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1 Procedural Due Process under the Australian Constitution WILL BATEMAN Abstract Early attempts to establish a constitutional procedural due process principle have relied upon the separation of judicial power and operated within the doctrinal framework provided by R v Kirby; Ex parte Boilermakers Society of Australia. 1 Such attempts focused on developing a concept of judicial power that included a minimum standard of procedural fairness. Although this conception was adopted by several members of the High Court in the 1990s, notably Gaudron J, it has failed to gain significant doctrinal traction, and the status of procedural due process principles under the Commonwealth Constitution remains unsettled. In this article I review the position of the current approach and assess the effect of certain seminal cases, particularly Nicholas v The Queen and Thomas v Mowbray, 2 on the development of a procedural due process principle. After concluding that the current doctrine is attended by fatal difficulties, I investigate an alternative constitutional grounding for procedural due process based on another limb of Chapter III case law, focusing on Forge v Australian Securities and Investments Commission. 3 The proposed principle is accompanied by an interpretative framework for its application, that is developed by analogy with the High Court s trial by jury jurisprudence. 1. Introduction It is trite law to say that Chapter III of the Constitution imposes restrictions on the ability of the legislature fundamentally to alter the character, functions and powers of the various courts capable of being invested with Commonwealth judicial power. The outer limits, and conceptual underpinnings, of such restrictions are, however, strongly in dispute. One of the most fraught topics of dispute is the status of due process limitations under Chapter III of the Constitution. Writing extracurially in 2001 McHugh J foreshadowed the extent of this dispute. His Honour queried: 1 BA/LLB(Hons) (ANU). I would like to thank Fiona Wheeler and James Stellios for their comments on an earlier draft of this article. All errors, omissions and opinions are, of course, mine alone. 1 (1956) 94 CLR 254 ( Boilermakers ). 2 Nicholas v The Queen (1998) 193 CLR 173 ( Nicholas ); Thomas v Mowbray (2007) 233 CLR 307 ( Thomas ). 3 (2006) 228 CLR 45 ( Forge ).
2 412 SYDNEY LAW REVIEW [VOL 31: 411 What of such procedural matters as discovery and interrogatories, the obtaining of particulars and the issuing of subpoenas? What of matters that straddle the borders of substance and procedure such as the right to a fair trial, the presumption of innocence, the right of an accused to refuse to give evidence, the onus and standard of proof in civil and criminal cases and the use of deeming provisions and presumptions of fact? Can the parliament abolish or change these rights and matters? Would legislation purporting to do so be an invalid attempt by parliament to dictate and control the manner of exercising the judicial power of the Commonwealth? 4 McHugh J concluded that passage by observing that, [g]iven statements made in cases decided in the last 15 years, the power of parliament to affect these procedural and quasi-substantive matters in significant ways is open to serious doubt. 5 This article investigates the doubt mooted by McHugh J by inquiring into the development of procedural due process standards under the Constitution, particularly in regard to federal courts. Part 2 begins by reviewing the historical development and contemporary expression of the due process principle focusing on the gradual inclusion of due process principles within the constitutional definition of judicial power. The currently accepted doctrinal basis for a procedural due process principle is a statement made in Chu Kheng Lim v Minister for Immigration, Local Government and Ethnic Affairs 6 a law that requires or authorizes the courts in which the judicial power of the Commonwealth is exclusively vested to exercise judicial power in a manner which is inconsistent with the essential character of a court or with the nature of judicial power is invalid. 7 This principle turns on definitions of judicial power, and thus operates within the framework established in Boilermakers. In an effort to tease out the doctrinal implications of connecting due process principles and judicial power, Part 2 examines the interface between the Lim principle and the separation of powers doctrine as expressed in Boilermakers. 8 Part 3 analyses current due process principles in application. This analysis focuses on the impact of Nicholas on the High Court s due process jurisprudence. 9 It is argued that a number of statements made in Nicholas severely undercut the strength of the principle expressed in Lim and, thus, the efficacy of premising a due process principle on judicial power. Most damaging is the suggestion that procedural laws, like the rules of evidence, do not impair the end and purpose of the exercise of judicial power. 10 The effect of Nicholas s truncation of due 4 Michael McHugh, Does Chapter III of the Constitution Protect Substantive as well as Procedural Rights? (2001) 21 Australian Bar Review 235, Ibid. 6 (1992) 176 CLR 1 ( Lim ). 7 Lim (1992) 176 CLR 1, 27 (Brennan, Deane and Dawson JJ). For convenience, this principle shall be referred to as the Lim principle. See the reliance on this principle in, eg, Nicholas (1998) 193 CLR 173; Campbells Cash and Carry Pty Ltd v Fostif Pty Ltd (2006) 229 CLR 386; Thomas (2007) 233 CLR Boilermakers (1956) 94 CLR Nicholas (1998) 193 CLR Nicholas (1998) 193 CLR 173, 189 (Brennan CJ).
3 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 413 process principles can be seen in its application by lower courts presented with due process issues. 11 Later cases, namely Bass v Permanent Trustee Co Ltd 12 and Thomas, signalled a possible revival of the principle expressed in Lim; however, they do not overcome the substance of the difficulties raised by Nicholas. Part 3 concludes by observing that, as the case law currently stands, an attempt to establish a due process principle premised on infringements or usurpations of judicial power is attended by virtually insurmountable obstacles. Part 4 moves away from the doctrinal analysis undertaken in Parts 2 and 3 and investigates the theoretical difficulties of relying on definitions of judicial power, and the Boilermakers doctrine, to secure due process standards. The analytical probity of including purely procedural standards, like cross-examination or service of originating processes, within a definition of judicial power is critiqued. Similarly, the role of history in determining the key components of judicial power is examined in order to demonstrate the obstacles that lie in the path of a due process principle that operates within the Boilermakers doctrine. At base, the objection to conceiving of a due process principle under the rubric of judicial power is that the allocation of powers among the various arms of government, enforced by Boilermakers, is an ill-suited framework for the protection of due process standards. Part 5 offers a response to the various problems identified in the current doctrinal approach to due process by proposing an alternative constitutional basis for a due process principle. The proposed principle is an implication, drawn from the text of Chapter III, that focuses on the procedural characteristics of courts and builds upon a line of cases that are directed towards maintaining the institutional integrity of courts. 13 The proposed principle is accompanied by an interpretative framework for its application, that addresses the concerns that dogged the Lim principle. 2. The Separation of Powers and Procedural Due Process It is settled law that [s]ections 1, 61 and 71 read with the general provisions of Chapter III of the Constitution establish the separation of powers doctrine. 14 Boilermakers decided that two consequences flow from the Constitution s 11 See, eg, Oguzhan v Minister for Immigration and Multicultural Affairs (2000) 99 FCR 285 ( Oguzhan ); R v Granger (2004) 88 SASR 453 ( Granger ); Commissioner of Taxation v Price [2006] 2 Qd R 316 ( Price ); Elbe Shipping SA v Giant Marine Shipping SA (2007) 159 FCR 518 ( Elbe ); Lodhi v The Queen (2007) 179 A Crim R 470 ( Lodhi ). 12 (1999) 198 CLR 334 ( Bass ). 13 Kable v Director of Public Prosecutions (NSW) (1996) 189 CLR 51 ( Kable ); North Australian Aboriginal Legal Aid Service Inc v Bradley (2004) 218 CLR 146 ( Bradley ); Fardon v A-G (Qld) (2004) 223 CLR 575 ( Fardon ); Forge (2006) 228 CLR Fiona Wheeler, Due Process, Judicial Power and Chapter III in the New High Court (2004) 32 Federal Law Review 205, 207; see also Wendy Lacey, Inherent Jurisdiction, Judicial Power and Implied Guarantees Under Chapter III of the Constitution (2003) 31 Federal Law Review 57, 62 3; Boilermakers (1956) 94 CLR 254, (Dixon CJ, McTiernan, Fullagar and Kitto JJ); Lim (1992) 176 CLR 1, 26 (Brennan, Deane and Dawson JJ).
