Learning Outcomes After attending this session, students should be able to: • analyze the policy impact of judicial review • examine the different roles of Judges in judicial review of administrative actions • review the theoretical and Constitutional Basis of Judicial • illustrate the relationship between judicial review and good governance • explain and apply the principle of proportionality • reflect on how judges develop legal principles Judicial Review Revisit Benny Y. T. Tai Associate Professor Faculty of Law University of Hong Kong 1 2 Issues • Policy Impact of Judicial Review • Roles of Judges in Judicial Review of Administrative Actions • Theoretical and Constitutional Basis of Judicial • Judicial Review and Good Governance • Proportionality • Judges and Legal Development Policy Impact of Judicial Review 3 4 Judicial Review Figures Year Type of cases 1. Applications for JR considered by the CFI 1.1. Application for leave refused 1.2. Application for leave granted 2. Full Hearing of JR cases by the CFI 2.1. Remedies not granted as against the Administration 2.2. Remedies granted as against the Administration 3. JR cases considered by the CA 3.1. Remedies not granted as against the Administration 3.2. Remedies granted as against the Administration 4. JR cases considered by the CFA 4.1. Remedies not granted as against the Administration 4.2. Remedies granted as against the Administration 2001 2002 2003 2004 2005 2006 2007 2008 2009 116 102 125 146 149 132 ? ? ? ? 147 (130) 64 66 41 144 (119) 56 63 ? ? ? ? 10 92 45 9 116 54 24 122 47 37 112 67 19 113 30 ? 33 45 34 53 25 ? 26 ? ? 12 9 13 ? 10 20 19 14 5 ? 15 ? 27 22 ? ? ? ? 9 13 15 19 16 ? ? ? ? 1 7 4 8 6 ? ? ? ? ? 3 4 3 4 2 ? ? ? 1 1 3 4 0 ? ? ? ? 2 3 0 0 2 ? ? ? Roles of Judges in Judicial Review of Administrative Actions 6 5 Chim Shing Chung v Commissioner of Correctional Services (1995) 5 HKPLR 570); (1996) 6 HKPLR 313) Chim Shing Chung v Commissioner of Correctional Services (1995) 5 HKPLR 570); (1996) 6 HKPLR 313) • The prison authority found that some prisoners engaged in illegal gambling. • This leads to problems. First of all, there is the general problem of gambling inside the prison which might lead to quarrels and arguments. Secondly, it might lead to pressure being brought to bear on the prisoner who cannot pay up his debt. Thirdly, it might lead to families of prisoners having problems caused to them by their relative's debt. • The prison authority believed that if someone reads the horse racing information on the day of the races, he might go off and have a bet. Therefore, the prison authority decided that horse racing information is fully available in prisons except on race days. However, only the supplements were removed. If the information was in the general body of the newspaper it would not be removed. • A prisoner applied for judicial review to challenge the decision. 7 Rule 56 of the Prison Rules provides: ”Prisoners may receive books or periodicals from outside the prison under such conditions as the Commissioner may determine.” 8 The Judge Over Your Shoulder Who is the judge? The role of the Court Citizens v. Administration Litton Liu CFA (Li) Sears Court v. Administration CFA (Ma)? 9 10 Relationship between Administrative Law and Constitutional Law: Separation Thesis Theoretical and Constitutional Basis of Judicial Review 11 “Legal antipathy to political theory is likely to be motivated by instinctive belief in the virtue of objectivity in law, the belief that law should be kept as distinct as possible from politics, and there is positive merit in keeping a gulf between them... On the plane of administrative law... rules are based upon elementary concepts of legality, reasonableness and fairness which are self-evident in their own right... Although their natural home is in a liberal democracy, there is no necessary reason why they should not be observed under any regime, even if illiberal or undemocratic. The central part of administrative law...has a neutrality...” Wade & Forsyth, Administrative Law (Oxford University Press, 9th edn. 2004), p8-9 12 Relationship between Administrative Law and Constitutional Law: Integration Thesis ULTRA VIRES “...the content of constitutional and administrative law can only be properly understood against the background political theory which a society actually espouses, or against such a background which a particular commentator believes that a society ought to espouse.” Craig, Public Law and Democracy in the United Kingdom and in the United States of America (Oxford: Clarendon Press, 1990), p. 1 13 14 The Orthodox understanding of ultra vires The Orthodox understanding of ultra vires • judicial review is legitimated on the ground that the courts are applying the intent of the legislature • powers enjoyed by the administrative agencies are always subject to certain conditions contained in the enabling legislation • the courts' function is to police the boundaries stipulated by the legislature! Criticisms: 1. The doctrine is