Apprehension of bias
12 In relation to an alleged apprehension of bias on the part of a judge, Kirby and Crennan JJ said in Concrete Pty Ltd v Parramatta Design & Developments Pty Ltd (2006) 229 CLR 577 ('Parramatta Design') at [110]-[112]:
'110 The appeal [in Parramatta Design] involves the application of well-established principles, which were not in dispute and were both reiterated and explained in Ebner v Official Trustee in Bankruptcy in the joint reasons of Gleeson CJ, McHugh, Gummow and Hayne JJ:
"Where, in the absence of any suggestion of actual bias, a question arises as to the independence or impartiality of a judge ..., a judge is disqualified if a fair-minded lay observer might reasonably apprehend that the judge might not bring an impartial mind to the resolution of the question the judge is required to decide. That principle gives effect to the requirement that justice should both be done and be seen to be done, a requirement which reflects the fundamental importance of the principle that the Tribunal be independent and impartial. It is convenient to refer to it as the apprehension of bias principle ...
The apprehension of bias principle admits of the possibility of human frailty. Its application is as diverse as human frailty. Its application requires two steps. First, it requires the identification of what it is said might lead a judge ... to decide a case other than on its legal and factual merits. The second step is no less important. There must be an articulation of the logical connection between the matter and the feared deviation from the course of deciding the case on its merits."
111 In assessing the logical connection between a matter complained of and any deviation from deciding a case on the merits, (the "second step" in Ebner v Official Trustee in Bankruptcy) it is important to bear in mind the characteristics of modern litigation as recognised by Gleeson CJ, Gaudron, McHugh, Gummow and Hayne JJ in Johnson v Johnson:
"Whilst the fictional observer, by reference to whom the test is formulated, is not to be assumed to have a detailed knowledge of the law, or of the character or ability of a particular judge, the reasonableness of any suggested apprehension of bias is to be considered in the context of ordinary judicial practice. The rules and conventions governing such practice are not frozen in time. They develop to take account of the exigencies of modern litigation. At the trial level, modern judges, responding to a need for more active case management, intervene in the conduct of cases to an extent that may surprise a person who came to court expecting a judge to remain, until the moment of pronouncement of judgment, as inscrutable as the Sphinx. In Vakauta v Kelly, Brennan, Deane and Gaudron JJ, referring both to trial and appellate proceedings, spoke of 'the dialogue between Bench and Bar which is so helpful in the identification of real issues and real problems in a particular case'. Judges, at trial or appellate level, who, in exchanges with counsel, express tentative views which reflect a certain tendency of mind, are not on that account alone to be taken to indicate prejudgment. Judges are not expected to wait until the end of a case before they start thinking about the issues, or to sit mute while evidence is advanced and arguments are presented. On the contrary, they will often form tentative opinions on matters in issue, and counsel are usually assisted by hearing those opinions, and being given an opportunity to deal with them."
112 Sometimes judicial interventions and observations can exceed what is a proper and reasonable expression of tentative views. Whether that has happened is a matter of judgment taking into account all of the circumstances of the case. However, one thing that is clear is that the expression of tentative views during the course of argument as to matters on which the parties are permitted to make full submissions does not manifest partiality or bias.'
(Footnotes omitted)
13 In Parramatta Design, Callinan J, after referring to a court procedure whereby statements and documents are prepared, exchanged and filed in advance of a hearing which may and almost always will be read before a trial begins, said in relation to an alleged apprehension of bias at [176]-[177]:
'176 I mention these matters because in sum they may well incline a trial judge towards a degree of outspokenness of a kind to which he or she would not be inclined in a conventional trial on largely oral evidence. That this is so does not provide any excuse for the manifestation of apparent bias on the part of a trial judge but it may explain why a judge finds himself or herself speaking more candidly and strongly than he or she might otherwise do, or even have been able to do, in the past or in other jurisdictions. The question nonetheless remains whether the fair-minded lay observer might reasonably have apprehended that the judge might not be bringing an impartial and unprejudiced mind to the resolution of the questions he was required to decide.
177 It is axiomatic that the perception of a lay observer will not be as informed as the perception of a lawyer, particularly a litigation lawyer. But the notional lay person should not be taken to be completely unaware of the way in which cases are brought to trial and tried. In any event, it would have been apparent to any observer from the trial judge's remarks here that his Honour was already well acquainted with the issues, and many of the details of the respective cases of the parties. Indeed, no other conclusion would have been open having regard to the matters which the trial judge raised and the way in which he expressed himself. That he had not formed any final view appears from the number and type of questions that he asked. For example, at one stage he inquired whether one way of looking at the case was a distorted way of doing so. A little later he said that the responses which had been made to him had given him useful background.'
