and Reynolds JJ. 55 What the respondents are seeking in the present case is a multi-layered examination of Mr Morrison's appointment involving legislation associated with the 2000 OHS Act, the Public Sector Employment and Management Act 2002, job descriptions relating to the role of mine safety officer and a statutory instrument, namely, an industrial award said to determine the qualifications that a mine safety officer is required to hold. 56 Thus, additional evidence would need to be adduced if we were to permit the collateral challenge. On the respondents' case it would become necessary to hear evidence from Mr Coutts as a minimum and probably Mr Morrison. The appellant has declined to comply with the requests to have Messrs Coutts and Morrison called as witnesses and the Full Bench has refused leave to have these two persons called. 57 Further, documentary material relevant to the collateral challenge has already been admitted on the appeal so the Full Bench has material before it and, as the respondents contended, it is open to find in their favour on that material alone. 58 Returning to the factors identified by Besanko J in Jacobs, there does not appear to be a statutory provision that bears in one way or another on the question of whether a collateral challenge should be permitted. 59 As to the fifth factor, we do not consider the issue raised by the collateral challenge is clearly answered by authority. We are concerned about the multi layered nature of the challenge and the fact it is different to the circumstances referred to in several of the authorities. However, there is evidence before the Full Bench upon which we are able to proceed. 60 We have taken judicial notice of the fact that Mr Morrison is the prosecutor in a number of proceedings presently before single members of the Industrial Court. However, given the issue is before this Full Bench in appeal proceedings, there is no risk of inconsistent decisions being made, which is what the sixth factor identified by Besanko J is concerned with. 61 As to the seventh factor, there is nothing to suggest that this Full Bench does not have the necessary expertise to determine whether Mr Morrison holds a valid appointment. 62 We note in her article, "Collateral Challenge of the Validity of Governmental Action", Professor Campbell referred to what was said by Sir William Wade in 1982 HWR Wade, Administrative Law, 5th ed, 1982, 330: probably … there can be no hard and fast rules for determining when the court may or may not allow collateral challenge. In some situations it will be suitable and in others it will be unsuitable, and no classification of the cases is likely to prove exhaustive. 63 We do, however, discern in the cases a definite leaning towards collateral challenges being permitted in the case of administrative acts in criminal proceedings unless there are particular reasons emerging from factors such as those identified by Besanko J in Jacobs that indicate to the contrary. 64 As it was said in The Attorney-General (Cth) v Breckler [1999] HCA 28; (1999) 197 CLR 83 by Gleeson CJ, Gaudron, McHugh, Gummow, Hayne and Callinan JJ (at 108): If the determination of a complaint by the Tribunal be characterised as activity of an administrative nature, then in the absence of legislative prescription to the contrary, the determination would be open to collateral review by a court in the course of dealing with an issue properly arising as an element in a justiciable controversy of which the Court was seised. This proposition recently was applied in the Court in Ousley v The Queen . 65 And as Aronson submitted in his article, "Criteria for Restricting Collateral Challenge": [F]orcing an accused person to take his or her nullity fight to a separate court is fraught with problems in the general run of criminal cases, and invites, rather than avoids, a fragmentation of the criminal process. 66 Finally, it is an important consideration that there is no appeal from the Industrial Court (to another court) on an error of law (see s 179(1) of the Industrial Relations Act; Bros Bins Systems Pty Ltd v Industrial Relations Commission of New South Wales [2008] NSWCA 292). Moreover, the New South Wales Court of Appeal can exercise its supervisory jurisdiction with respect to decisions of the Industrial Court made beyond jurisdiction, but subject to s 179(4) which provides: (4) This section extends to proceedings brought in a court or tribunal in respect of a purported decision of the Commission on an issue of the jurisdiction of the Commission, but does not extend to any such purported decision of: (a) the Full Bench of the Commission in Court Session, or
(b) the Commission in Court Session if the Full Bench refuses to give leave to appeal the decision.
See Kirk Group Holdings Pty Ltd & Anor v WorkCover Authority of New South Wales & Anor (2006) 66 NSWLR 151.
67 We find there is no impediment to the Full Bench dealing with the respondents' collateral challenge.
68 We have considered whether the de facto officer doctrine may be applied in this case. We find that it does not. The doctrine was described in Cassell v The Queen [2000] HCA 8; (2000) 201 CLR 189 at [19]: [19] Even if it had appeared that there was some defect in the appointment of the Commissioner or the Assistant Commissioner, (which is not the case), the prosecutor may well have been entitled to rely upon the principle of the common law that where an office exists but the title to it of a particular person is defective the 'acts of a de facto public officer done in apparent execution of his office cannot be challenged on the ground that he has no title to the office'. ( G J Coles & Co Ltd v Retail Trade Industrial Tribunal (1986) 7 NSWLR 503 at 525, per McHugh JA). 69 In R v Janceski [2005] NSWCCA 281; 64 NSWLR 10, Spigelman CJ explained the term "title" as follows: [108] The terminology of "title" remains a useful shorthand expression to focus attention on the right to occupy a position, as distinct from the right to exercise powers, as determining the scope of the principle. 70 The doctrine does not appear to have been applied extensively in Australia (see the observation of Bray CJ in The Queen v Cawthorne; ex parte Public Service Association of South Australia Incorporated (1977) 17 SASR 321 at 329 and that of Southwell J in United Transport Services Pty Ltd v Evans [1992] 1 VR 240 at 248). The reason for that may be as Spigelman CJ stated in Janceski at [132]: The de facto officers doctrine is a principle of the common law. It can be overridden by statute. Indeed, in my opinion, where the Project Blue Sky test is satisfied, as I have held it is in this case, it is difficult to see that the de facto officers principle could ever be applicable. It is not necessary in this case to conclude that it can never be so. However, the above analysis does lead to the conclusion that the Crown cannot rely on this principle in the present case.
