Reasonable apprehension of bias
6 If the judge was in error in declining to disqualify herself, the outcome of the trial was fundamentally flawed. The claimed $65,010 is a not insignificant amount, but of more importance the claimant was entitled to have his claim decided without the appearance that justice was not done. For the reasons which follow, in my opinion the judge was not in error, but leave to appeal should be granted as to this matter.
7 The test of reasonable apprehension of bias is not in doubt. It is that a fair-minded lay observer might reasonably apprehend that the judge might not bring an impartial mind to the resolution of the questions the judge is required to decide: see Ebner v Official Trustee in Bankruptcy (2001) 205 CLR 337 at [6] per Gleeson CJ and McHugh, Gummow and Hayne JJ. Their Honours continued -
"The apprehension of bias principle may be thought to find its justification in the importance of the basic principle, that the tribunal be independent and impartial. So important is the principle that even the appearance of departure from it is prohibited lest the integrity of the judicial system be undermined. There are, however, some other aspects of the apprehension of bias principle which should be recognised. Deciding whether a judicial officer (or juror) might not bring an impartial mind to the resolution of a question that has not been determined requires no prediction about how the judge or juror will in fact approach the matter. The question is one of possibility (real and not remote), not probability. Similarly, if the matter has already been decided, the test is one which requires no conclusion about what factors actually influenced the outcome. No attempt need be made to inquire into the actual thought processes of the judge or juror."
8 As is made clear in Antoun v The Queen [2006] HCA 2, if the judge exhibits pre-judgment it does not matter that, at the time or in retrospect, the case for that judgment is strong: see at [2] and [23] per Gleeson CJ, [46]-[49] per Kirby J and [83]-[87] per Callinan J with whom Heydon J agreed. But the cases caution against too ready acceptance of disqualification applications, see in particular Re JRL; Ex parte CJL (1986) 161 CLR 342, and recognise that it is permissible, indeed preferable, that the judge express preliminary views to the parties so that they may deal with them. In Vakauta v Kelly (1989) 167 CLR 568 at 571 Brennan, Deane and Gaudron JJ observed that -
" … a trial judge who made necessary rulings but otherwise sat completely silent throughout a non-jury trial with the result that his or her views about the issues, problems and technical difficulties involved in the case remained unknown until they emerged as final conclusions in his or her judgment would not represent a model to be emulated".
9 The formation of preliminary views is inevitable as a judge attends to the evidence and relates it to the issues for decision, and it is commonly in the interests of the parties and promotes the efficient resolution of their dispute that the views be made known, so that the parties can focus their submissions and respond to those views.
10 In Antoun v The Queen Kirby J said at [27] that in some circumstances strong and forthright remarks, especially where the judge is the sole judge of fact and law and the parties are represented by counsel able to respond with clarity and forthrightness, will not give rise to a reasonable apprehension of bias, and that he "would not want to say anything that needlessly mollycoddled candid judicial speech addressed to trained advocates". But it is normally necessary to give the parties the opportunity to put their submissions, and there must be manifest observance of fair procedures; thus his Honour said at [29] that -
"A line is drawn between forthright and robust indications of a trial judge's tentative views on a point of importance in a trial and an impermissible indication of pre-judgment that has the effect of disqualifying the judge from further conduct of the proceedings. Sometimes, that line will be hard to discern."
11 See also Hayne J at [53] referring to "a line to be drawn between deciding cases efficiently and economically and appearing to pre-judge what has to be decided".
12 The claimant expressly eschewed any appearance of pre-judgment in the course of the trial prior to 31 March 2005. She relied on observations of the judge during the submissions of the opponent's counsel on 31 March 2005. The question for decision is whether, on the test earlier stated, the judge crossed the line.
13 Evidence in the claimant's case was given by Mr Slavin, by Dr Beale, Mr Petropoulos, Ms Imbree and Mr Azzi who had visited the apartment, and by Messrs Leighton and Argyrou who had performed work in the apartment. Evidence in the opponent's case was given by Mr Parsons, who had become a member of the executive committee of the opponent in September 2000 and chairman of the opponent in April 2001. Much of the evidence was less than precise. A number of documents were tendered, including minutes of many meetings of the opponent.
14 There was a deal of evidence from Mr Slavin going to the opponent's knowledge of water penetration to the apartment and its extent, and it was acknowledged in the application that Mr Slavin's credibility went directly to the opponent's liability. Mr Slavin gave evidence of particular occasions when he complained of water penetration, including complaints in late 2000 to the managing agent, and said more generally that from late 2000 he "notified the executive committee of the owners corporation that I had water penetration of the apartment" and that "[e]very time I seen anybody I was raising [the question of the leaking roof]". Mr Slavin's credibility also went to damages, and the claimant's case as to quantum substantially required acceptance of his evidence.
15 On 31 March 2005 the claimant was represented by Mr T E F Hughes QC, leading Mr M J B Lee who had represented her while evidence was taken. The opponent continued to be represented by Mr J G Stewart.
16 Mr Stewart addressed first. He handed up a written outline, which included that Mr Slavin was a most unsatisfactory witness and that there had been "florid and extravagant assertions from the witness box as to the frequency and nature of his complaints". It was said elsewhere in the written outline that the evidence of Mr Parsons and the documentation supported that the opponent had discharged its duty under s 62(1) of the Act.