4 414 SYDNEY LAW REVIEW [VOL 31: 411 exclusive vesting of judicial power in Chapter III courts. Parliament cannot confer: Commonwealth judicial power on a body that is not a court within the meaning of s 71; 16 or 2. Non-judicial power on a Chapter III court, nor a court exercising federal jurisdiction. 17 Notably, both limbs of the separation doctrine have, at their core, the notion of federal judicial power. 18 As such, the vast majority of case law touching on the separation doctrine has concerned attempts to define the central characteristics of judicial power. 19 Courts subsequently interpreting the phrase judicial power have remained dutiful to Boilermakers s command not to confine the concept of judicial power in any narrow or pedantic manner, 20 and have fixed upon a flexible definition capable of adaptation to various legislative policy initiatives. 21 Several key, although non-exhaustive, 22 indicia have emerged as indicative of judicial power: 23 the final and conclusive determination of a dispute; 24 the determination of past rights and liabilities as opposed to the creation of new rights; 25 the determination of questions according to precise and definite legal standards; 26 and the power to issue binding and enforceable decisions. 27 As such, statutory provisions challenged as contrary to the separation doctrine have generally been part of legislative attempts to invest non-judicial bodies, or officials, with certain judicial powers, 28 or to invest judicial officers with administrative powers in their official, 29 or personal, 30 capacity. Hence, for the 15 Lacey, above n 14, 62; Wheeler, above n 14, Boilermakers (1956) 94 CLR 254, (Dixon CJ, McTiernan, Fullagar and Kitto JJ). 17 Boilermakers (1956) 94 CLR 254, (Dixon CJ, McTiernan, Fullagar and Kitto JJ), unless it is incidental to the exercise of Commonwealth judicial power. 18 See Peter Gerangelos, Decisional Independence of Chapter III Courts and Constitutional Limitations on Legislative Power: Notes from the United States (2005) 33 Federal Law Review 389, See, eg, Albarran v Companies Auditors and Liquidators Disciplinary Board (2007) 231 CLR 350; Visnic v Australian Securities and Investments Commission (2007) 231 CLR 381; A-G (Cth) v Alinta Ltd (2008) 233 CLR 542 ( Alinta ). 20 Boilermakers (1956) 94 CLR 254, 278 (Dixon CJ, McTiernan, Fullagar and Kitto JJ). 21 Alinta (2008) 233 CLR 542, 561 (Kirby J). 22 Precision Data Holdings Ltd v Willis (1991) 173 CLR 167 ( Precision ), Deriving from the early expression of the concept by Griffith CJ in Huddart Parker & Co Pty Ltd v Moorehead (1909) 8 CLR 330, Shell Co of Australia Ltd v Federal Commissioner of Taxation (1930) 44 CLR Boilermakers (1956) 94 CLR 254, (Dixon CJ, McTiernan, Fullagar and Kitto JJ). 26 Precision (1991) 173 CLR 167, 189; Thomas (2007) 233 CLR 307, (Gummow and Crennan JJ). 27 Brandy v Human Rights and Equal Opportunity Commission (1995) 183 CLR New South Wales v Commonwealth (1915) 20 CLR 54; Precision (1991) 173 CLR 167; Al- Kateb v Godwin (2004) 219 CLR Yanner v Minister for Aboriginal and Torres Strait Islander Affairs (2001) 108 FCR Grollo v Palmer (1995) 184 CLR 348; Wilson v Minister for Aboriginal and Torres Strait Islander Affairs (1996) 189 CLR 1 ( Wilson ).
5 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 415 most part, the separation doctrine has been analysed and developed in the context of challenges to certain powers allocated to institutions and officers of the various arms of government an allocation of power function. This allocation function focuses on the nature and subject matter of determinations made 31 in execution of a certain power the processes followed prior to exercising those powers do not occupy a position of primacy. 32 Before moving on, there are several definitional matters that should be addressed. First, I am concerned with procedural, as opposed to substantive, due process principles. Constitutional principles that touch on substantive due process, such as prohibitions on the unequal application of federal laws, 33 fall outside the scope of this article. In this context, the term procedural is intended to refer to the processes followed by courts in resolving disputes. Second, as Wheeler has noted, when the term due process is employed in respect of Chapter III no analogy with US due process jurisprudence is intended. 34 The Australian Constitution contains no express guarantee of due process analogous to the Fifth and Fourteenth Amendments to the US Constitution. 35 A consequence of this contrasting constitutional arrangement is that Australian due process principles have developed primarily within the confines of the separation doctrine, and its focus on the key characteristics of judicial power. Hence, under the Australian Constitution due process principles apply most appropriately to judicial bodies, whereas the obligation to accord due process in the US context applies to both executive and judicial bodies. 36 Third, under the Australian Constitution the search for a due process principle in the terms does the impugned law undermine due process? is unrealistic. Such a search should be directed towards implications drawn from the text and structure of the Constitution. 37 A. The Content of a Due Process Principle The requirements of natural justice are often cited as a primary source of procedural due process standards. 38 These requirements are predominantly procedural in nature and, although flexible, are generally satisfied by a fair 31 Nicholas (1998) 193 CLR 173, 208 (Gaudron J). 32 I am much indebted to Parker for her development of the subject matter and process terminology: Christine Parker, Protection of Judicial Process as an Implied Constitutional Principle (1994) 16 Adelaide Law Review Leeth v Commonwealth (1992) 174 CLR 455 ( Leeth ); Kruger v Commonwealth (1997) 190 CLR 1; Cameron v The Queen (2002) 209 CLR 339; Putland v The Queen (2004) 218 CLR 174; McHugh, above n 4, Wheeler, above n 14, George Winterton, The Separation of Powers as an Implied Bill of Rights in Geoffrey Lindell (ed), Future Directions in Australian Constitutional Law: Essays in Honour of Professor Leslie Zines (1994) 185, 204 5; Michael Mathieson, Section 117 of the Constitution: the Unfinished Rehabilitation (1999) 27 Federal Law Review 393, Erwin Chemerinsky, Constitutional Law: Principles and Policies (2 nd ed, 2002) ch 7; Gilbert v Homar, 520 US 924 (1997). 37 McGinty v Western Australia (1996) 186 CLR 140, (McHugh J).