71 Further, as Kirby J observed in his dissenting judgment in Cassell at [72]: [A]s a doctrine of the common law, the one in question here must bend to the scheme and purpose of the Act. In a prosecution of an accused person for an offence against s 87, it is the Act which requires that it be proved by the Crown that the false or misleading evidence was given 'at a hearing before the Commission'. No common law doctrine could relieve the Crown of that requirement if, as I believe, it was necessary by the Act. The de facto officers' doctrine is a possible refuge in exceptional and generally extraordinary circumstances … 72 In United Services Transport v Evans, the validity of the appointment of an inspector and his authority to lay informations under the Dangerous Goods Act 1985 (Vic) and the Occupational Health and Safety Act 1985 (Vic) was challenged before Southwell J. His Honour referred to the judgment of Bray CJ in Cawthorne. In that South Australian case it was relevantly held by the Full Court that acts done by a public official appointed as a temporary industrial registrar under the authority of an invalid appointment could not be regarded as valid as being those of a de facto public officer done in the apparently regular execution of his office, because the validity of the first appointment (in that case there were two appointments, the first was challenged at the outset and the second was not) had been challenged before he had given any decision. After referring to the decision of Bray CJ in Cawthorne, Southwell J stated at 248: Where the doctrine applies, it will validate the public acts of officers who, inter alia , are not duly appointed. But it can apply (if it can apply at all in the present type of case) only where the want of power or defect is unknown to the public at the time of the exercise of that power: see Adams v Adams [1971] P 188, at 214. It cannot apply where there is, at the outset, a challenge to the validity of the appointment of the relevant officer. Mr Uren was good enough to refer me to Reference re Language Rights under the Manitoba Act, 1870 (1985) 19 DLR (4th) 1, at 28, where the Supreme Court observed that "the rationale for the doctrine (was) that the members of the public with whom the officer dealt relied upon his ostensible status ... it recognises and gives effect only to the justified expectations of those who have relied upon the acts of those administering the invalid laws...".
In Cawthorne , Bray CJ said, at 333: "The answer probably is that if the validity of the appointment is challenged before the officer when the matter arises he no longer has such a reputation of lawful appointment as is referred to in the first proposition of Butler CJ and the defect has been known to the public within the meaning of the third proposition and this qualification must, in my view, impliedly apply to the second proposition as well so that the rule about the validity of the acts of de facto officers would no longer apply."
There is nothing in the present case to show that anyone relied upon the informant's "ostensible status", nor that anyone held justified expectations about the informant's acts. The validity of his appointment was challenged at the outset. In my opinion, the doctrine can have no application here. (emphasis added)
73 We respectfully agree with Southwell J's analysis. In the present case, the respondents challenged the validity of the appointment from the outset. The de facto officer doctrine, therefore, does not apply in the present proceedings.
74 Section 47A of the 2000 OHS Act at the relevant time provided: 47A Appointment of inspectors in connection with mines (1) The Minister may appoint as an inspector for the purposes of this Act and the regulations any person who is, or could be appointed or designated as, an inspector, mine safety officer or investigator under the Coal Mines Regulation Act 1982 or the Mines Inspection Act 1901.
(2) An instrument appointing a person as an inspector under this section may limit the functions that the person has as such an inspector.
(3) A person appointed as an inspector under this section is only authorised to exercise functions under this Act in relation to a mine, but may exercise functions under Division 2 in relation to premises other than a mine for the purpose of investigating any matter under this Act in relation to a mine.
75 Mr Morrison was purportedly appointed as an inspector under s 47A of the 2000 OHS Act with the limited function of authorising prosecutions under that Act. The evidence indicates that Mr Morrison was appointed as an inspector on the basis that he could be appointed as a mine safety officer under the Mines Inspection Act. 76 Both the Mines Inspection Act in s 4, and at the relevant time the Coal Mines Regulation Act 1982 in s 5, defined "Mine Safety Officer" as meaning a person appointed as a mine safety officer under Pt 2 of the Public Sector Management Act 1988 (repealed by the Public Sector Employment and Management Act 2002 with effect from 9 September 2002). The Public Sector Employment and Management Act in Schedule 4 - Savings, transitional and other provisions, Part 1 - Preliminary, 2 Superseded references, provided that a reference to the Public Sector Management Act 1988 is to be read as a reference to the Public Sector Employment and Management Act 2002. 77 We note that the Mines Inspection Act does not prescribe any qualifications to be held by a mine safety officer. The Act does, however, provide in s 35: 35 Appointment and functions of mine safety officers
A mine safety officer has the functions conferred or imposed on the mine safety officer by or under this Act. 78 Sections 36, 36A, 36B, 36C, 47B, 47H and 47K of the Mines Inspection Act sets out the functions of a mine safety officer. For example, ss 36 and 36A provide:
An inspector or mine safety officer may do all or any of the following things, namely: (a) make such inspection, examination, and inquiry as may be necessary to ascertain whether in respect of any mine the provisions of this Act and the general rules and special rules (if any) in force therein relating to matters above or below ground are complied with,
(b) at all times by day and night enter any mine and inspect the same and examine and inquire respecting the state and condition and ventilation of the mine or any part thereof, and the state and condition of the machinery, and the sufficiency of the special rules (if any) in force therein, and all matters and things connected with or relating to the safety of the persons employed in or about the mine or any mine contiguous thereto, or the care and treatment of the horses and other animals used in the mine,
(bi) enter on any private land or workplace in the performance of the inspector's functions,
(c) exercise such other powers as may be necessary for carrying this Act into effect. The Minister may authorise any registered mining surveyor, engineer, electrician, medical practitioner, or other competent person to accompany an inspector or mine safety officer above or below ground for the purpose of assisting the inspector or mine safety officer in making investigations or in exercising the inspector's or mine safety officer's functions under this Act.
Every person who wilfully obstructs any inspector or mine safety officer in the execution of the inspector's or mine safety officer's duty under this Act or any person so authorised to accompany the inspector or mine safety officer, and every owner or general manager or production manager of a mine who refuses or neglects to furnish to the inspector or mine safety officer or person so authorised to accompany the inspector or mine safety officer the means necessary for making any entry, inspection, examination, or inquiry under this Act in relation to such mine, shall be guilty of an offence against this Act.
