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[2017] FCA 545
Federal Court of Australia
2017-05-22
Burley J
Original judgment source is linked above.
Solicitor for the First Respondent: Sparke Helmore Lawyers
Counsel for the Second Respondent: The Second Respondent filed a submitting notice, save as to costs
AND: MINISTER FOR IMMIGRATION AND BORDER PROTECTION First Respondent
ADMINISTRATIVE APPEALS TRIBUNAL Second Respondent
JUDGE: BURLEY J DATE OF ORDER: 22 MAY 2017
1 INTRODUCTION [1] 2 THE PROPOSED GROUND OF APPEAL [10] 3 BACKGROUND [11] 3.1 The Visa application and decision of the Delegate [11] 3.2 The proceedings before the Tribunal [13] 3.3 The decision of the FCCA [28] 4 THE PRESENT APPLICATION [30] 4.1 The submissions [30] 4.2 The relevant law [38] 4.2.1 Leave to appeal [38] 4.2.2 Subsection 425(1) [47] 5 CONSIDERATION [54] 6 DISPOSITION [70]
3.1 The Visa application and decision of the Delegate 11 The appellant is a citizen of Sri Lanka who left that country by boat and arrived in Australia as an undocumented irregular maritime arrival on 20 June 2012. He applied for the Visa on 2 November 2012. The Delegate refused that application on 11 January 2013. 12 Of relevance to the proposed ground of appeal are the following aspects of the Delegate's decision: Although also not enunciated by the applicant, I will also consider whether there is a real chance the applicant will suffer serious harm or persecution on account of an imputed pro-LTTE political opinion or because of being a Tamil male who departed Sri Lanka illegally by boat and subsequently returned to Sri Lanka. … Regarding the real chance of the applicant suffering serious harm on his arrival at Colombo airport on account of his being a Tamil man from the north who departed Sri Lanka illegally and returning from Australia, I have considered a range of relevant country information on the treatment of returned Tamil Asylum seekers to Sri Lanka. … The November 2012 DFAT [Department of Foreign Affairs and Trade] report [5.5.4] and other recent news reports further comment of [sic] the situation for returnees to Sri Lanka from Australia. The sources confirm that returnees are questioned on arrival by the CID at Colombo airport and then may be remanded in custody until their case is mentioned in court. This may take a few days or possibly weeks. After this they are generally bailed until a further hearing.
3.2 The proceedings before the Tribunal 13 On 16 January 2013, the appellant applied for a merits review of the Delegate's decision by the Tribunal. 14 On 5 March 2013, the legal representatives of the appellant provided written submissions to the Tribunal which relevantly noted; that the country information relied upon by the Delegate did not mention that Tamil failed asylum seekers were at risk of persecution; that the Delegate had accepted that the appellant may be questioned on arrival and that his background may be checked for any outstanding security or criminal matters; that the Delegate had accepted that the appellant may be remanded for a short time before going before a court and facing a possible fine for illegal departure; that the Delegate did not consider that treatment such as being held on remand for a few days or facing a possible fine would amount to persecution or serious harm; that the Delegate had expressed the view that there was no evidence that the appellant had had any involvement, apart from his illegal departure, that would lead him to be of interest to the authorities or that there is any real chance of harm befalling him on his return to Sri Lanka for any reason, including as a failed asylum seeker. 15 The submissions also relied on country information demonstrating that returnees and failed asylum seekers may be subject to serious harm by virtue of the fact that they are imputed with dissident or pro-LTTE views by reason of their attempts to gain protection in other nations. 16 The hearing before the Tribunal was conducted on 19 March 2013 where the appellant appeared and gave evidence with the assistance of an English/Tamil interpreter. He was represented at the hearing by Craddock Murray Neumann Lawyers. 17 After the hearing, on 1 May 2013, the Tribunal wrote to the appellant in the following terms, which included information set out in a report from the Australian Department of Foreign Affairs and Trade (DFAT) dated 4 March 2013 (Letter): … In conducting its review, the tribunal is required by the Migration Act to invite you to comment on or respond to certain information which the tribunal considers would, subject to your comments or response, be the reason, or a part of the reason, for affirming the decision under review. … Enclosed is a schedule containing country information on which the Tribunal will rely when determining this application for review. The country information contained in the schedule appears to indicate that the applicant's fear of persecution is not well founded and there are not substantial grounds for believing that, as a necessary and foreseeable consequence of his removal from Australia to Sri Lanka, there is a real risk he will suffer significant harm. Any comments the applicant wishes to make on the enclosed information must be received by the date given above. 