indeterminate 2. Lack of reality 3. Internal tension 4. Difficulty to apply this doctrine to justify the court's power to review decisions of non-statutory bodies 5. Judicial review does not have to be built on parliamentary supremacy 15 16 Modified doctrine of ultra vires based on a model of implied general legislative intent Alternatives of the theoretical basis of Judicial Review: Sources of Power • legislature is taken to intend that its legislation conforms to the basic principles of rule of law, fairness and justice which operates in a constitutional democracy • as the legislature has taken no step to overturn the extension and development of judicial review by judges, it may reasonably be taken to have given a tacit approval or delegated to the judiciary to develop the principles of judicial review subject to the recognition of legislative supremacy • judicial review has to be legitimized by this general legislative intent 17 18 A common law based doctrine of illegality or ultra vires Constitution as the theoretical basis of judicial review • principles of judicial review are in reality developed by the courts and are creations of common law • when legislation is passed, the courts will impose the controls which constitute judicial review which they believe are normatively justified on the grounds of justice, the rule of law, etc. • however, if the legislature does not like such control, it is open to it to make this explicitly • is there any limitation on the court's power to develop principles of judicial review except the possibility of subsequent corrective legislative measures? • legislature grants powers to administrative agencies within the context of the constitutional setting and the court may approach legislation on this basis • the court will review administrative decisions without referring to any specific or general legislative intent but the court's power to review is also not without any constraint • what then are the constitutional principles within a specific constitutional setting? 19 20 Rule of Law: legality, legal certainty, minimum standards of both substantial and procedural fairness Alternatives of the theoretical basis of Judicial Review: Legal Principles Human Rights: the principle of proportionality will be applied in cases where human rights are involved Good Governance 21 22 Judicial Review in Hong Kong • Source of power of Judicial Review • Legal Principles of Judicial Review • Objective of Judicial Review Judicial Review in Hong Kong 23 24 Special considerations in Hong Kong's constitutional setting • a written constitution • legislative supremacy is not recognized • judicial review recognised • a bill of rights • weak accountability • undemocratic political system • respectable and independent judiciary • general recognition of rule of law Judicial Review and Good Governance 25 26 Chief Justice's speech at Ceremonial Opening of the legal Year 2007 Good Governance “It would not be right for judicial review to be viewed negatively as a hindrance to government. On the contrary, it should be seen as providing an essential foundation for good governance under the rule of law. … But I must reiterate that …courts are only concerned with what is legally valid, and what is not, in accordance with legal norms and principles. “public participation, transparency, the accountability to the public and justice or fairness are essential components of good governance. Some of these components are interconnected.” Linda C. Reif, The Ombudsman, Good Governance, and the International Human Rights System (Leiden: M. Nijhoff, 2004) 27 28 Ng Siu-tung and others v. HKSAR FACV Nos. 1-3 of 2001) Reflection on the nature of judicial review from the Justifications for Substantive Legitimate Expectation 29 Ng Siu-tung and others v. HKSAR FACV Nos. 1-3 of 2001) Decision of the Court Final Appeal (Minority judge, Justice Bokhary PJ): “The essential function of the doctrine commonly called ‘the doctrine of legitimate expectation’ is to give judicial relief against abuse of executive power. It was developed by the courts as a further means of upholding the rule of law by ensuring that executive powers are used and not abused. Whether they are enforcing legitimate expectations procedurally or substantively, the courts are acting to accord fairness. …There is another reason for it. As the executive itself would probably be the first to recognise, it surely facilitates the task of governance that people feel able to put their faith in what their government says and does. ” 31 Decision of the Court Final Appeal (Majority): “The concept of ‘legitimate expectation’ … forms part of the administrative law of Hong Kong…, the doctrine is an important element in the exercise of the court's inherent supervisory jurisdiction to ensure, first, that statutory powers are exercised lawfully and are not abused and, secondly, that they are exercised so as to result in administrative fairness in relation to both procedural and substantive benefits…in the absence of any overriding reason of law or policy excluding its operation, situations may arise in which persons may have a legitimate expectation of a substantive outcome or benefit, in which event failing to honour the expectation may, in particular circumstances, result in such unfairness to individuals as to amount to an abuse of power justifying intervention by the court...a legitimate expectation arises as a result of a promise, representation, practice or policy made, adopted or announced by or on behalf of government or a public authority.” 