36A Supplementary powers of inspectors and mine safety officers
(1) For the purpose of any inspection, examination or inquiry referred to in section 36, an inspector or mine safety officer has power to do all or any of the following things: (a) subject to subsection (2), to require any person: (i) whom the inspector or mine safety officer finds at a mine or other workplace entered under section 36 or whom the inspector or mine safety officer has reasonable cause to believe to be, or within the preceding 2 months to have been, employed at the mine or workplace, and
(ii) who has been informed of the provisions of subsection (2), to answer forthwith (in the absence of persons, other than a person nominated to be present by the person to be questioned and any persons whom the inspector or mine safety officer may allow to be present) such questions as the inspector or mine safety officer thinks fit to ask, (b) to take samples of any articles or substances found at a mine or other workplace entered under section 36 or of the atmosphere in a mine, (c) subject to subsections (3) and (4), to take possession of any machinery, apparatus or other article at a mine or other workplace entered under section 36 that appears to the inspector or mine safety officer to have caused, or to be likely to cause, danger to the safety or health of any persons employed at a mine and cause it to be dismantled, removed or subjected to any process or test, even though the process or test may cause it to be damaged or destroyed, (d) to require the production of, and to inspect: (i) any registers, books, plans or other documents that by virtue of this Act and the rules are required to be kept, and
(ii) any other documents that are in the possession or under the control of the owner, general manager or production manager of a mine or the owner or manager of another workplace entered under section 36 and are relevant for the purposes of the examination or inquiry, (e) to require the general manager of a mine to mark or cause to be marked on any plan of workings in the mine produced in compliance with a requirement imposed under paragraph (d) such information as the inspector or mine safety officer considers relevant to an examination or inquiry, (f) to require any person having responsibilities under this Act in relation to a mine or other workplace entered under section 36 to give the inspector or mine safety officer such facilities and assistance, with respect to any matters or things to which the responsibilities of that person extend, as are necessary for the purpose of enabling the inspector or mine safety officer to exercise any of the powers conferred on the inspector or mine safety officer by section 36 and this section.
(2) An answer given by a person in pursuance of a requirement imposed under subsection (1) (a) is not admissible in evidence against the person in any proceedings except proceedings for an offence under section 36C (e).
(3) If it appears likely to the general manager or production manager of a mine that a process or test referred to in subsection (1) (c) will result in machinery, apparatus or an article being damaged or destroyed, that person may request the inspector or mine safety officer concerned not to subject the machinery, apparatus or article to the process or test.
(4) If the general manager or production manager of a mine makes a request to an inspector or mine safety officer under subsection (3) in respect of machinery, apparatus or an article, the inspector or mine safety officer must not subject the machinery, apparatus or article to the process or test unless the approval of the Chief Inspector, either orally or in writing, is obtained.
(5) An inspector or mine safety officer may require a person to answer a question under subsection (1) (a) either orally or in writing and may allow a person further time (not exceeding 24 hours) to answer a question. 79 Chapter 2, Pt 2.3 at ss 16 to 26 of the Public Sector Employment and Management Act, addresses appointments to the Public Service. Section 19 of that Act has particular relevance. It provides: 19 Merit appointment
(1) A Department Head is, for the purpose of determining the merit of the persons eligible for appointment to a vacant position under this section, to have regard to: (a) the nature of the duties of the position, and
(b) the qualifications, experience, standard of work performance and capabilities of those persons that are relevant to the performance of those duties. (2) In deciding to appoint a person to a vacant position that has been advertised in accordance with this Part: (a) the appropriate Department Head may only select a person who has duly applied for appointment to the vacant position, and
(b) the appropriate Department Head must, from among the applicants eligible for appointment to the vacant position, select the applicant who has, in the opinion of the Department Head, the greatest merit. (3) In deciding to appoint a person to a vacant position in a Department that has not been advertised in accordance with this Part: (a) the appropriate Department Head may only select a qualified member of staff of the Department, and
(b) the appropriate Department Head must, from among those qualified members of staff, select the member of staff who has, in the opinion of the Department Head, the greatest merit. (3A) For the purposes of subsection (3), a qualified member of staff of a Department is: (a) an officer employed in the Department, or
(b) a Departmental temporary employee who is employed in the Department and whose employment as such an employee in that or any other Department falls within a continuous period of at least 2 years. (4) Despite anything to the contrary in this section, the appropriate Department Head may decide to appoint a person (whether or not an officer or a Departmental temporary employee) to a vacant position that has not been advertised if: (a) the person has, in accordance with the regulations, passed a competitive examination prescribed for appointment to vacant positions of the class to which that vacant position belongs, or
(b) the person is qualified for appointment in accordance with procedures prescribed by the regulations for entry to positions in the Public Service in special cases. (5) In the case of a vacant senior executive position, a Department for the purposes of the application of subsection (3) includes all senior executive positions in the Public Service or the Teaching Service and all notional executive positions referred to in section 77 (3) (c) in the Public Service or the Teaching Service. The respondents' case for invalidity
80 The approach we intend to take in this matter is to assume that the respondents are correct in their contentions that Mr Morrison was not appointed in accordance with the legislative scheme governing the appointment of inspectors under the 2000 OHS Act. We then propose to consider whether the assumed failure to comply with the scheme necessarily invalidated Mr Morrison's appointment. 81 First, however, we need to set out, in some detail, what we understand to be the respondents' case. 82 Under the legislative scheme governing the appointment of an inspector under s 47A the Minister may appoint a person as an inspector for the purposes of the 2000 OHS Act from the class of persons specified in s 47A. Mr Morrison was purportedly appointed as an inspector on the basis that he could be appointed as a mine safety officer under the Mines Inspection Act. The Mines Inspection Act defines a mine safety officer as a person appointed under what is now Chapter 2, Pt 2.3 of the Public Sector Employment and Management Act. 83 The respondents contended that if Mr Morrison had been appointed as a mine safety officer under the Public Sector Employment and Management Act he would necessarily have had to have met the requirements of that Act, in particular s 19; that in assessing whether Mr Morrison could be appointed as a mine safety officer under the Public Sector Employment and Management Act one has to consider, objectively, whether he could have fulfilled the requirements of that Act. 84 The Public Sector Employment and Management Act does not make any mention of a mine safety officer, but the respondents submitted that the Act requires persons who are to be appointed as permanent officers to be relevantly qualified. This would be either because the department head has had regard to the nature of the duties to be performed and the person's "qualifications, experience, standard of work performance and capabilities of those persons that are relevant to the performance of those duties" and selects the person of greatest merit, or because the department head has selected a qualified member of staff of a Department who is of the greatest merit, or because the person has passed a competitive examination prescribed for appointment to vacant positions of the class to which that vacant position belongs, or the person is qualified for appointment in accordance with procedures prescribed by the regulations for entry to positions in the Public Service in special cases (see s 19). 85 The respondents contended, there was no evidence, or insufficient evidence, to establish that Mr Morrison had the qualifications or experience enabling him to perform the nature of duties (as required by s 19(1)(a) of the Public Sector Employment and Management Act) of a mine safety officer as indicated in either of the following: (i) Mines Inspection Act at ss 36, 36A, 36B, 36C, 47B, 47H and 47K;
(iii) the Crown Employees (Mine Safety And Environment Officers - Department of Mineral Resources) Award ("the Award");
and that the appellant would not have been able to meet the abilities, qualifications, experience, standard of work performance and personal qualities (as required by s 19(1)(b) of the Public Sector Employment and Management Act ) that are relevant to the performance of the duties: (i) the Departmental Position Descriptions in respect of "Knowledge, Skills and Experience Necessary" and/or "Selection Criteria"; (ii) the Award at cll 3(ii) "Appropriate Qualifications", 9. Mine Safety and Environment Committee, 10. Review of Qualifications and Competencies and Schedule 1 Appropriate Qualifications.