18 The schedule to the Letter relevantly included the following (emphasis added): … Post's experience with returnees from Australia is that persons are arrested by the Sri Lanka Police Service Criminal Investigation Department (CID) after being processed back into Sri Lanka by the Department of Immigration and Emigration. They are held in police custody at the CID Airport Office throughout the investigation period, which can last up to 24 hours under relevant legislation. They are then produced before a magistrate and the Magistrate's Court will determine whether the person is to be released on bail, to appear before the court at a later date, or is remanded into custody. If a person needs to be held for more than 24 hours as a result of a Magistrates Court not sitting, such as when a person arrives during a weekend or public holiday, arrested persons are transferred to the nearby Negombo Prison (Remand Section) until the Magistrates Court is in session. We understand the current process for bail is that all persons are granted bail based on personal recognisance (on their own responsibility), with the requirement for a family member to stand as a guarantor. There is no payment required for bail. However, we note that the court may decide not to grant bail if the returnee is found to be a facilitator/organiser of people smuggling, or the court may grant specific bail conditions if the person is a repeat offender. … 19 On 14 May 2013, the lawyers representing the appellant responded in detail to the letter of 1 May 2013, including to the country information cited. Despite its length (9 pages), and its specific reference to the DFAT report, nowhere did it raise as an issue the question of whether the appellant would find it difficult to secure release from prison with the assistance of a family member standing as guarantor. 20 On 9 September 2013, the Tribunal affirmed the decision of the Delegate, refusing the grant of the Visa. 21 In its decision, the Tribunal considered and rejected the factual basis for almost all of the appellant's claims on credit grounds. The factual matters relevant to the current proposed ground of appeal are set out below. 22 The appellant claimed that in 2006 his mother had arranged for a people smuggler to help him leave Sri Lanka and flee to Malaysia. He remained in Malaysia illegally for two years until he was found by the authorities and deported back to Sri Lanka in 2008. The Tribunal appears to have accepted as a fact that he went to Malaysia and returned at the times claimed. It made no specific findings about whether the appellant had illegally left for Malaysia in 2006. 23 The appellant also relevantly claimed that he left Sri Lanka illegally to come to Australia in 2012. He claimed that he would be arrested and held upon his return because he is a Tamil who is imputed with dissident or pro-LTTE political views by reason of his attempt to gain protection in other nations. The Tribunal considered whether the risk to the appellant provided a basis for a well-founded fear of persecution. In doing so, the Tribunal drew attention to the following aspects of the country information available to it. 24 First, that the appellant did not fall within one of the seven classes of people whom the United Nations High Commissioner for Refugees identified as being in possible need of international protection, those people being; persons suspected of certain links with the LTTE, certain opposition politicians and political activists, certain journalists and other media professionals, certain human rights activists, certain witnesses of human rights violations and victims of human rights violation seeking justice, women and children in certain circumstances, and lesbian, gay, bisexual, transgender and intersex individuals in certain circumstances. 25 Secondly (at [64]), the content of the 4 March 2013 DFAT report which was quoted in the schedule to the Letter (see [18] above). 26 Thirdly, that upon arrival in Sri Lanka: 125. … returnees will be interviewed at the airport to establish identity and as soon as possible brought before a magistrate in relation to departing the country illegally. 126. Depending on the day on which the returnee arrives at the airport in Colombo, that person may be briefly detained in remand before being brought to the court. In the Tribunal's view, country information indicates that for departing the country illegally, the returnee will be granted bail and will, eventually, receive a fine. … 128. The Tribunal acknowledges that, according to DFAT, penalties for illegal departure can be a fine and a prison sentence. However, the Tribunal considers on the basis of the country information set out above, prison sentences are more likely to be imposed on those involved in people smuggling as it appears that it is the people organising those ventures who the government is really concerned about. … 132. However, on the information before it about this issue, the Tribunal is satisfied that, while the government has, from November 2012, begun charging people for offences relating to illegal departure, the risk of any Tamil returnee, who unsuccessfully sought asylum abroad, being given a jail sentence for their illegal departure is remote. The Tribunal is satisfied that a fine is the most likely outcome and the imposition of a fine within the range of amounts set out above in country information (or what appears to be the lesser range actually being handed out by magistrates on those who attempt to leave illegally) does not amount to serious harm. 133. Accordingly, the Tribunal considers that the risk of a Tamil suffering harm in Sri Lanka as a returnee after seeking asylum abroad and leaving the country illegally (and suffering harm solely due to those factors) is remote. … 171. The Tribunal finds the possibility of the applicant being held in remand briefly before being brought before a magistrate does not equate with a real risk of suffering significant harm (as defined in the Act). 27 The conclusions at [125], [126] and [171], quoted above, are particularly relied upon by the appellant.