6 416 SYDNEY LAW REVIEW [VOL 31: 411 hearing and lack of bias. 39 As such, certain procedural features of the curial process personal service of originating processes, 40 cross-examination, 41 the leading of evidence, 42 a public hearing, 43 legal representation, 44 and an absence of bias 45 may be expressions of natural justice. As Gaudron J has commented, the requirement that a trial be fair is not one that impinges on the substantive law governing the matter in issue but, rather, on evidentiary and procedural rules. 46 Thus, although apparently self-evident, a procedural due process principle that gives effect to standards of natural justice should provide a minimum standard of protection to certain purely procedural features of the curial process. The allocation function analysis flowing from Boilermakers, with its focus on subject-matter attributes, is largely unconcerned with these procedural facets of the judicial process. B. Boilermakers and Due Process That is not to say that the allocation function of Boilermakers provides no protection to due process principles. The allocation of powers among the arms of government may have the consequential benefit of ensuring that certain governmental powers are exercised in accordance with existing due process standards. It is in this respect that Keyzer refers to the exclusive power of judicial bodies to judge and punish criminal guilt as a mechanism for ensuring due process. 47 Another allocation function limitation with due process ramifications was identified in Polyukhovich v Commonwealth. 48 There, the Court held that a statute rendering named individuals guilty of a crime would involve the legislature invalidly exercising the subject-matter judicial power to judge criminal guilt a legislative judgment limitation. 49 The difficulty, however, with relying on the allocation function of Boilermakers to safeguard due process principles is that it 38 Wheeler, above n 14, 205, 211; Fiona Wheeler, The Doctrine of Separation of Powers and Constitutionally Entrenched Due Process in Australia (1997) 23 Monash University Law Review 248, ; Leslie Zines, The High Court and the Constitution (5 th ed, 2008) Re Minister for Immigration and Multicultural Affairs; Ex parte Lam (2003) 214 CLR 1, 34 (McHugh and Gummow JJ); Peter Cane and Leighton McDonald, Principles of Administrative Law: Legal Regulation of Governance (2008) Pino v Prosser [1967] VR Barrier Reef Broadcasting Pty Ltd v Minister for Post and Telecommunications (1978) 19 ALR Beckner v Minister for Immigration, Local Government and Ethnic Affairs (1991) 30 FCR John Fairfax Group Pty Ltd v Local Court of NSW (1991) 26 NSWLR 131; John Fairfax Publications Pty Ltd v District Court of NSW (2004) 61 NSWLR 344; John Fairfax Publications Pty Ltd v Attorney-General (NSW) (2000) 181 ALR 694 ( John Fairfax ). 44 Maksimovich v Walsh (1985) 4 NSWLR 318, 329 (Kirby P). 45 Ebner v Official Trustee in Bankruptcy (2000) 205 CLR 337, (Gaudron J), (Kirby J). 46 Dietrich v The Queen (1992) 177 CLR 292, Patrick Keyzer, Preserving Due Process or Warehousing the Undesirables: To What End the Separation of Judicial Power of the Commonwealth? (2008) 30 Sydney Law Review 100; Stephen McDonald, Involuntary Detention and the Separation of Judicial Power (2007) 35 Federal Law Review (1991) 172 CLR 501 ( Polyukhovich ).
7 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 417 is silent about the processes that must be followed in exercising a subject-matter power following its allocation to the judiciary. An alternative basis for due process protection might operate beyond the allocation function of Boilermakers. Under such a principle, the inquiry would be directed towards the procedures followed in the exercise of a power that has already been allocated to the judicial branch of government. For example, where the subject matter of a power allocated to the judicial arm is uncontroversially judicial (such as the adjudgment and punishment of criminal guilt ), 50 but the processes followed prior to the exercise of that power breach due process standards (such as a reversal of the onus of proof or a prohibition on cross-examination). C. The Lim Principle The most likely candidate for such a due process principle is found in a statement by Brennan, Deane and Dawson JJ in Lim. 51 Their Honours stated that the legislature could not make a law which requires or authorizes the courts in which the judicial power of the Commonwealth is exclusively vested to exercise judicial power in a manner which is inconsistent with the essential character of a court or with the nature of judicial power. 52 The plaintiffs in Lim challenged a series of provisions that empowered the Commonwealth executive to detain certain unlawful immigrants and prevented any court, including the High Court, from ordering their release. 53 The Court held that Parliament could not prevent a court, including the High Court, from ordering the release of an unlawfully detained immigrant. 54 In the final result, Lim may be considered to be an expression of the allocation function of Boilermakers that the power to determine the validity of imprisonment is exclusively judicial, and, thus, legislation that empowers the executive to exercise such a power constitutes an unconstitutional misallocation of governmental power. The Lim principle appears, however, to operate beyond the allocation function of Boilermakers. Its plain terms assume that the power being exercised is judicial the focus is upon the way that power is exercised. Thus, Wheeler describes the Lim principle as an application of the separation doctrine beyond its traditional operation. 55 The origins of the Lim principle can be traced to Polyukhovich, where Deane, Toohey and Gaudron JJ each acknowledged the due process principle in 49 Polyukhovich v Commonwealth (1991) 172 CLR 501 ( Polyukhovich ), 539 (Mason CJ), (Deane J), (Dawson J), 686 (Toohey J), 706 (Gaudron J), 721 (McHugh J); McHugh, above n 4, Lim (1992) 176 CLR 1, 27 (Brennan, Deane and Dawson JJ). 51 Lim (1992) 176 CLR 1, 27 (Brennan, Deane and Dawson JJ). 52 Lim (1992) 176 CLR 1, 27 (Brennan, Deane and Dawson JJ). 53 Migration Act 1958 (Cth) ss 54L, 54N, 54R. 54 Lim (1992) 176 CLR 1, 35 7 (Brennan, Deane and Dawson JJ), 58 (Gaudron J). 55 Wheeler, The Doctrine of Separation of Powers and Constitutionally Entrenched Due Process in Australia, above n 38, 249.
8 418 SYDNEY LAW REVIEW [VOL 31: 411 similar terms to Lim. 56 Mason, Murphy, Brennan and Deane JJ had alluded to a similar connection between constitutional conceptions of judicial power and due process standards in Fencott v Muller 57 when they stated that [t]he unique and essential function of the judicial power is the quelling of controversies by ascertainment of the facts, by application of the law and by exercise, where appropriate, of judicial discretion. 58 Set against this background, litigants have adopted the Lim principle as the most viable doctrinal expression of a due process principle. 59 The precise interface between the Lim principle and the allocation function of Boilermakers is unclear. It is, however, plain that the Lim principle operates within the rubric of judicial power and, thus, gives expression to a judicial power due process principle. 60 This follows from the self-referentiality of the terms of the Lim principle if the power to be exercised is already considered judicial then it is difficult to see how the manner of its exercise could be contrary to the nature of judicial power unless the judicial power is itself concerned with process principles. 61 To this end, Gaudron J has expounded a definition of judicial power that includes considerations of the judicial process. 62 In this vein, the Lim principle has been trumpeted as capable of providing protection to purely procedural aspects of the judicial process, particularly expressions of natural justice. Spigelman CJ commented that its reference to manner renders the Lim principle capable of covering a broad range of aspects of practice and procedure. 63 Similarly, Zines noted that it is clear that the Lim principle may provide a substantial guarantee of procedural due process, as it may provide considerable protection to principles that relate to fairness or natural justice. 64 D. Due Process and Judicial Power It should, however, be acknowledged that the plain terms of the Lim principle do not necessarily extend beyond the allocation function of Boilermakers if the exercise of judicial power occurs only at the point of judgment, then there is no room for process considerations in the Lim principle. As such, the key phrase 56 Ibid 250 (citing Polyukhovich (1991) 172 CLR 501, 607 (Deane J), 689 (Toohey J), 703 (Gaudron J)). 57 (1983) 152 CLR (1983) 152 CLR 570, See, eg, Nicholas (1998) 193 CLR 173; Campbells Cash and Carry Pty Ltd v Fostif Pty Ltd (2006) 229 CLR 386; Thomas (2007) 233 CLR Wheeler suggests that a judicial power due process principle operates within the second limb of Boilermakers. Thus, an impeachment of process standards may result in the invalid investiture of a non-judicial power in a Chapter III court: Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, The essential characteristics of a court limb of the principle has been largely neglected in favour of the judicial power analysis. 62 Nicholas (1998) 193 CLR 173, John Fairfax (2000) 181 ALR 694, Zines, above n 38, 274.