86 As to the respondents' proposition that there was no evidence (the onus lying on the appellant to adduce such evidence) that Mr Morrison had the qualifications or experience enabling him to perform the functions prescribed by the Mines Inspection Act, that proposition would appear to be correct. 87 The departmental position descriptions tendered in evidence in respect of the position of mine safety officer variously required the position holder to have: s Background in mine safety auditing or relevant experience in mining industry that could be readily coupled with safety audit training relevant to the mining industry; Several years practical experience within the mining industry (December 1998); s Associate Diploma or degree in mining engineering (senior mine safety officer - March 2004); s Associate Diploma or degree in mining engineering or an Undermanager's Certificate of Competency (Mine Safety Officer - Inspections (Wollongong) - June 2007); s NSW Coal Mine Electrical Engineer's Certificate of Competency (Mine Safety Officer - Electrical Engineering - Inspector Grade 2 - May 2008); s Demonstrated experience in the mining industry together with exposure to Occupational Health and Safety Committees (Mine Safety Officer - Verification - June 2005). In this case the job description was to "[i]dentify major hazards through planned reviews of safety systems; evaluate adequacy of safety systems and compliance with mine health and safety legislation and contribute to the development and improvement of workplace standards. Assist with investigations of accidents and incidents."; s Degree, diploma or associate diploma in mining engineering (Mine Safety Officer (Inspections and Investigations) - June 2005); s Proven supervisory experience in underground coal mines as an under-manager (Mine Safety Officer - Inspections - June 2007). 88 It was submitted that there was no evidence that Mr Morrison was able to perform the nature of duties (as required by s 19(1)(a) of the Public Sector Employment and Management Act) of a mine safety officer as indicated in the job descriptions. We consider that to be correct, although we note that whilst the position descriptions commonly require mining experience and/or a relevant tertiary qualification, it is apparent from the selection described above that depending upon the nature of the work to be undertaken by the mine safety officer, different qualifications and experience are required. We note that Mr Morrison was not without any experience in relation to mine safety. For example, his performance agreement for 2007-08 required him to conduct investigations of fatalities and major mine events and his duties included the development of policies, procedures and standards for discreet investigations and prosecutions of sub-standard mining, operations, and significant accidents/incidents.
89 The respondents submitted that if a person was to be appointed as a mine safety officer under the Public Sector Employment and Management Act, regard had to be paid to the Award (see ss 4B and 4E of the Public Sector Employment and Management Act). The Award was made "in recognition by the parties of the major structural reform resulting from the implementation of the Mine Safety Review Report tabled in the NSW Parliament on 9 April 1997." In assessing merit under s 19(1), the department head is required to have regard to the nature of the duties to be performed by the person eligible for appointment as a mine safety officer and to the qualifications, experience, standard of work performance and capabilities of that person that are relevant to the performance of those duties. It must follow, according to the respondents, given the existence of the Award, that in selecting a person for appointment as a mine safety officer under s 19(2) or (3), the department head would be required to have regard to the Award which, inter alia, sets out the formal qualifications required of a mine safety officer. Those qualifications are: (1) the qualifications for officers prescribed in s. 8, Coal Mines Regulation Act 1982, and s. 32, Mines Inspection Act 1901; and/or (2) an appropriate degree, diploma or associate diploma which is relevant to the Mining Act 1992, granted by a recognised university or other tertiary institution.