3.3 The decision of the FCCA 28 The appellant appealed from the decision of the Tribunal on 7 October 2013 and filed an amended application in that Court on 29 January 2014. He was represented by counsel. The grounds relied upon in that Court were extensive and, in a lengthy and careful decision, the learned primary judge rejected each of those grounds on 17 March 2016. 29 It is not necessary for present purposes to address the details of the decision, or the grounds raised below, because, as I have noted above, the present notice of appeal raises a single ground which was not advanced or considered below.
4.1 The submissions 30 The appellant advances on appeal a ground not considered by the primary judge. He submits that he should be permitted to do so primarily because the new ground has merit. The point raised by the ground, the applicant submits, arises from a decision of Griffiths J in Minister for Immigration and Border Protection v SZTQS [2015] FCA 1069 (SZTQS) which was decided after the hearing was conducted before the primary judge, but before the decision was handed down. The point was not raised prior to the decision because, apparently, the solicitors representing the appellant did not identify it. The current legal representatives have done so. However, no effective remedy is available against the solicitors who formerly acted for the appellant, in light of the relief now sought, namely that the appellant not be returned to Sri Lanka. 31 The substantive basis for the proposed ground as put by the appellant on appeal can be summarised as follows. 32 After the hearing on 19 March 2013, the Tribunal wrote the Letter which enclosed new country information. The Letter invited the appellant to comment on or respond to the information that was enclosed. That information is the emphasised portion of the Letter set out in [18] above. 33 At [126] of its reasons the Tribunal said: Depending on the day on which the returnee arrives at the airport in Colombo, that person may be briefly detained in remand before being brought to the court. In the Tribunal's view, country information indicates that for departing the country illegally, the returnee will be granted bail and will, eventually, receive a fine. 34 The appellant submits that this passage amounted to a conclusion on the part of the Tribunal that adopted the country information description as to the bail process. As counsel put it, in this passage the Tribunal expressly adopted the DFAT country information. Counsel submitted that this meant that implicitly the issue of whether or not a family member would provide surety had been a critical issue because of the finding that the duration of the detention would be brief. 35 The appellant submitted that the Tribunal did not raise the question of the bail process prior to or during the hearing. The country information quoted above was supplied by way of a letter that was sent after the hearing. That was inadequate to address the issue. Subsection 425(1) requires that the Tribunal invite the applicant to appear before it to address issues arising in relation to the decision under review. It had not done so. It was beside the point that the Tribunal had raised the issue in the Letter, which was sent after the hearing, or that the appellant's legal representatives had responded in full to that letter in written submissions. The reasoning of Griffiths J in in SZTQS at [43], [52] and the reasoning of a judge of the Federal Circuit Court in SZTPL v Minister for Immigration and Border Protection [2016] FCCA 361 at [69] supported the proposition that by providing the Letter and additional country information to the appellant, the Tribunal had raised an issue in respect of which, by virtue of subs 425(1), the appellant was entitled to appear and be heard. 36 In support of its contentions, the appellant relied on a number of authorities including; SAAP v Minister for Immigration and Multicultural and Indigenous Affairs (2005) 228 CLR 294 at [82], [83] (per McHugh J); WACO v Minister for Immigration and Multicultural and Indigenous Affairs (2003) 131 FCR 511 at [55]; and Minister for Immigration and Citizenship v SZIZO (2009) 238 CLR 627 at [29], [34]. Counsel for the appellant also submitted that the force of these authorities was such that a decision maker could be considered to have not complied with subs 425(1) by providing notice of an issue after a hearing had been conducted. The only available course according to the authorities would be for the Tribunal to conduct a further hearing on the issue raised; SZHKA v Minister for Immigration and Citizenship (2008) 172 FCR 1 at [57], [72], [100], [101] and [103]. 