9 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 419 exercise judicial power in a manner which is inconsistent 65 could be interpreted as concerned solely with limiting the misallocation of subject-matter powers, like the legislative-judgment limitation identified in Polyukhovich. An extension beyond this function is evident only if it is assumed that the phrase exercise of judicial power is inclusive of the processes followed by a judicial body prior to handing down judgment. This assumption, in turn, discloses the central tension in the current approach to procedural due process the extent to which constitutional notions of judicial power incorporate process considerations. Hence, whilst providing a potential hook for due process principles, the Lim principle is sufficiently broad to be interpreted as merely reflecting the allocation function of Boilermakers and, as will be demonstrated below, the Court has been quick to limit it to such a function. Part 3 is directed towards an analysis of the Lim principle in application focusing particularly on the tension between subject matter and process conceptions of judicial power in Nicholas. 3. The Lim Principle Due Process in Application The High Court s most comprehensive examination of the Lim principle took place in Nicholas, where the Court was presented with the argument that Chapter III limited Parliament s ability to affect the judicial discretion to exclude unlawfully obtained evidence. 66 In Nicholas the appellant challenged s 15X of the Crimes Act 1914 (Cth), that directed a court, in deciding whether to exercise its discretion to exclude unlawfully obtained evidence, to disregard the fact that a law enforcement officer committed an offence while collecting evidence against the accused. Section 15X was designed to circumvent Ridgeway v The Queen where the Court held that in circumstances where a court s decision to exercise its discretion to exclude unlawfully obtained evidence led to the prosecution being unable to prove a necessary element of the offence, a permanent stay should be ordered over the proceedings. 67 It was common ground between the parties that s 15X only applied to five individuals whose trials were permanently stayed. 68 The appellant submitted that s 15X was invalid because it infringes or usurps judicial power. 69 Three arguments were advanced in support of this submission. First, that s 15X invalidly direct[s] a court to exercise its 65 Lim (1998) 176 CLR 1, 27 (Brennan, Deane and Dawson JJ) (emphasis added). 66 See Suri Ratnapala, Australian Constitutional Law: Foundations and Theory (2 nd ed, 2007) 171 2; Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, ; Enid Campbell, Rules of Evidence and the Constitution (2000) 26 Monash University Law Review 312, ; Linda J Kirk, Chapter III and Legislative Interference with the Judicial Process: Abebe v Commonwealth and Nicholas v The Queen in Adrienne Stone and George Williams (eds), The High Court at the Crossroads: Essays in Constitutional Law (2000) 119, Ridgeway v The Queen (1995) 184 CLR 19 ( Ridgeway ), (applying Bunning v Cross (1978) 141 CLR 54). 68 Nicholas (1998) 193 CLR 173, 250 (Kirby J). 69 Nicholas (1998) 193 CLR 173, 200 (Toohey J).
10 420 SYDNEY LAW REVIEW [VOL 31: 411 discretionary power in a manner or to produce an outcome which is inconsistent with the essential character of a court or with the nature of judicial power. 70 Second, that s 15X invalidly undermines the integrity of the Court s processes and public confidence in the administration of justice. 71 The first argument was expressly premised on the Lim principle, 72 while the second drew on principles developed in Kable and Wilson. 73 A third argument concerning the ostensibly ad hominem character of the legislation, premised on principles drawn from Liyanage v The Queen, 74 was rejected by all six judges who considered it. 75 By a 5:2 majority the Court held s 15X valid. Stated most broadly, the majority found that s 15X did not displace the court s discretion it merely removed from the trial judge a discrete element in deciding whether to exercise that discretion: the illegality of actions undertaken by law enforcement officials. 76 Thus, the court s discretion and its power to find facts remained undisturbed. McHugh and Kirby JJ dissented on the ground that s 15X forced a court to admit evidence that constituted an abuse of process, resulting in an impermissible intrusion on a court s ability to protect the integrity of its processes and, thereby, maintain public confidence in the administration of justice. 77 A. Difficulties of Terminology The arguments put before the Court in Nicholas were overlapping. 78 Two difficulties flow from this. First, the judgments did not, in all cases, draw sharp distinctions between each argument. 79 Second, it is not immediately apparent which conclusions were premised on the Lim principle, as opposed to a traditional Boilermakers, allocation function, analysis. The conflation of the terms usurpation and infringement is an aggravating factor in this confusion. McHugh J did, however, address the distinction between usurpations and infringements of judicial power. Usurpation occurs when the legislature has exercised judicial power on its own behalf. 80 Such an analysis turns on a subjectmatter conception of judicial power a misallocation of power has occurred by virtue of the legislature exercising the judicial power itself, due to the prejudgment of a case Nicholas (1998) 193 CLR 173, 185 (Brennan CJ). 71 Nicholas (1998) 193 CLR 173, 185 (Brennan CJ). 72 Nicholas (1998) 193 CLR 173, 175 (Brennan CJ). 73 Nicholas (1998) 193 CLR 173, 257 (Kirby J) (citing Wilson (1996) 189 CLR 1, 16 (Brennan CJ, Dawson, Toohey, McHugh and Gummow JJ) and Kable (1996) 189 CLR 51, 98 (Toohey J), (McHugh J)). 74 [1967] 1 AC 259 ( Liyanage ). 75 Nicholas (1998) 193 CLR 173, (Brennan CJ), (Gaudron J), (McHugh J), (Gummow J), (Kirby J), (Hayne J). 76 Lacey, above n 14, Nicholas (1998) 193 CLR 173, 222, (McHugh J), 265 (Kirby J). 78 Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, See, eg, Nicholas (1998) 193 CLR 173, 202 (Toohey J). 80 Nicholas (1998) 193 CLR 173, 220 (McHugh J). 81 Polyukhovich (1991) 172 CLR 501, 536 (Mason CJ); Zines, above n 35,
11 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 421 An infringement occurs when the legislature has interfered with the exercise of judicial power by the courts. 82 An infringement is more likely to flow from the Lim principle due to its concern with infringements on the exercise of judicial power as opposed to the misallocation of power among the branches of government. Thus, rather than the legislature exercising judicial power, it alters the rules of procedure, forcing the judiciary to exercise the judicial power in a manner inconsistent with its nature. 83 The majority, with the exception of Gaudron J, 84 limited its discussion of the Lim principle to usurpations, as opposed to infringements, of judicial power. B. Interpreting Judicial Power In interpreting judicial power the Court in Nicholas split between the processcentric interpretation of Gaudron J and the subject-matter interpretation adopted by Brennan CJ. Brennan CJ began his analysis by addressing the Lim principle as a discrete ground of invalidity, 85 stating that, to exercise judicial power validly, a court must execute the following procedural requirements: the ascertainment of facts, the application of the law and the exercise of judicial discretion. 