90 As there was no evidence Mr Morrison possessed either of these qualifications, the respondents contended that Mr Morrison could not have been appointed as a mine safety officer under the Public Sector Employment and Management Act. 91 However, we note in respect of that contention that the fact that the department head is to "have regard to" the qualifications, experience, standard of work performance and capabilities of the person eligible for appointment that are relevant to the performance of those duties, indicates that a failure by the department head to strictly observe the Award would not necessarily be a barrier to appointment. But if the department head were to make an appointment that was not consistent with the Award, this might suggest that the appointment was not made on the basis of merit and that, therefore, the appointment was bad. 92 Thus, according to the respondents, in order for Mr Morrison to be appointed as an inspector under s 47A on the basis that he could be appointed as a mine safety officer under the Mines Inspection Act, the person making the decision to appoint Mr Morrison would have to have turned his mind to whether Mr Morrison could be appointed as a mine safety officer under the Public Sector Employment and Management Act. In turning his mind to that issue the decision maker would have to have had regard to the matters in s 19(1), namely, the nature of the duties of a mine safety officer and the qualifications, experience, standard of work performance and capabilities of Mr Morrison that were relevant to the performance of those duties as prescribed by the Award. 93 On the respondents' case it was not known whether the decision maker, Mr Coutts, turned his mind to the matters identified by the respondents because there was no evidence adduced by the appellant to that effect. If he did not, on the respondents' submissions Mr Morrison could not be regarded as a person who could have been appointed as a mine safety officer under the Public Sector Employment and Management Act, as a prerequisite to being appointed an inspector under s 47A(1) of the 2000 OHS Act. A question of statutory construction
94 The issue of the validity of the prosecutor's authority to prosecute falls to be resolved by the process of statutory construction. The relevant test is that enunciated by the High Court (McHugh, Gummow, Kirby and Hayne JJ) in Project Blue Sky Inc v Australian Broadcasting Authority [1998] HCA 28; (1998) 194 CLR 355 at 388 ([91]) and ([93]): [91] An act done in breach of a condition regulating the exercise of a statutory power is not necessarily invalid and of no effect. Whether it is depends upon whether there can be discerned a legislative purpose to invalidate any act that fails to comply with the condition. The existence of the purpose is ascertained by reference to the language of the statute, its subject matter and objects, and the consequences for the parties of holding void every act done in breach of the condition. Unfortunately, a finding of purpose or no purpose in this context often reflects a contestable judgment. The cases show various factors that have proved decisive in various contexts, but they do no more than provide guidance in analogous circumstances. There is no decisive rule that can be applied ( Howard v Bodington (1877) 2 PD 203 at 211 per Lord Penzance ); there is not even a ranking of relevant factors or categories to give guidance on the issue.
[93] In our opinion, the Court of Appeal of New South Wales was correct in Tasker v Fullwood ([1978] 1 NSWLR 20 at 23-24. See also Victoria v The Commonwealth and Connor [1975] HCA 39; (1975) 134 CLR 81 at 161-162 per Gibbs J) in criticising the continued use of the "elusive distinction between directory and mandatory requirements" ( Australian Capital Television Pty Ltd v Minister for Transport and Communications (1989) 86 ALR 119 at 146 per Gummow J) and the division of directory acts into those which have substantially complied with a statutory command and those which have not. They are classifications that have outlived their usefulness because they deflect attention from the real issue which is whether an act done in breach of the legislative provision is invalid. The classification of a statutory provision as mandatory or directory records a result which has been reached on other grounds. The classification is the end of the inquiry, not the beginning. McRae v Coulton (1986) 7 NSWLR 644 at 661; Australian Capital Television (1989) 86 ALR 119 at 147. That being so, a court, determining the validity of an act done in breach of a statutory provision, may easily focus on the wrong factors if it asks itself whether compliance with the provision is mandatory or directory and, if directory, whether there has been substantial compliance with the provision. A better test for determining the issue of validity is to ask whether it was a purpose of the legislation that an act done in breach of the provision should be invalid. This has been the preferred approach of courts in this country in recent years, particularly in New South Wales ( Hatton v Beaumont [1977] 2 NSWLR 211 at 213, 226; Attorney-General (NSW); Ex Rel Franklins Stores Pty Ltd v Lizelle Pty Ltd [1977] 2 NSWLR 955 at 965; Tasker v Fullwood at 24; National Mutual Fire Insurance Co Ltd v Commonwealth of Australia [1981] 1 NSWLR 400 at 408; TVW Enterprises Ltd v Duffy (No 3) [1985] FCA 382; (1985) 8 FCR 93 at 102; 62 AKLR 63 at 71; McRae v Coulton (1986) 7 NSWLR 644 at 661 and see Australian Broadcasting Corporation v Redmore Pty Ltd [1989] HCA 15; (1989) 166 CLR 454; at 457-460; Yates Security Services Pty Ltd v Keating (1990) 25 FCR 1 at 24-26; 98 ALR 68 at 90-92. See also two recent decisions of the Court of Appeal of the Supreme Court of the Northern Territory: Johnston v Paspaley Pearls Pty Ltd [1996] NTSC 62;(1996) 110 NTR at 5; Collins Radio Constructions Inc v Day [1997] NTSC 104; (1997) 116 NTR 104 at 17; and Wang v Commissioner of Inland Revenue [1994] 1 WLR 1286 at 1294, 1296; [1996] 1 ALL ER 367 at 375, 377). In determining the question of purpose, regard must be had to "the language of the relevant provision and the scope and object of the whole statute" ( Tasker v Fullwood at 24). 95 Thus, the question for the present case is whether it is a purpose of the 2000 OHS Act that a failure by the decision maker to comply with provisions of the Act renders the appointment of Mr Morrison invalid; in determining that question of legislative purpose regard must be had to the language of the relevant provisions and the scope and purpose of the statute: Project Blue Sky at 390; Commissioner of Taxation v Futuris Corporation Ltd [2008] HCA 32 at [23]. Was the appointment invalid? 96 The purpose of the 2000 OHS Act may be gleaned from its objects, particularly s 3(a): "to secure and promote the health, safety and welfare of people at work". Consistent with that object, as Haylen J pointed out at [19], the terms of s 47A strongly suggest that persons appointed by the Minister to be inspectors are required to have the necessary qualifications and experience. Indeed, an inspector appointed under the Mines Inspection Act is required to hold certain specified qualifications: see for example, s 32. 97 Whilst the Mines Inspection Act does not prescribe any qualifications or levels of experience to be held by a mine safety officer, the intention of the Parliament would appear to have been that mine safety officers be "appropriately qualified persons" (Minister's second reading speech, Hansard, Legislative Assembly, 14 October 1998, 8360) relating to the Mines Legislation Amendment (Mines Safety) Bill, a bill to amend the Mines Inspection Act and the Coal Mines Regulation Act). A mine safety officer would be an appropriately qualified person if he or she met the qualification requirements prescribed by the Award. It is the Award that is relied upon to establish qualifications rather than a legislative prescription. 98 Additionally, it was said in the "Mine Safety Review Report" made to the Hon Kerry Hickey MP, Minister for Mineral Resources by the Hon Neville Wran AC QC and Jan McClelland, February 2005, in Appendix 4 at 17: Standard inspections are based on inspector and mine safety officers' experience and judgement . In these cases the work place or process is observed under normal conditions. This also allows a greater involvement with employees on the job. The inspector/mine safety officer is looking for statutory compliance but also using experience and judgement to assess that safe and appropriate methods are employed. (emphasis added)
99 Given the purpose of the 2000 OHS Act and the vital objective of securing the health and safety of persons at work, a person appointed as an inspector under s 47A(1) is, in our opinion, to be appointed from a class of persons with relevant experience and/or qualifications that would enable them to perform the functions that are assigned. 100 However, it is important to note that s 47A(2) provides that: An instrument appointing a person as an inspector under this section may limit the functions that the person has as such an inspector. 101 Mr Morrison's appointment was limited to authorising prosecutions under the 2000 OHS Act. He was not required to perform any of the functions of an inspector other than authorising prosecutions. In those circumstances, it is pertinent to ask whether it was the legislature's intention that, regardless of the limitations on the functions to be performed, a person appointed as an inspector is required to have the prescribed qualifications of one of those classes of persons eligible to be appointed as an inspector under s 47A?