37 The Minister contests the grant of leave to advance the new ground of appeal. He submits that the proposed ground thwarts the appellate role of this Court by requiring it to consider as if at first instance, a ground not heard below, citing AAM15 v Minister for Immigration and Border Protection (2015) 231 FCR 452 (AAM15) at [14]; SZUGL v Minister for Immigration and Border Protection [2015] FCA 868 at [18] (SZUGL). He also submits that the proposed ground has no merit and contests the legal and factual analysis advanced by the appellant.
4.2.1 Leave to appeal 38 Normally a party is bound by the way in which a case is conducted at first instance. In University of Wollongong v Metwally (No 2) [1985] HCA 28; (1985) 59 ALJR 481 at [7], Gibbs CJ, Mason, Wilson, Brennan, Deane and Dawson JJ observed: It is elementary that a party is bound by the conduct of his case. Except in the most exceptional circumstances, it would be contrary to all principle to allow a party, after a case had been decided against him, to raise a new argument which, whether deliberately or by inadvertence, he failed to put during the hearing when he had an opportunity to do so. 39 Similarly, in Coulton v Holcombe (1986) 162 CLR 1 at 7, Gibbs CJ, Wilson, Brennan and Dawson JJ observed: … It is fundamental to the due administration of justice that the substantial issues between the parties are ordinarily settled at the trial. If it were not so the main arena for the settlement of disputes would move from the court of first instance to the appellate court, tending to reduce the proceedings in the former court to little more than a preliminary skirmish. … 40 Section 476 of the Act confers upon the FCCA the same original jurisdiction in migration decisions as is conferred on the High Court by paragraph 75(v) of the Constitution. By s 476A, the original jurisdiction of this Court is expressly limited, and can be exercised "if and only if" certain statutory criteria are met. This Court's appellate jurisdiction is conferred by subs 24(1) of the Federal Court of Australia Act 1976 (Cth). 41 In this context, Buchanan J in SZUGL said (at [18]): … it must also be borne in mind that the proceeding in this Court is an appeal from the judgment of the FCCA. This Court does not sit at first instance to review decisions of the RRT; Parliament has directed that it may not do so (s 476A of the Migration Act 1958 (Cth)). The primary role of this Court, therefore, is to examine whether appealable error was made by the FCCA, rather than to perform "the trial court's entire function" (see AAM15 v Minister for Immigration and Border Protection [2015] FCA 804 at [14]). 42 Notwithstanding this general proposition, the Court is given a discretion to permit a new argument on appeal; Iyer v Minister for Immigration and Multicultural Affairs (2001) 192 ALR 71 at [25]. 43 One factor to be taken into account, when exercising that discretion, and a factor which will normally preclude a new argument being raised for the first time on appeal, is the prospect that the new argument would have been met by evidence if raised earlier: see, for example, Water Board v Moustakas (1988) 180 CLR 491 at 496-497 per Mason CJ, Wilson, Brennan and Dawson JJ. 44 In Branir Pty Ltd v Owston Nominees (No 2) Pty Ltd (2001) 117 FCR 424, Allsop J (as his Honour was then), set forth further consideration as follows (emphasis in original): 37. It is beyond question that if a new matter is raised and evidence could have been given which by any possibility could have prevented the point from succeeding, the point cannot be taken… 38. However, to say as much does not exhaust the description of the considerations for an appellate court when faced with a party raising a fresh point. First, the finality of litigation and the importance of parties being bound to the cases they make at trial should never be overlooked… Secondly, the difficulty of the party against whom the new point is raised reaching back in time to assess, necessarily hypothetically, how the conduct of the trial would, or may, have been different should not be underestimated. Such judgments or assessments can