17 Almost immediately in Mr Stewart's oral submissions, and it seems before the judge had read the written outline, the transcript records (the judge's initial reference being to a copy of s 62(1) of the Act attached to the written submissions) -
"HER HONOUR: It is, thank you. Mr Stewart [sic] may persuade me to a different view but I had a careful look at the transcript and the notes that I'd made during the hearing. I think probably the first explicit complaint made by Mr Slavin to Mr Parsons, was in April 2001. I don't know whether that assists you in the way that you're going to put your case. And as I say Mr Hughes and Mr Stewart [sic] may persuade me to a different view.
STEWART: Well your Honour may I say this generally about Mr Slavin's evidence. It's my respectful submission that on the whole, the evidence is most unreliable.
HER HONOUR: I respectfully agree with you.
STEWART: And your Honour Mr Parson's [sic] with respect is a witness whose evidence your Honour would prefer over that of Mr Slavin, where there is a conflict.
HER HONOUR: I agree with you respectfully.
STEWART: Thank you your Honour. And may I say with the greatest of respect that it's my submission that the documentation which I tendered I think sequentially, supports the proposition that even though at some stage there was damage or evidence of damage, which developed in unit 26. It was not to an extent as asserted by Mr Slavin early in the piece as it were and your Honour, that in my respectful submission is a matter to be taken into account in determining whether or not the defendant has complied with s 62(1). … "
18 There appears to be a transcript error in the first paragraph of this extract, but even if the transcript be correct the judge plainly meant, and would have been understood to have meant, that Mr Hughes might persuade her to a different view.
19 Mr Stewart's oral submissions continued over the next four pages of the transcript. When he referred to Mr Slavin's description of the nature and extent of the 2000 renovations, the judge said "I think that's part of his evidence that one would accept. It's consistent with everything else." When he referred to a paragraph in the written submissions asserting that Mr Slavin gave an evasive answer in cross-examination about the appearance of the ceilings in the apartment on an occasion in May 2001, her Honour said "I must say I thought you were at cross-purposes with him", and explained why she had that view.
20 Shortly thereafter Mr Stewart referred to the paragraph in the written submissions that Mr Slavin was a most unsatisfactory witness, saying that he referred in it "to some aspects … of the evidence of Mr Slavin which in my submission paints him as a most unsatisfactory witness". The judge said -
"HER HONOUR: I think his uncorroborated evidence is unreliable. As I said before, perhaps I'll be persuaded to a different view, but that's the overall impression of his evidence I formed."
21 The submissions moved on to deal with the evidence of other witnesses in the claimant's case, the written and oral submissions in combination amounting to the submission that the evidence was unreliable.
22 The transcript continued -
STEWART: … Now Mr Parsons's [sic] your Honour is --
HER HONOUR: He was in [sic] impressive cogent witness in the face of a virulent attack upon his voracity in probity [sic].
STEWART: Yes, your Honour. He stood his ground. He gave measured evidence, relevant evidence and evidence which in my respectful submission, bespeaks the sorts of decision making process that a responsible member of the committee, such as the committee of which he was a member and later chairman, would undertake in reaching these sorts of decisions with which we're concerned. Your Honour I set out the evidence of Mr Parsons in essentially the balance of my written submissions. But if one goes to the material which was tendered on behalf of the defendant, it is in my respectful submission, completely supportive of the proposition that the committee acted properly, responsibly and discharged its duties under section 26.1 [sic] during the whole course of this process. And it supports the evidence called by the defendant and where there is a conflict between Mr Slavin and Mr Parsons. It supports the evidence of Mr Parsons. If I can very briefly take your Honour ---
HER HONOUR: It seems to me that Mr Parsons' deposition and the defendant's contemporaneous and secondary records are the most reliable source of the relevant facts in this case. If you're instructed to talk a great deal to me about Mr Parsons' [sic] of course I'll listen. But it's not necessary unless you wish to.
STEWART: No your Honour. May I say this your Honour in concluding my submissions on liability, that I endeavoured when I tendered the documentation which was tendered on behalf of the defendant, to deal with the documentation sequentially. A fair reading of the documentation, in my submission, completely supports Mr Parsons in the case of the defendant. … "
23 At the conclusion of Mr Stewart's submissions, Mr Hughes submitted that the judge's initial agreement that on the whole the evidence of Mr Slavin was most unreliable, without her Honour having heard "a syllable of submission" on behalf of the claimant, gave rise to an apprehension of bias, and asked that the judge disqualify herself. The judge replied, "I've heard days of evidence Mr Hughes and of course I've formed some preliminary views about the evidence". Mr Hughes responded, "Your Honour didn't say that you had formed a preliminary view, your Honour said that your Honour respectfully agreed with the proposition that on the whole the evidence [of] Mr Slavin is unreliable".
24 Mr Hughes elaborated his application, without materially expanding its basis, in the succeeding pages of the transcript. I do not think it necessary to relate this, save to note that there was again an exchange in which the judge said that she had formed preliminary views about the evidence and Mr Hughes responded that she had not qualified her views as preliminary "and that's the problem, that's the problem".
25 In due course the judge gave reasons for declining to disqualify herself. She recounted a history of the proceedings, it seems because Mr Hughes' submissions had made some mention of it; it is not now a material matter. She said -
"7. Eventually the oral evidence in the OSC [original statement of claim] and the ASC [amended statement of claim] occupied five days of the Court's proceedings. Naturally I formed general impressions of the respective witnesses' credibility and reliability whilst I observed their deposing. Subsequently I had the ASC listed for today and tomorrow in order to hear the parties' final submissions thereon: those dates were the earliest that accommodated one's then impending commitments to the Court and counsel's then impending professional commitments.