102 We do not believe that was the intention. Whilst we accept that a person appointed as an inspector (on whatever basis prescribed by s 47A) must have relevant qualifications to undertake the functions prescribed by the Mines Inspection Act or the Coal Mines Regulation Act, the function that Mr Morrison was authorised to undertake was not a function under either of those Acts, but rather it was limited to one under the 2000 OHS Act, namely, to institute prosecutions. 103 Section 106 of the 2000 OHS Act identifies those persons authorised to institute prosecutions: 106 Authority to prosecute (1) Proceedings for an offence against this Act or the regulations may be instituted only: (a) with the written consent of a Minister of the Crown, or
(b) with the written consent of an officer prescribed by the regulations, or
(d) by the secretary of an industrial organisation of employees any member or members of which are concerned in the matter to which the proceedings relate. (2) In proceedings for an offence against this Act or the regulations, a consent to institute the proceedings, purporting to have been signed by a Minister or a prescribed officer, is evidence of that consent without proof of the signature of the Minister or prescribed officer. 104 There are no qualifications required for a person to authorise a prosecution and, indeed, the secretary of a union, who may be regarded as akin to a private informant, is authorised to do so. There does not appear to us to be any rational reason why a person appointed as an inspector under s 47A would require the qualifications of an inspector under the Mines Inspection Act in order to authorise prosecutions under the 2000 OHS Act or would need to possess the qualifications of a mine safety officer as prescribed by the Award. 105 The appointment under s 47A of a person as an inspector who does not have the qualifications prescribed by the Mines Inspection Act or who is not a person who meets the qualification requirements for a mine safety officer under the Award, does not conflict with the scope and object of the 2000 OHS Act where that person's function is limited to only authorising prosecutions under that Act; it was not essential for the appointment of Mr Morrison to be valid that he possess the qualifications of an inspector or mine safety officer and, therefore, to hold that he should possess such qualifications would serve no purpose.
106 In any event, we note Mr Morrison's qualifications and experience. Mr Morrison commenced working in the public service in 1965, holding various positions in the Attorney General's Department, the Public Service Board, Department of Industrial Relations and Department of Community Services. He commenced at the Department of Mineral Resources in June 1997. There was in evidence a contract of employment between Mr Coutts, the Director General of the Department and Mr Morrison dated 2 November 1998. Mr Morrison was appointed Assistant Director, Performance Improvement by Mr Coutts effective from 11 July 2003. In that position Mr Morrison's main duties involved the development, implementation and improvement of policies, practices and guidelines, corporate planning, organisational and staffing structures, and managing and monitoring the resources of the Mine Safety and Environment Division. 107 On 8 October 2004, Mr Morrison was appointed Director, Mine and Forest Safety Performance. His Instrument of Appointment under s 17 of the Public Sector Employment and Management Act was in evidence. Mr Morrison has a Bachelor of Business Studies, which was conferred on him in 1978. 108 It is evident that Mr Morrison has experience and expertise, in particular, in human resource management and in the development and management of policies, practices, systems and data based communications processes in connection with occupational health and safety and in general public sector management roles in relation to such matters as finance, property and equipment. He also has particular experience at a managerial level of occupational health and safety in the mining industry including investigation of significant accidents or incidents.