require re-agitation or reconsideration of decisions taken before and at trial (which may be privileged) and which can be very difficult to assess and articulate after the event. The entitlement of a party to the benefit of the opportunity of informed and reasonably contemporaneous assessment of relevant evidence, or inquiry, should be respected. Thirdly, the potential unfairness on counsel conducting an appeal who will be expected to assist the court in respect of the prejudice, or lack of it, to his or her client in the face of such matters being raised should not lightly be brushed aside. Even when counsel cannot positively say that something in particular would have been done differently, that does not mean that the court will be satisfied of a lack of prejudice. The possibility of evidence or the possibility that the hearing would have taken a different course, if not fanciful, may well suffice to deny raising of the new point. These considerations should not be seen as not requiring counsel frankly and candidly to say that the trial would not have been conducted differently if he or she is of that view. Fourthly, and in conclusion, before any new point be allowed, the court should be able to be satisfied that the raising of it could work no injustice on the other party and is otherwise in the interests of justice. The extent of the consideration of "the interests of justice" was discussed by Branson J and Katz J in H v Minister for Immigration and Multicultural Affairs, supra, at [8]. 45 In VUAX v Minister for Immigration & Multicultural & Indigenous Affairs (2004) 238 FCR 588, Kiefel, Weinberg and Stone JJ said: 46. … Leave to argue a ground of appeal not raised before the primary judge should only be granted if it is expedient in the interests of justice to do so: O'Brien v Komesaroff (1982) 150 CLR 310; H v Minister for Immigration & Multicultural Affairs; and Branir Pty Ltd v Owston Nominees (No 2) Pty Ltd (2001) (2001) 117 FCR 424 at [22]-[24] and [38]. … 48. The practice of raising arguments for the first time before the Full Court has been particularly prevalent in appeals relating to migration matters. The Court may grant leave if some point that was not taken below, but which clearly has merit, is advanced, and there is no real prejudice to the respondent in permitting it to be agitated. Where, however, there is no adequate explanation for the failure to take the point, and it seems to be of doubtful merit, leave should generally be refused. ... 46 In SZQBN v Minister for Immigration and Border Protection (2014) 226 FCR 68 (SZQBN), Flick J referred to a number of the decisions mentioned above and added as follows: 55. The expression "the interests of justice" is undoubtedly a useful touchstone; but its recitation is sometimes more the expression of a conclusion than a reason. It is necessarily an expression which must remain flexible in content to accommodate the infinite variety of cases and circumstances in which appeals are conducted. There may well be different considerations as to what may be relevant to an assessment as to "the interests of justice" in private litigation as opposed to public law matters. Thus, for instance, it has long been recognised that there is a legitimate interest in public law matters being resolved in a timely and efficient manner: Iyer v Minister for Immigration and Multicultural Affairs [2001] FCA 929 at [62], (2001) 192 ALR 71 at 86 per Gyles J. There is thus a legitimate public interest in the timely disposal of applications for protection visas: cf. SZKMS v Minister for Immigration and Citizenship [2008] FCA 499 at [30] per Lander J. There may also be a legitimate public interest and, accordingly in "the interests of justice", to permit new arguments to be raised on appeal which expose excesses of statutory power by public officials. The "serious consequences that may attend a wrongful refusal of a protection visa" is also relevant to an assessment as to "the interests of justice": cf. SZEPN v Minister for Immigration and Multicultural Affairs [2006] FCA 886 at [16] per Branson J. Regrettably it is seldom the case that all of the relevant considerations point in one direction or the other as to the manner in which the discretion is to be exercised. 56. One factor which remains constant, however, in the exercise of the discretion is an assessment as to whether the new argument has any merit.