86 Legislation that directed a court to find that an ultimate fact existed would reduce the judicial function of fact finding to the merest formality and contravene Chapter III. 87 Brennan CJ, thus, focused on the fact finding step in the exercise of judicial power whether s 15X impeded the court s ability to find facts. For Brennan CJ, so long as the legislature was not exercising the judicial power to find facts, there was no affront to constitutional notions of judicial power. Gummow J adopted a similar analysis in respect of the Lim principle, 88 recognising that a law which deemed to exist any ultimate fact, being an element of the offences might well usurp judicial power. 89 Hayne J mooted the possibility that a law so radical and so pointed in [its] application to identified or identifiable cases could be seen, in substance, to deal with ultimate issues of guilt or innocence contrary to Chapter III. 90 In this respect Brennan CJ, Gummow 82 Nicholas (1998) 193 CLR 173, 220 (McHugh J). 83 Peter Gerangelos has analysed Nicholas as part of a broader investigation into Chapter III limitations on Parliament s ability to legislatively interfere in pending cases: see The Separation of Powers and Legislative Interference in Pending Cases (2008) 30 Sydney Law Review 61; The Decisional Independence of Chapter III Courts and Constitutional Limitations on Legislative Power: Notes from the United States (2005) 33 Federal Law Review 391; The Separation of Powers and Legislative Interference with Judicial Functions in Pending Cases (2002) 30 Federal Law Review Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, 187 (Brennan CJ). 87 Nicholas (1998) 193 CLR 173, 190 (Brennan CJ) (considering Williamson v Ah On (1926) 39 CLR 95 ( Williamson ), 108 (Isaacs J) (emphasis added). A similar analysis was adopted by Gaudron, Gummow and Hayne JJ: at (Gaudron J), 236 (Gummow J), 278 (Hayne J). 88 Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, 236 (emphasis added). 90 Nicholas (1998) 193 CLR 173, 278 (emphasis added).
12 422 SYDNEY LAW REVIEW [VOL 31: 411 and Hayne JJ reasoned that a core function of judicial power is the finding of facts and a law which directs a court as to ultimate facts will breach the Lim principle. This analysis of the majority judgments in Nicholas was recently endorsed by Gummow, Hayne, Heydon and Crennan JJ in Commissioner of Taxation v Futuris Corporation Ltd, 91 where their Honours commented that the principles which were considered in Nicholas respect usurpation of the judicial power by deeming to exist an ultimate fact. 92 Significantly, this analysis relies on similar principles to the Polyukhovich legislative-judgment limitation due to its focus on legislative pre-judgment, or direction, of the fact-finding function. As discussed above, the legislativejudgment limitation finds its roots in a traditional Boilermakers analysis, focusing on subject-matter features of judicial power. Hence, this approach indicates a preference for continuing to develop conceptions of judicial power within the allocation function of Boilermakers. Further support for this analysis is found in the discussion by Brennan CJ, Toohey, McHugh and Hayne JJ in Nicholas concerning the interaction between procedural laws and judicial power. C. Procedural Laws, Judicial Power and Due Process Significant to Brennan CJ s analysis was the fact that rules of evidence have traditionally been recognised as being an appropriate subject of statutory prescription, and, thus, [a] law prescribing a rule of evidence does not impair the curial function of finding facts, applying the law or exercising any available discretion in making the judgment or order which is the end and purpose of the exercise of judicial power. 93 In support of this contention, Brennan CJ cited the legislative reforms of the Evidence Act 1843 (Imp) 6 & 7 Vict, c 85 and noted that it would not have occurred to the Imperial Parliament that a legislative power to prescribe rules of evidence might be regarded as a usurpation of judicial power. 94 McHugh J went further and concluded that [n]o constitutional reason exists to prevent the Parliament from altering the common law rules of evidence or the rules of practice and procedure. 95 Toohey and Hayne JJ echoed these sentiments. 96 This reasoning assumes that, as rules of evidence and procedure have historically been created, altered and abrogated by legislation, it is unlikely that Chapter III conceptions of judicial power prevent further legislative prescription of procedural rules (2008) 247 ALR 605 ( Futuris ). 92 Futuris (2008) 247 ALR 605, [65] (Gummow, Kirby, Hayne, Heydon and Crennan JJ). 93 Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, 225 (McHugh J). 96 Nicholas (1998) 193 CLR 173, 202 (Toohey J), (Hayne J). 97 Nicholas (1998) 193 CLR 173, 189 (Brennan CJ), 203 (Toohey J), 225 (McHugh J), (Hayne J).
13 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 423 Brennan CJ enlisted Melbourne Harbour 98 and Williamson 99 in further support of this reasoning. 100 Melbourne Harbour and Williamson concerned the constitutional validity of rebuttable evidentiary presumptions that had the effect of reversing the onus of proof in civil 101 and criminal 102 proceedings. In both cases the Court rejected the argument that a reversed onus of proof usurped judicial power. 103 While Melbourne Harbour and Williamson undoubtedly support the reasoning in Nicholas, they fail to provide a principled ground upon which to exclude process standards from a definition of judicial power. Both cases were decided before Boilermakers and, thus, before a more robust approach to the separation doctrine developed. 104 Notwithstanding these shortcomings, there is no indication that these decisions were incorrectly decided. In an attempt to invalidate a law reversing the criminal onus of proof the Court was asked to overrule Williamson, but declined to do so. 105 Significantly, both cases were argued under the rubric of usurpations the focus being upon whether the legislature was exercising judicial power. Their endorsement in Nicholas further indicates a preference for limiting the analysis of judicial power to its subject-matter qualities. The statements made by Toohey, McHugh and Hayne JJ concerning the relationship between procedural laws and Chapter III indicate that they favoured Brennan CJ s subject-matter conception of judicial power and, with Gummow J s adoption of the ultimate-fact analysis, these judges form an authoritative bloc in favour of a subject-matter conception of judicial power. This approach to the Lim principle ought to be contrasted with that adopted by Gaudron J. D. Judicial Power as Process-Oriented In considering the argument that s 15X interfered with judicial power in contravention of the Lim principle, Gaudron J explicitly adopted a processoriented conception of judicial power, enumerating a number of process characteristics that were required by the Lim principle. Her Honour stated that the legislature could not abrogate equality before the law, impartiality and the appearance of impartiality, the right of a party to meet the case made against him or her, the independent determination 98 (1922) 31 CLR 1 ( Melbourne Harbour ). 99 Williamson (1926) 39 CLR Nicholas (1998) 193 CLR 173, 189; see also 225 (McHugh J). Gummow J (at 237) and Kirby J (at 260) acknowledged these authorities, but noted that simply labelling a law procedural could not immunize it from constitutional challenge. 101 Melbourne Harbour (1922) 31 CLR 1; Customs Act 1901 (Cth) s Williamson (1926) 39 CLR 95; Immigration Act 1901 (Cth) ss 5(3), (3A). 103 Melbourne Harbour (1922) 31 CLR 1, 12 (Knox CJ, Gavan Duffy and Starke JJ), (Isaacs J) 20 (Higgins J); Williamson (1926) 39 CLR 95, (Isaacs J), (Higgins J), 127 (Powers J) 128 (Rich and Starke JJ). 104 This point is made by McHugh, above n 4, Milicevic v Campbell (1975) 132 CLR 307, 317 (Gibbs J), 319 (Mason J); compare 311 (McTiernan ACJ). See generally, Sir Anthony Mason, Comment (2008) 30 Sydney Law Review 95, 96.