109 Moreover, we note that for some years Mr Morrison has been the prosecutor in mining cases coming before this Court and is the prosecutor in a number of matters that are currently before the Court. The consequences of holding that his appointment was invalid could have significant implications for these other matters in circumstances where Mr Morrison's appointment does not offend the purpose of the 2000 OHS Act to secure the health and safety of persons at work and where there is no requirement for a person authorised to institute proceedings under that Act to hold the qualifications prescribed for an inspector under the Mines Inspection Act or a mine safety officer under the Award. 110 The respondents contended that s 197A of the Industrial Relations Act relevantly provides that it applies to a decision of a member of the Commission to acquit a person of an offence against the occupational health and safety legislation only if proceedings for the offence were instituted by an inspector appointed under that legislation or with the consent of the Minister or other officer authorised by that legislation to give such a consent. We have already found that the main purpose of s 197A(2) was to exclude appeals from acquittals by the secretary of a union and other than that the section did not require any particular focus by the Full Bench. 111 It was also contended that, "[t]he criminal law is one of the last areas of the law in which a technical point is still a good point": Janceski per Spigelman CJ at [90]. That may be so, with respect, although the Chief Justice also noted what Kirby J said in Walsh v Tattersall (1996) 188 CLR 77 at 105 that "[j]ust as in civil procedure there has been a loosening of the rigidities of technical rules where these would defeat the merits, so in criminal procedure and pleadings, there has been, to some extent, a retreat from technicality." 112 Janceski, however, was concerned with whether an indictment signed by a barrister at the private bar who was not authorised to do so under s 126 of the Criminal Procedure Act 1986 rendered the indictment invalid. The Court of Appeal found that it was invalid having regard to the particular requirements of s 126. The Chief Justice stated: [96] I have read Justice Howie 's judgment in draft. His Honour provides an extensive analysis of the scope and purpose of the 1987 legislative scheme which altered the basis of prosecutorial authority in this State. It was in this context that the legislative predecessor of s126 was introduced for the first time. This context must be taken into account for purposes of determining the intention of Parliament with respect to non-compliance with the stipulation that an indictment be signed by an authorised person. (See CIC Insurance Ltd v Bankstown Football Club Ltd (1997) 187 CLR 384 at 408; Network Ten Pty Ltd v TCN Channel Nine Pty Ltd (2004) 78 ALJR 585 at [11].) [97] His Honour's analysis indicates that s126 had as its primary purpose the objective of ensuring that the new office of the Director of Public Prosecutions, subject only to the Attorney General's powers, would be in control of the process of instituting criminal proceedings on indictment and that that would be manifest to all parties to the proceedings. This purpose requires precise compliance with the formulated stipulation in s 126(1)(b)(iii) and s 126(2). For this reason, I have come to the conclusion that Parliament did intend that the defect in compliance which has occurred in this case should lead to invalidity. 113 There is nothing in the legislative scheme governing the appointment of inspectors that would require "precise compliance" with s 47A(1) of the 2000 OHS Act in circumstances where the appointment is limited in accordance with s 47A(2) in the manner that applied to Mr Morrison's appointment. 114 The respondents further contended that the present proceedings involve an appeal from acquittals and that in examining whether the appointment was invalid, double jeopardy should be a significant consideration. In this respect, we agree with what Wright J, President said in Morrison v United Collieries Pty Limited [2005] NSWIRComm 259; (2005) 146 IR 154: [2] It is self-evident that no appeal court would lightly reverse an acquittal obtained by a defendant in criminal proceedings where an appeal in that respect was available. There is no reason to take a different approach in respect of appeals pursuant to s 197A of the Industrial Relations Act 1996 although the consideration that appeals under that provision have been held to require the grant of leave to appeal ( Bultitude v Grice Constructions Pty Ltd (2002) 115 IR 59 at 72 to 74) enables the necessary restraint and caution that the appeal court must exercise in such cases to be applied at either or both the leave to appeal stage, or at the appeal phase of the proceedings.
However, his Honour went on to observe: [9] Once the provisions of s 197A are seen in their proper legal and historical context the existence of a right of appeal against an acquittal in occupational health and safety proceedings is not as exceptional as might initially appear. In that regard it must not be forgotten that for many decades the former Industrial Commission heard appeals from acquittals under legislation which may properly be regarded as predecessor legislation to the Occupational Health and Safety Acts of 1983 and 2000; that is, the Factory Shops and Industries Acts 1912 and 1962 and the Scaffolding and Lifts Act 1912 (subsequently re-titled as the Construction Safety Act 1912). 115 The Full Bench is yet to determine the question of leave, but in so far as the invalidity point is concerned, we find that the legislature did not intend that Mr Morrison's appointment should be invalidated because he did not possess the qualifications of a mine safety officer. Any concern about double jeopardy cannot override that finding. 116 We find that even if the respondents are correct in contending that the appellant's appointment as an inspector under s 47A of the 2000 OHS Act was not in accordance with the provisions of the legislative scheme for the reasons contended by the respondents, the appointment was not thereby invalidated and, therefore, we find the prosecutions were properly instituted. OTHER CONTENTIONS
117 There were three other matters raised in the notices of contention that we need to address. The first was that the appellant directly used answers and information provided by Mr Milner and Mr Baldwin in the proceedings at first instance in contravention of the use immunity and compensatory protection in s 60(2) of the Coal Mines Regulation Act 1982 and that this amounted to an abuse of process. The second was that there was not negatived by the prosecutor as a reasonable possibility that there was an inexplicable failure by the afternoon shift to sound and bar or scale down the roof and, therefore, there could not be established to the criminal standard that a causal nexus was not broken between any alleged risk and failure. The third related to the statutory defences, in respect of which it was contended that: 1. Even if the appellant could establish to the requisite criminal standard that any failure in the offence as charged was made out (and it is strongly contended that he did not do so), it should be determined in favour of Mr Milner and Mr Baldwin that the corporation on the evidence can make out a defence under s 53(a) and (b) of the Occupational Health and Safety Act 1983 ( OHS Act 1983 ) and, therefore, there is no corporate contravention.
118 The contention raises a relatively narrow point and that is that the filing of the affidavits verifying the Applications for Order in the Industrial Court to institute proceedings, or the reading of the affidavits by Staff J for the purpose of issuing ex parte orders against the respondents, was in breach of s 60(2) of the Coal Mines Regulation Act and therefore an abuse of process. This was because in commencing the proceedings and as disclosed by the Affidavits in Support of the Application for Orders, Mr Morrison, as prosecutor, had used answers given by Mr Milner and Mr Baldwin that had the protection of s 60 of the Coal Mines Regulation Act and contrary to that provision and the protections available under that section, Mr Morrison had impermissibly relied on answers given by both defendants to commence and maintain the prosecution proceedings. Section 60(2) provides: (2) An answer given by a person in pursuance of a requirement imposed under sub-section (1)(a) shall not be admissible in evidence against the person in any proceedings except proceedings for an offence under s 62(e). 119 The trial judge relevantly found as follows: [57] Two issues then remain for consideration: firstly, the submission that the use of these protected interviews by Mr Morrison reading both Mr Sheehy's report and Professor Galvin's reports resulted in a breach of the protection and warranted a stay of the prosecution; secondly, the circumstances surrounding the compilation of Professor Galvin's report and its reliance upon answers given by Mr Milner and Mr Baldwin that were protected by s 60(2) meant that Professor Galvin's report should be excluded from evidence under the combined operation of ss 135, 136 and 137 of the Evidence Act .
