Application of cl 7 to "Part Heard Proceedings"
26Clause 7 of Schedule 1 establishes how "part heard proceedings" such as the present proceedings at first instance are to be dealt with. That clause relevantly provides:
7 Pending proceedings before existing tribunals transfer to NCAT
...
(2) In relation to part heard proceedings in an existing tribunal, the person or persons constituting the tribunal for those proceedings:
(a) are to continue, on and from the establishment day, to hear the matter, and to determine the matter, sitting as NCAT, and
(b) are taken to have been duly appointed as members of NCAT for the purposes of determining the matter even if the person or persons have not been appointed as members of NCAT by or under another provision of this Act, and
(c) may have regard to any record of the proceedings before the existing tribunal, including a record of any evidence taken in the proceedings before the existing tribunal.
(3) For the purposes of subclauses (1) and (2):
(a) NCAT has and may exercise all the functions that the relevant existing tribunal had immediately before its abolition, and
(b) the provisions of any Act, statutory rule or other law that would have applied to or in respect of the proceedings had this Act and the relevant amending Acts not been enacted continue to apply.
27This clause permitted Ms Rosser, the Senior Member of the CTTT who heard the matter in 2013, to continue to determine the matter sitting as NCAT after 1 January 2014 - cl 7(2)(a). She was taken to have been duly appointed a member of NCAT - cl 7(2)(b). She was entitled to have regard to the record of proceedings and evidence in the CTTT - cl 7(2)(c). And, sitting as NCAT, she had and could exercise all the functions the CTTT had immediately before its abolition - cl 7(3)(a). Finally, the law which would have applied "to or in respect of the proceedings" had the NCAT legislation not been enacted continued to apply - cl 7(3)(b).
28The question that arises for decision is whether cl 7(3)(b) applies only to the determination of the proceedings at first instance or whether it governs the appeal rights in relation to any decision in those proceedings. One basis for concluding that the clause might apply to appeal rights was the use of the words "in respect of those proceedings" in cl 7(3)(b).
29In Griffin v Ingram [2014] NSWCATAP 5 at [56] the Appeal Panel tentatively suggested (in comments not necessary for the decision in that case) that the provision in cl 9(3)(b), which is substantially the same as cl 7(3)(b), would govern the appeal rights in respect of proceedings that fell within the operation of cl 9 of Schedule 1 to the Act. There the Appeal Panel said:
That is not to say, however, that there would be no appeal rights in that case. For the purposes of proceedings under cl 9(2), cl 9(3)(b) provides that "the provisions of any Act, statutory rule or other law ... that would have applied to or in respect of the application had [the Act] and the relevant amending Acts not been enacted continue to apply". Thus, the appeal rights in such a case would seem to be those available under the CTTT Act, as if it had not been repealed by the Civil and Administrative Legislation (Repeal and Amendment) Act. Section 67 of the CTTT Act provided for an appeal in limited circumstances to the District Court.
30Having had the benefit of specific submissions on this question, the Appeal Panel is of the view that the tentative view expressed in Griffin should not be adopted.
31The preferable construction of cl 7(3) is that it is limited in its operation to the determination of the part heard or unheard proceedings. This follows from at least 3 considerations. First, the chapeau to the subclause is in the following terms "For the purposes of subclauses (1) and (2)". The purposes of subcll 7(1) and (2) are indicated by the contents of those subclauses which are limited to providing the machinery by which proceedings commenced in an abolished tribunal can be determined by NCAT if they had not been determined by the abolished tribunal before its abolition. Subclauses 7(1) and (2) do not deal with what should occur once NCAT has decided the matter. When proceedings have been determined under subcll 7(1) or (2), the chapeau indicates that cl 7(3) should have no further role to play.
32Secondly, if the internal appeal provisions under s 80 of the Act can be invoked by a party to unheard or part heard proceedings determined under cl 7 of Schedule 1, there is no need to have the appeal provisions of pre-NCAT legislation available in order for the party to be able to appeal. Below, we conclude that the appellant in the present appeal can rely upon s 80 of the Act.
33Thirdly, the objects of the Act include establishing NCAT to "provide a single point of access for most tribunal services in the State" - s 3(a) and "to enable the Tribunal to resolve the real issues in proceedings justly, quickly, cheaply and with as little formality as possible" - s 3(d). In addition, s 36(1) specifies the "guiding principle" which the Tribunal must, under s 36(2)(b), seek to give effect to in interpreting any provision of the Act. That guiding principle is "to facilitate the just, quick and cheap resolution of the real issues in the proceedings". Resolution of the real issues in proceedings includes resolution of those issues on appeal. The Appeal Panel of NCAT was established so that parties would have the ability to have any errors of law in a final or ancillary decision at first instance corrected, justly, quickly and cheaply without having to go to a Court either by way of appeal or judicial review. In addition, errors other than errors of law could be similarly dealt with on appeal to NCAT's Appeal Panel if leave were obtained. Requiring parties to proceedings determined under the transitional provisions to appeal to an external Court instead of being able to avail themselves of an appeal to the Appeal Panel does not appear to be entirely consistent with the objects of the Act, the guiding principle identified in s 36 or with the purpose for which NCAT, including its Appeal Panel, was established. This conclusion is reinforced by the consideration that the appeal rights to the District Court under s 67 of the CTTT Act are significantly more limited than the appeal rights available under s 80 of the Act.
34For these reasons and having regard to the wording, scope and purpose of the Act, the Appeal Panel concludes that the ability to appeal from a decision of NCAT in part heard or unheard proceedings falling within cl 7 of Schedule 1 is not governed by "the provisions of any Act, statutory rule or other law ... that would have applied to or in respect of the application had [the Act] and the relevant amending Acts not been enacted" under cl 7(3)(b). In the present case, the parties were not required to avail themselves of the appeal rights, such as they were, under s 67 of the CTTT Act.