14 424 SYDNEY LAW REVIEW [VOL 31: 411 of the matter in controversy by application of the law to facts determined in accordance with rules and procedures which truly permit the facts to be ascertained and, in the case of criminal proceedings, the determination of guilt or innocence by means of a fair trial according to law. 106 This approach expands the definition of judicial power far beyond a subject-matter conception and encompasses the public confidence limitation adopted by McHugh and Kirby JJ. 107 Hence, Gaudron J, in line with her Honour s earlier statements, 108 advocates the development of a process-centric conception of judicial power. 109 Gaudron J s process analysis of judicial power is, however, not without its difficulty. Gaudron J dismissed the appellant s submission that s 15X usurped judicial power by drawing a distinction between specific and ancillary powers the power to admit evidence being an ancillary power and stating that such ancillary powers were not properly identified as judicial power for the purposes of Ch III of the Constitution. 110 Thus, there was no offence caused to the separation doctrine by the Parliament by itself deciding that evidence otherwise excluded by judicial discretion would be admissible in proceedings. 111 It will be recalled that Gaudron J included the resolution of controversies in accordance with rules and procedures which truly permit the facts to be ascertained 112 as one of the process features of judicial power. The rules and procedures to which Gaudron J refers, surely, include those rules that authorise or control the power of a court to admit evidence the same powers that were labelled ancillary and were not properly identified as judicial power for the purposes of Ch III of the Constitution. 113 As such, Gaudron J draws a distinction between ancillary and specific powers in the context of a usurpation argument, while including the power to find facts in accordance with procedural rules in the context of an infringement argument. The problem with this analysis is that both arguments, usurpation and infringement, turn on the meaning of the same words in s 71 of the Constitution judicial power. Thus, Gaudron J s reasons appear to be establishing a definition of judicial power that is process-centric in the context of the Lim principle, but is not in the context of a Boilermakers analysis. 106 Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, 209 (Gaudron J). 108 Wheeler, The Doctrine of the Separation of Powers and Constitutionally Entrenched Due Process in Australia, above n 38, 250 and cases cited at fn Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, Nicholas (1998) 193 CLR 173, Nicholas (1998) 193 CLR 173, 207 (Gaudron J). 112 Nicholas (1998) 193 CLR 173, 208 (emphasis added). 113 Lacey makes a similar point about Gaudron J s treatment of ancillary powers: Lacey, above n 14, 78.
15 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 425 E. Public Confidence in the Administration of Justice McHugh and Kirby JJ shared much common ground in dissent. Both invalidated s 15X on the ground that it forced a court exercising federal jurisdiction to disregard a fact that is critical in exercising a discretion that is necessary to protect the integrity of Ch III courts and to maintain public confidence in the administration of criminal justice. 114 The fact that Ridgeway was directed towards preventing an abuse of process was significant to, if not determinative of, this analysis. 115 Because the criminality of law enforcement officers actions was preserved under the impugned statutory system, the spectacle of the courts being involved in apparently condoning by the judicial process seriously illegal conduct remained. 116 Notably, this analysis was not reliant on the Lim principle. The seminal inquiry for McHugh and Kirby JJ was not whether s 15X directed a court to act contrary to Lim principle notions of judicial power, but, rather, whether s 15X removed the ability of a court to protect its processes from abuse. The overriding concern of the dissenters was not the process features of judicial power but, the maintenance of public confidence in the courts. 117 As such, McHugh and Kirby JJ should not be interpreted as supporting a process conception of judicial power especially given McHugh J s hostility to the suggestion that Chapter III imposes limitations on Parliament s ability to alter procedural rules. Rather, McHugh and Kirby JJ s reasoning expresses a freestanding implication concerned with protecting public confidence in the administration of justice, originating from Kable. 118 Voicing strong opposition to this reasoning, Brennan CJ, Toohey, Gummow and Hayne JJ argued that the voice of the Parliament, not the Court, must declare where the balance of the public interest lies. 119 Subsequent developments of Kable support this approach. In Fardon, Gummow J noted that [p]erception as to the undermining of public confidence is an indicator, but not the touchtone, of invalidity; the touchstone concerns institutional integrity. 120 Thus, despite limited lower court endorsement of McHugh and Kirby JJ, 121 it is unlikely that the public confidence principle their Honours expressed in Nicholas will continue to occupy a prominent position in Chapter III jurisprudence. While commentators laud Nicholas as providing wide support for the emergence of a due process principle, 122 there remains much in the reasons of all 114 Nicholas (1998) 193 CLR 173, 222 (McHugh J), 265 (Kirby J). 115 Nicholas (1998) 193 CLR 173, , 224 (McHugh J), 258 9, (Kirby J). 116 Nicholas (1998) 193 CLR 173, 264 (Kirby J), (McHugh J). 117 Nicholas (1998) 193 CLR 173, 226 (McHugh J), (Kirby J). 118 Nicholas (1998) 193 CLR 173, 220 (McHugh J), (Kirby J). 119 Nicholas (1998) 193 CLR 173, (Brennan CJ), 203 (Toohey J), (Gummow J), 274 (Hayne J). 120 Fardon (2004) 223 CLR 575, 618; see also 593 (Gleeson CJ) see below text accompanying n K-Generation Pty Ltd v Liquor Licensing Court (2007) 99 SASR 58; Gypsy Jokers Motorcycle Club Inc v Commissioner of Police (2007) 33 WAR 245 ( Gypsy Jokers ); Re Criminal Proceeds Confiscation Act 2002 [2004] 1 Qd R 40 ( Re Criminal Proceeds ). 122 Lacey, above n 14, 77; Kirk, above n 66, 140.