[58] As earlier indicated, Mr Morrison's affidavit in support of the application for the issue of an order stated that, in bringing the prosecution, he had read and relied upon the reports of Mr Sheehy and Professor Galvin. That affidavit was not read as part of the formal proceedings and at the time this prosecution was commenced it was not required as a necessary pre-requisite to commencing proceedings. In no sense, therefore, have the statements of Mr Milner and Mr Baldwin been tendered against them "in evidence" in these proceedings. If there has been no breach of the protection provided by s 60(2), the highest that the defendants' challenge reaches is that Mr Morrison used answers that were the subject of the protection of s 60(2) in order to commence the prosecution and without those protected answers, Mr Morrison could have no basis to commence the prosecution. As will become relevant to the second issue, during the course of the hearing the Court entertained submissions regarding the admissibility of Professor Galvin's report and ruled that, while there were some assumptions identified upon which Professor Galvin based his report and those assumptions reflected matters disclosed in the protected answers given by Mr Milner and Mr Baldwin under s 60(2), the use of the information as mere assumptions could not breach the protection provided by s 60(2) and left the prosecution in the position of needing to call admissible evidence of these matters: if the prosecutor was unable to do so, then certain aspects of Professor Galvin's report would not be established in evidence and on analysis that may result in the report being rendered less significant or totally without basis.
120 In their contentions the respondents relied on Hood (1997) 91 A Crim R 526 at 536 per Smart J and Hartmann v Commissioner of Police (1997) 91 A Crim R 141 at 147 per Cole JA for the proposition that where the statute abrogates the privilege against self-incrimination and confers compensatory protection (as was the case with s 60(2)), the court must construe the ambit of that statutory protection; a technical or narrow approach should not be adopted having regard to the importance of that privilege. It was submitted that in s 60(2), the words "evidence" and "admissible" and the expression "any proceedings" should be given their literal and ordinary meaning and that included what the appellant did in his verifying affidavits: see Re Williams Bros. Ltd (1928) 29 SR (NSW) 248; Cheney v Spooner (1929) 41 CLR 532 at 537. 121 We accept that a technical or narrow approach should not be adopted in construing s 60(2) of the Coal Mines Regulation Act, but for the reasons given by the trial judge we do not consider there was any contravention of s 60(2). As his Honour found at [47] in no sense had the answers supplied to the investigator, Mr Sheehy, by Mr Milner and Mr Baldwin to assist in deciding to commence the proceedings, been used in evidence against the respondents and, in terms, those answers were not referred to in the prosecutor's verifying affidavits nor were the affidavits read at the trial. Moreover, the fact that Staff J may have read the verifying affidavits in deciding to issue ex parte orders against the respondents does not amount to a contravention of s 60(2). We agree with what the trial judge stated at [46]: [46] In dealing with this attack on the prosecution, it is a relevant consideration that the affidavit of Mr Morrison was not read in a formal sense in any type of proceeding before the Court issued the order. It is well established that the Court is not engaged in the task of reaching a prima facie conclusion that an offence had been committed before an order issues requiring the attendance of the defendant before the Court to answer the charge. In many respects, the process is more administrative than judicial although where it can only be undertaken by a judicial officer, it might well be assumed that there is an examination to ascertain whether the matters raised are capable of sustaining a charge and do not have some obvious or fundamental flaw: the judicial officer so engaged, however, is engaged on a relatively low level examination and it is important that the role of the judicial officer does not become enmeshed with the role of the prosecutor such that possible difficulties with the prosecution are to be remedied at the instigation of the judicial officer. Once the order is made, it is rare for the prosecutor's affidavit to feature in the trial and in accordance with that experience the prosecution case did not rely on Mr Morrison's affidavit nor was it formally read (although the affidavit did come into evidence only for the purposes of dealing with the issue about authority to prosecute) … 122 We find there was no abuse of process arising from a contravention of s 60(2) of the Coal Mines Regulation Act. Sounding and barring or scaling down the roof
123 Whilst the respondents formally raised this contention we note also that it was submitted, "there are many other grounds on which the appeal should be dismissed and, in those circumstances, the Court may consider it is unnecessary to resolve this contention." We do not propose to deal with this contention. That, of course, does not preclude the respondents from addressing the issue in the substantive appeal. Statutory defences
124 These contentions were raised on the basis that the respondents relied solely on their submissions at first instance. We do not propose to deal with the issues in the context of notices of contention. The respondents are not precluded from addressing issues relating to the defences in the substantive appeal proceedings. CONCLUSION
125 The respondents have not made out any of the contentions in their notices of contention. Accordingly, the Full Bench will proceed to deal with the application for leave to appeal and appeal on the scheduled dates in July 2009. Costs of the notices are reserved.
DISCLAIMER - Every effort has been made to comply with suppression orders or statutory provisions prohibiting publication that may apply to this judgment or decision. The onus remains on any person using material in the judgment or decision to ensure that the intended use of that material does not breach any such order or provision. Further enquiries may be directed to the Registry of the Court or Tribunal in which it was generated.
Morrison
Milner and Baldwin
[2000] HCA 8
[2009] SASC 61
[2006] SASC 32
[2001] WASCA 61
[2005] SAWCT 14
[1984] HCA 50
[1975] HCA 39
[1996] NTSC 62
[1997] NTSC 104
(1998) 194 CLR 355
(2005) 11 VR 298
(2005) 145 IR 61
(1915) 21 CLR 1
(2000) 201 CLR 189
(1929) 41 CLR 532
(2005) 138 IR 221
(1980) 49 FLR 36
(2006) 66 NSWLR 151
(2001) 23 WAR 355
(2005) 149 IR 148
(2005) 146 IR 154
(1973) 1 NSWLR 87
(1942) 66 CLR 535
(1999) 197 CLR 83
(1977) 17 SASR 321
(1989) 169 CLR 1
(1982) 41 ALR 563
(1996) 188 CLR 77
(1987) 9 NSWLR 154
(1907) 4 CLR 977
(1984) 154 CLR 349
(1992) 59 SASR 361
(1986) 7 NSWLR 503
(1975) 134 CLR 81
(1989) 86 ALR 119
(1986) 7 NSWLR 644
(1985) 8 FCR 93
(1989) 166 CLR 454
(1990) 25 FCR 1
(1997) 187 CLR 384
(2004) 78 ALJR 585
(2002) 115 IR 59