(Footnotes omitted)
14 In Parramatta Design Gummow A-CJ and Hayne J separately agreed that the complaint of apprehended bias, which the majority of the Federal Court had found to affect the decision of the primary judge, had not been made out (at [4] and [120]).
15 In Ebner v Official Trustee in Bankruptcy (2000) 205 CLR 337 ('Ebner') which was cited with approval by Kirby and Crennan JJ in Parramatta Design, Gleeson CJ, McHugh, Gummow and Hayne JJ said at [7]:
'7 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.'
16 In Re Refugee Review Tribunal; Ex parte H (2001) 179 ALR 425 ('Re RRT; Ex parte H') Gleeson CJ, Gaudron and Gummow JJ said, at [27]-[34], in respect of the test for apprehended bias and its application in administrative proceedings where credibility was in issue:
'27 The test for apprehended bias in relation to curial proceedings is whether a fair-minded lay observer might reasonably apprehend that the judge might not bring an impartial mind to the resolution of the question to be decided. That formulation owes much to the fact that court proceedings are held in public. There is some incongruity in formulating a test in terms of "a fair-minded lay observer" when, as is the case with the tribunal, proceedings are held in private.
28 Perhaps it would be better, in the case of administrative proceedings held in private, to formulate the test for apprehended bias by reference to a hypothetical fair-minded lay person who is properly informed as to the nature of the proceedings, the matters in issue and the conduct which is said to give rise to an apprehension of bias. Whether or not that be the appropriate formulation, there is, in our view, no reason to depart from the objective test of possibility, as distinct from probability, as to what will be done or what might have been done. To do otherwise, would be to risk confusion of apprehended bias with actual bias by requiring substantially the same proof.
29 Though the test in administrative proceedings, as in curial proceedings, is, in our view, one of objective possibility, the non-curial nature of the body or tribunal in question and the different character of the proceedings must, as already indicated, be taken into account. In the present case, a significant difference between curial proceedings and the proceedings of the tribunal is that the former are adversarial and the parties are usually legally represented, whereas the latter are inquisitorial in nature and the parties are not represented.
30 Where, as in the present case, credibility is in issue, the person conducting inquisitorial proceedings will necessarily have to test the evidence presented - often vigorously. Moreover, the need to ensure that the person who will be affected by the decision is accorded procedural fairness will often require that he or she be plainly confronted with matters which bear adversely on his or her credit or which bring his or her account into question. Similar questions by a judge in curial proceedings in which the parties are legally represented may more readily give rise to an apprehension of bias than in the case of inquisitorial proceedings.
31 Where, however, parties are not legally represented in inquisitorial proceedings, care must be taken to ensure that vigorous testing of the evidence and frank exposure of its weaknesses do not result in the person whose evidence is in question being overborne or intimidated. If that should happen, a fair-minded lay observer or a properly informed lay person might readily infer that there is no evidence that the witness can give which can change the decision-maker's view.
32 In the present case, a fair-minded lay observer or a properly informed lay person, in our view, might well infer, from the constant interruptions of the male prosecutor's evidence and the constant challenges to his truthfulness and to the plausibility of his account of events, that there was nothing he could say or do to change the tribunal's preconceived view that he had fabricated his account of the events upon which he based his application for a protection visa. In other words, a fair-minded lay observer or a properly informed lay person might well apprehend bias by the tribunal against the male prosecutor. And because the female prosecutor's application stood or fell with his, a fair-minded lay observer or a properly informed lay person might, in our view, form the same view in her case.'
(Footnotes omitted)
17 In Re RRT; Ex parte H the High Court held that prohibition should issue to prevent further action on the decision of the Tribunal. In doing so it opined that a properly informed hypothetical fair-minded lay person might reasonably apprehend that the Tribunal might not bring an impartial mind to the question of satisfaction in respect of the criterion posited by s 36(2) of the Act when taken with the definition of refugee in the Convention.
18 Having formed the view that the prosecutors had made good their claim of apprehended bias, the High Court addressed whether Constitutional writ relief should be granted, in the exercise of the relevant discretion to do so. Notwithstanding a finding that the Tribunal decision was not affected by actual bias, the Court nevertheless decided that relief should be granted. At [33]-[34] their Honours said:
'33 Although, in our view, the prosecutors have made good their claim of apprehended bias, we would not grant relief under s 75(v) of the Constitution simply on that account. It is now established that, in the case of a breach of the rules of natural justice, relief under s 75(v) of the Constitution is discretionary. Where, as here, there is a final determination by a superior court, that the decision in question was not affected by actual bias, discretionary considerations necessarily arise. However, in this case, we would grant relief as sought.