16 426 SYDNEY LAW REVIEW [VOL 31: 411 judges to provoke suspicion concerning the extent to which Nicholas supports a due process conception of the Lim principle. The majority s treatment of the Lim principle in the context of usurpations of judicial power rendered there no material difference between that principle and a traditional Boilermakers analysis. 123 Most importantly, Nicholas significantly undermines the Lim principle s role in protecting due process standards from infringement by procedural laws. 124 F. The Lim Principle Post-Nicholas Notwithstanding the difficulty of distilling a ratio from Nicholas, the aspects of the judgment that present the weightiest obstacles to the development of a process conception of judicial power have enjoyed constant restatement and support by lower courts presented with constitutional due process challenges. Most often relied upon is the proposition that the alteration of procedural rules will not constitute an invalid direction to exercise judicial power in a manner inconsistent with the essential characteristics of a court, or with the nature of judicial power. 125 That proposition was relied upon to uphold: a provision that directed a court in a terrorism prosecution to give the greatest regard to issues of national security in deciding whether to issue a certificate of non-disclosure to defence counsel; 126 a provision which prevented certain documents held by a Commonwealth statutory authority from being subject to discovery, subpoena and, in certain circumstances, consideration by a court; 127 and a provision that imposed a time limit on appeals in migration matters. 128 It was also relied upon to determine that a State law that had the effect of forcing a defendant to plead directly against every averment in prosecution pleadings could be picked up, pursuant to s 79 of the Judiciary Act 1903 (Cth), in a federal revenue prosecution, 129 and to uphold a State provision that had the effect of reversing the onus of proof in a criminal prosecution. 130 G. Contrary Positions Certain judicial statements in Bass 131 and Thomas 132 hinted at a revival of a process conception of judicial power. However, a reluctance to embrace a process conception remains identifiable. 123 Compare Kirk, above n 66, Given this conclusion, arguments that enlist Nicholas in support of a process conception of judicial power enjoy little support in the judgment: compare Lacey, above n 14, Nicholas (1998) 193 CLR 173, 189 (Brennan CJ). 126 Lodhi (2007) 179 A Crim R 470 [58] [73] (Spigelman CJ), [121] (Barr J), [215] (Price J); National Security Information (Criminal and Civil Proceedings) Act 2004 (Cth) s 31(8). 127 Elbe (2007) 159 FCR 518, (Dowsett J); Transport Safety Investigation Act 2003 (Cth) s Oguzhan (2000) 99 FCR 285, 292 (Carr J); Migration Act 1958 (Cth) s 478(2). 129 Price [2006] 2 Qd R 316, 332 (Keane JA); Uniform Civil Procedure Rules 1999 (Qld) r 166(4), (5). 130 Granger (2004) 88 SASR 453, (Doyle CJ); Controlled Substances Act 1984 (SA) s 32(3). 131 Bass (1999) 198 CLR Thomas (2007) 233 CLR 307.
17 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 427 Bass concerned an appeal against the decision of a trial judge in the Federal Court to refer questions of law to the Full Court, prior to any facts being found. The High Court overturned the answers given below to those questions on the basis that the efficient administration of justice was incompatible with a court answering hypothetical questions which frequently require considerable time and cause considerable expense which may be unnecessarily incurred. 133 In arriving at this conclusion the joint judgment alluded to a process conception of judicial power when it noted, [j]udicial power involves the application of the relevant law to facts as found in proceedings conducted in accordance with the judicial process. 134 Two points should be made about this reasoning. First, Bass was not concerned with a constitutional challenge to legislation, 135 nor did it expressly acknowledge the Lim principle. Second, the objection to the Full Court s practice was that a judicial body was being asked to make a determination in the absence of independent fact-finding essentially, that the judicial power to make determinations of right can only be executed in the presence of a finding of facts. 136 This application does not extend an understanding of judicial power beyond the ultimate fact analysis adopted by Brennan CJ, Gummow and Hayne JJ in Nicholas. Hence, while Bass may provide insight into a general definition of judicial power, it only possesses marginal relevance to a constitutional procedural due process limitation. Several members of the Court in Thomas appeared to endorse a process conception of judicial power, this time in a constitutional context. In upholding the validity of the impugned legislation, 137 Gleeson CJ noted that application of the rules of evidence indicated against inconsistency with the Lim principle. 138 Similarly, Callinan J included evidence, the right to legal representation, crossexamination, a generally open hearing [and] evaluation of the evidence within the usual indicia of the exercise of judicial power. 139 Such statements should, however, be balanced against Gummow and Crennan JJ s analysis in Thomas. After acknowledging the Lim principle, 140 their Honours proceeded to consider whether the Act s subject-matter characteristics (imprisonment on a quia timet basis) violated Chapter III. 141 As such, their 133 Bass (1999) 198 CLR 334, (Gleeson CJ, Gaudron, McHugh, Gummow, Hayne and Callinan JJ). 134 Bass (1999) 198 CLR 334, 359 (citing Nicholas (1998) 193 CLR 173, (Gaudron J)); Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, Only Kirby J expressly considered the constitutional point and he rejected the submission that Chapter III would not permit the referral of questions of law without a final determination of facts: Bass (1999) 198 CLR 334, Bass (1999) 198 CLR 334, 355 (Gleeson CJ, Gaudron, McHugh, Gummow, Hayne and Callinan JJ). 137 Criminal Code (Cth) Div Thomas (2007) 233 CLR 307, 335; see also 307 (Gleeson CJ). 139 Thomas (2007) 237 CLR 307, 508; see also Alinta (2008) 233 CLR 542, (Gleeson CJ). 140 Thomas (2007) 237 CLR 307, Thomas (2007) 237 CLR 307, 355 8; see also (Callinan J), 526 (Heydon J).
18 428 SYDNEY LAW REVIEW [VOL 31: 411 Honours analysis of the Lim principle paid only nominal regard to the judicial process. Their Honours also noted that the decisions of this Court have not gone so far as to draw a general due process requirement from the remarks of Gaudron J in Nicholas. 142 Accordingly, these cases do not significantly advance the case for a process conception of judicial power. H. Process Standards and the Lim Principle The injection of process standards into constitutional conceptions of judicial power, championed by Gaudron J, has failed to gain significant doctrinal traction and the dominant conception of judicial power continues to focus on subjectmatter characteristics. The Court has not, however, engaged in a detailed analysis of the appropriateness of excluding process standards from judicial power. Rather, the exclusion appears largely arbitrary Melbourne Harbour, Williamson and Nicholas simply assume, without providing cogent reasons, that constitutional conceptions of judicial power do not incorporate process standards. Given these shortcomings the question remains, whether judicial power should be limited to a subject-matter concept. In an effort to provide an answer to this question, Part 4 is a critical appraisal of the assumptions upon which the current jurisprudence is premised. The central inquiry is whether judicial power is an appropriate conduit for the protection of due process principles. 4. Judicial Power and Its Discontents I propose three objections to relying on judicial power to safeguard due process principles. The first and second objections focus on technical issues associated with defining judicial power. The third objection is broader it questions the appropriateness of the Boilermakers framework as an anchor for a due process principle. All three objections are motivated by a concern that utilising judicial power as the primary constitutional basis for due process principles will only further encumber an already overburdened conceptual tool to the detriment of due process standards. An alternative model that seeks to accommodate these objections is proposed in Part 5. A. Is Process a Power? As noted above, 143 a procedural due process principle should be able to accommodate procedural characteristics of the judicial process, particularly those expressing natural justice requirements. The obvious difficulty with framing such procedural characteristics within a definition of judicial power is that they must take as their conceptual referent the concept of a power exercisable by a judicial body. Certain procedural processes are adequately described by reference to a power an alteration of the rules of evidence may be framed as an obstruction of the judicial power to make rulings on the admissibility of evidence. 144 Other features of the curial process cannot, however, be so neatly framed as a power. For instance, a 142 Thomas (2007) 237 CLR 307, 355 (citation omitted). 143 See above Part 2(A). 144 See Nicholas (1998) 193 CLR 173, 191 (Brennan CJ).