4.2.2 Subsection 425(1) 47 Subsection 425(1) of the Act provides: The Tribunal must invite the applicant to appear before the Tribunal to give evidence and present arguments relating to the issues arising in relation to the decision under review. 48 In SZBEL v Minister for Immigration and Multicultural and Indigenous Affairs (2006) 228 CLR 152 (SZBEL), the Court (Gleeson CJ, Kirby, Hayne, Callinan and Heydon JJ) approved the following statement by the Full Court in Commissioner for Australian Capital Territory Revenue v Alphaone Pty Ltd (1994) 49 FCR 576 at 590-591 (SZBEL at [32]): It is a fundamental principle that where the rules of procedural fairness apply to a decision-making process, the party liable to be directly affected by the decision is to be given the opportunity of being heard. That would ordinarily require the party affected to be given the opportunity of ascertaining the relevant issues and to be informed of the nature and content of adverse material. 49 In SZBEL the Court noted that the issues will not be sufficiently identified in every case by describing them simply as whether the applicant is entitled to a protection visa. The statutory language "arising in relation to the decision under review" is more particular. The issues arising in relation to a decision under review are to be identified (citations omitted): 34. … having regard not only to the fact that the Tribunal may exercise all the powers and discretions conferred by the Act on the original decision-maker (here, the Minister's Delegate), but also to the fact that the Tribunal is to review that particular decision, for which the decision-maker will have given reasons. 35. The Tribunal is not confined to whatever may have been the issues that the delegate considered. The issues that arise in relation to the decision are to be identified by the Tribunal… the applicant is entitled to assume that the issues the delegate considered dispositive are "the issues arising in relation to the decision under review"… unless some other additional issues are identified by the Tribunal (as they may be)… 50 The obligation is accordingly met when the decision-maker identifies the relevant issue or if the issue has arisen before the Delegate. 51 The question of the application of subs 425(1) was raised in SZTQS. That case was considered by the Full Court in SZTAP v Minister for Immigration and Border Protection (2015) 238 FCR 404 (SZTAP). In SZTAP the appellant submitted that the Tribunal, having found that bail in Sri Lanka is routinely given on the accused's own recognisance although a family member is also required to give surety, failed to consider the prospect that the appellant would be confined to prison for a prolonged period if bail was not granted to him. There was no consideration by the Tribunal of whether surety would be provided or if money were required, whether it could be paid. 52 Justices Robertson and Kerr found (Logan J concurring) that, "at a general level of abstraction" (at [75]) there was a similarity between SZTQS and the case before it, in that in both cases the Tribunal noted that bail is routinely given upon a family member providing surety. In both cases, the Tribunal did not specifically put to the appellant an issue as to whether there was in fact a family member who would provide that surety. 53 However, in SZTAP the Full Court distinguished SZTQS: 77. SZTQS is but an application, on particular facts, of a feature of the review jurisdiction exercised by the Tribunal under the Act, described in SZBEL. It is not necessary to consider whether or not SZTQS was correctly decided. Rather, the pertinent feature highlighted by SZBEL is that, in each instance, the Tribunal exercises a review jurisdiction in respect of a particular decision in respect of which the Minister (or a delegate) will have given particular reasons. In our opinion, SZTQS was, of necessity, fact specific.
SZTIS
Minister for Immigration and Border Protection
[1985] HCA 28
(2015) 231 FCR 452
(2001) 117 FCR 424
(1994) 49 FCR 576
(1986) 162 CLR 1
(2001) 192 ALR 71
(2009) 238 CLR 627
(2009) 238 CLR 489
(2005) 228 CLR 294
(2006) 228 CLR 152
(2008) 172 FCR 1
(2015) 238 FCR 404
(1985) 59 ALJR 481
(2004) 238 FCR 588
(2003) 131 FCR 511
(1988) 180 CLR 491
(1982) 150 CLR 310
(2014) 226 FCR 68