34 Where, as in the proceedings before the tribunal, the central issue is credibility, the decision-maker's assessment will often depend upon the demeanour of the witnesses and the manner in which they give their evidence. It cannot be assumed that the prosecutors would have received an unfavourable assessment of their credibility if they had had the opportunity to present their claims without repeated interruptions from the tribunal affirming its lack of belief in their claims. Nor can it be assumed that they could not have given further details of events which might have supported their applications. In particular, it should be noted that the male prosecutor was interrupted when he attempted to give an account of a stoning episode in which, presumably, his home was stoned. These considerations may not, of themselves, constitute a failure to provide the prosecutors with an opportunity to present their claims, but they constitute good reason why relief should not be refused on discretionary grounds.'
(Footnotes omitted)
19 In Hot Holdings Pty Limited v Creasy (2002) 210 CLR 438 ('Hot Holdings') McHugh J stated the test for apprehended bias in relation to administrative decision-making at [68] by effectively paraphrasing what had been said by Gleeson CJ, Gaudron and Gummow JJ in Re RRT; Ex parte H at [27]-[28] above. His Honour said:
'68 The rules of natural justice require that any decision of a Minister that affects a person's rights, interests or legitimate expectations must be unbiased and free from any reasonable apprehension of bias. Where an administrative decision is made in private, the test for apprehended bias is whether a hypothetical fair-minded lay person, properly informed as to the nature of the proceedings or process, might reasonably apprehend that the decision-maker might not have brought an impartial mind to making the decision. In deciding the issue, the court determines the issue objectively.'
(Footnote omitted)
20 McHugh J continued at [70] by saying:
'70 While the test for a reasonable apprehension of bias is the same for administrative and judicial decision-makers, its content may often be different. …'
21 I would respectfully adopt as the applicable test for apprehension of bias in respect of the conduct of proceedings before the Tribunal, upon the hearing of an application for judicial review of the ultimate decision of the Tribunal, the test as summarised by McHugh J in Hot Holdings.
22 In addressing the content of the test and its application to the factual situation in the present case, the following matters and issues need to be considered:
(a) The Tribunal must be seen to be independent and impartial.
(b) The ultimate issue for consideration and in respect of which the Tribunal member had to be satisfied or not satisfied, was whether owing to well-founded fear of being persecuted for reasons of political opinion, the applicant was outside the People's Republic of China and owing to such fear unwilling to avail himself of the protection of the People's Republic of China.
(c) The Tribunal member was called upon to address the ultimate issue in circumstances where the applicant had previously given evidence before the Tribunal differently constituted and in circumstances where two earlier decisions had been quashed as a result of applications for judicial review.
(d) In order for the Tribunal member to be satisfied that the applicant before him was a non-citizen in Australia, who satisfied the definition of a refugee in Article 1A of the Convention, it was for the applicant to advance whatever evidence and arguments he wished to advance to make out his claim. The applicant had to get his case across the line, there being no responsibility on the Tribunal member to prompt or stimulate the applicant's presentation of his case.
(e) The Tribunal member was required to be fair.
(f) Notwithstanding the obligation resting upon the applicant to get his case for refugee status across the line, the Tribunal member was required to explore those aspects of the applicant's account that the Tribunal member considered to be important to the decision, which he was required to make, and which might be open to doubt.
(g) It was open to the Tribunal member to vigorously test the evidence presented by the applicant. In so doing, questioning could be more vigorous than might be seen to be appropriate if undertaken by a judge in adversarial court proceedings.
(h) Given that the Tribunal hearing had concluded and a decision had been reached, the apprehension of bias test did not require any conclusions to be reached about the factors that actually influenced the decision as made.
(i) The applicant had been represented at the hearing before the Tribunal in respect of which the apprehension of bias claim had been made.
(j) Were constant challenges made to the truthfulness or plausibility of the applicant's account of the events upon which he relied?
(k) Was the applicant's evidence constantly interrupted? If so, might the Tribunal member, by his interruptions, have conveyed a preconceived view that the applicant's account of the events on which his claim to refugee status was based had been fabricated such that there was nothing that the applicant could say or do which might change that view?
(l) Viewed objectively, might the testing by the Tribunal member of the applicant's evidence be seen to have become overbearing or intimidatory?
(m) If there was a possibility that the Tribunal member might not bring an impartial mind to the questions which he had to decide, was that possibility, objectively assessed, real as opposed to remote?
(n) In the circumstances, might a hypothetical fair-minded lay person, properly informed as to the nature of the proceedings and processes of the Tribunal, including the Tribunal member's role, have reasonably apprehended that the Tribunal member might not bring an impartial mind to the questions which he had to decide?