19 2009] PROCEDURAL DUE PROCESS UNDER THE AUSTRALIAN CONSTITUTION 429 law preventing a litigant from cross-examining an opposing witness, 145 or a law that mandates proceedings in camera, 146 cannot be described as an impingement on a power of the court or judicial officer. To be sure, such a law may effect a fundamental alteration of the judicial process but it cannot take as its conceptual referent the concept of a judicial power. Further difficulties are encountered when one compares such procedures against the established indicia of Commonwealth judicial power: it is difficult to characterise cross-examination as a power to make final, conclusive, enforceable decisions about a party s past rights and liabilities. This point is further exemplified if the characteristics of natural justice are adopted as an indicator of due process standards. A bedrock principle of natural justice is that a party to proceedings must be given a reasonable opportunity of appearing and presenting his case. 147 In a curial context a person must be personally served with notice of proceedings against them. 148 Thus, a failure to serve appropriately may constitute a failure to fulfil natural justice and a resultant failure to enliven a court s jurisdiction. 149 A hypothetical law that permitted litigation to proceed to summary judgment in the absence of an obligation to serve may, thus, impeach principles of natural justice. Service is, however, not a process that can be feasibly connected to the notion of judicial power. It is an obligation incumbent on a party to litigation, 150 not upon the court. In an administrative law context such procedural deficiencies are conceptualised as jurisdictional errors errors that deprive a court of its jurisdiction. 151 Although an uncritical borrowing of concepts should be avoided, it is suggested that the same conceptualisation should be adopted in a constitutional context. In Harris v Caladine, 152 Toohey J recognised that jurisdiction and judicial power, as employed constitutionally, are not equivalent concepts. As his Honour observed, [t]he Constitution itself distinguishes between jurisdiction and judicial power, they are two distinct notions that invoke different constitutional provisions and decisional law. 153 The distinction between the two is that [j]urisdiction is the authority which a court has to decide the range of matters before it and judicial power is the power executed in the exercise of that jurisdiction. 154 It is also well established that s 71 confers no 145 See, eg, Criminal Procedure Act 1986 (NSW) s 294A. 146 See, eg, Criminal Procedure Act 1986 (NSW) s Cameron v Cole (1943) 68 CLR 571, 589 (Rich J). 148 Pino v Prosser [1967] VR 835, 839 (McInerney J). 149 Owners of Strata Plan No v Cross (2006) 153 FCR 398, 423 (Edmonds J). 150 See, eg, Federal Court Rules (Cth) O Craig v South Australia (1995) 186 CLR 416; Re Refugee Review Tribunal; Ex parte Aala (2000) 204 CLR 82; Plainitff S157/2002 v Commonwealth (2003) 211 CLR (1991) 172 CLR Harris v Caladine (1991) 172 CLR 84, 136 (Toohey J) (quoting P H Lane, The Australian Federal System (2 nd ed, 1979) 446). 154 Harris v Caladine (1991) 172 CLR 84, 136 (Toohey J). Toohey J s interpretation of the distinction between power and jurisdiction was cited with approval in Australian Securities and Investments Commission v Edensor Nominees Pty Ltd (2001) 204 CLR 559, 590 (Gleeson CJ, Gaudron and Gummow JJ).
20 430 SYDNEY LAW REVIEW [VOL 31: 411 jurisdiction. 155 The essence of this reasoning is that when s 71 refers to judicial power it is referring to the powers exercisable by a court to adjudicate finally rights and obligations, once it has jurisdiction. Hence, deficiencies in the judicial process that would, in an administrative law context, deprive a court of jurisdiction have little to do with judicial power exercisable once that jurisdiction is properly activated. While it may be overstating the case to say that the distinction between jurisdiction and power necessarily entails the exclusion of a process conception of judicial power, it is clear that it represents an obstacle to the adoption of such an approach. Another serious obstacle to the integration of due process standards within a definition of judicial power is the historicist approach adopted by the Court in defining the central characteristics of judicial power. B. History and the Judicial Process The Constitution does not define the words judicial power, and the historical record of its drafting provides nominal assistance in arriving at a definition of the central characteristics of judicial power. 156 Judicial power is a creature of case law that has evolved through analogical common law reasoning, based upon a historical examination of what courts have done. 157 The historical development of powers exercisable by courts has proved a weighty factor in the development of a definition of judicial power. The reliance on historical reasoning in Thomas evidences this position. The plaintiff challenged a division of the Criminal Code (Cth) that authorised federal courts to impose interim control orders: obligations, prohibitions and restrictions over a person that are reasonably necessary, and reasonably appropriate and adapted, for the purpose of protecting the public from a terrorist act. 158 It was argued that, as this standard was directed to the future conduct of a person, it conflicted with an indicium of judicial power the determination of past rights and liabilities. 159 Significant to the rejection of this argument was that courts had historically exercised analogous powers, such as binding over orders 160 and the writ of supplicavit. 161 Although noting that historical analogies were not determinative, Gummow and Crennan JJ held that matters of legal history do support a notion of protection of public peace by preventative measures imposed by court order. 162 Hence, the production of a pre-1901 analogy will be strong evidence that a particular function or power falls within a constitutional notion of judicial 155 R v Commonwealth Court of Conciliation and Arbitration; Ex parte Brisbane Tramways Co Ltd (No 1) (1914) 18 CLR 54, 75 (Isaacs J). 156 John Quick and Robert Randolph Garran, The Annotated Constitution of the Australian Commonwealth (1901) ; Wheeler, Due Process, Judicial Power and Chapter III in the New High Court, above n 14, Zines, above n 38, s Thomas (2007) 233 CLR 307, (Gleeson CJ). 160 Thomas (2007) 233 CLR 307, 329 (Gleeson CJ), 356 (Gummow and Crennan JJ). 161 Thomas (2007) 233 CLR 307, (Gummow and Crennan JJ). 162 Thomas (2007) 233 CLR 307, 357 (Gummow and Crennan JJ), 507 (Callinan J), 526 (Heydon J); see also 329 (Gleeson CJ).
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CHIEF EXECUTIVE OFFICER OF THE AUSTRALIAN SPORTS ANTI-DOPING AUTHORITY Respondent
Federal Court of Australia District Registry: Victoria Division: General No VID 569 of 2014 On appeal from the Federal Court JAMES ALBERT HIRD Appellant CHIEF EXECUTIVE OFFICER OF THE AUSTRALIAN SPORTS
WRITING A LEGAL ADVICE The importance of legal advice-writing During your time at Law School, you will have learned how to answer problem-type questions for exams and assignments. This is an important
HIGH COURT OF AUSTRALIA CRENNAN, KIEFEL, BELL, GAGELER AND KEANE OHN DALY APPELLANT AND ALEXANDER THIERING & ORS RESPONDENTS Daly v Thiering [2013] HCA 45 6 November 2013 S115/2013 ORDER 1. Appeal allowed.
Williams v Commonwealth (School Chaplains Case) [2012] HCA 23
SUPPLEMENT TO CHAPTER 11 Williams v Commonwealth (School Chaplains Case) [2012] HCA 23 The National School Chaplaincy Program (the NSCP) was created by the Commonwealth in 2006 as a voluntary program under