30 See also the benefits from a right to Reason Benefits of giving reason: “Thirdly, the reasons given by the Tribunal will promote and enhance consistency in its decision making and assist the law enforcement and prosecuting authorities. I would observe that broad consistency in approach is important. Fourthly, the giving of reasons would demonstrate to the community that the Tribunal is functioning properly and this would engender public confidence.“ (Oriental Daily Publisher Limited v. Commissioner for Television and Entertainment Licensing Authority FACC No. 1 of 1998) 32 Good governance, administrative powers and judicial review • How administrative powers can be exercised to satisfy the requirements of good governance? • Can judicial review be considered not just as a check on administrative powers to prevent abuse of powers but also as a tool to enhance good governance? • Is proportionality a principle that can enhance good governance? Proportionality as a principle of good governance 34 33 R v. Secretary of State for Home Affairs, ex parte Brind [1991] AC 69 Council of Civil Service Unions v. Minister for the Civil Services [1985] A.C. 374, per Lord Diplock "...possible adoption in the future of the principle of ‘proportionality’ which is recognised in the administrative law of several of our fellow members of the European Economic Community” But rejected by R v. Secretary of State for Home Affairs, ex parte Brind [1991] AC 69 35 • The Secretary of State for the Home Department exercised his powers under cl 13 of the licence and agreement between the Secretary of State and the British Broadcasting Corp (the BBC) and s 29 of the Broadcasting Act 1981 issued directives to the television and radio authorities that they should be forbidden knowingly to allow a member or supporter of a recognised terrorist organisation to have direct appearance on television themselves making their statements live. • The Home Secretary has imposed this restriction because, supported by a majority of the members of the House of Commons, he believed that the live appearances of terrorist members and supporters cause outrage and fear and to give a wholly false impression of the strength and legitimacy of terrorism, thus encouraging terrorism which is a foul crime. • Had the Home Secretary acted ultra vires because his decision was Wednesbury unreasonable or that he had acted “in a disproportionate manner”? ! 36 R v. Secretary of State for Home Affairs, ex parte Brind [1991] AC 69 R v. Secretary of State for Home Affairs, ex parte Brind [1991] AC 69 Lord Lowry, House of Lords: “…there is no authority for saying that proportionality in the sense in which the appellants have used it is part of the English common law…for several reasons. (1) The decisionmakers, very often elected, are those to whom Parliament has entrusted the discretion and to interfere with that discretion beyond the limits as hitherto defined would itself be an abuse of the judges' supervisory jurisdiction. (2) The judges are not, generally speaking, equipped by training or experience, or furnished with the requisite knowledge and advice, to decide the answer to an administrative problem where the scales are evenly balanced, but they have a much better chance of reaching the right answer where the question is put in a Wednesbury form. The same applies if the judges' decision is appealed.”! Lord Lowry, House of Lords: “(3) Stability and relative certainty would be jeopardised if the new doctrine held sway, because there is nearly always something to be said against any administrative decision and parties who felt aggrieved would be even more likely than at present to try their luck with a judicial review application both at first instance and on appeal. (4) The increase in applications for judicial review of administrative action (inevitable if the threshold of unreasonableness is lowered) will lead to the expenditure of time and money by litigants, not to speak of the prolongation of uncertainty for all concerned with the decisions in question, and the taking up of court time which could otherwise be devoted to other matters. The losers in this respect will be members of the public, for whom the courts provide a service.” 37 ! 38 R v. Secretary of State for Home Affairs, ex parte Brind [1991] AC 69 Lord Lowry, House of Lords: “…there can be very little room for judges to operate an independent judicial review proportionality doctrine in the space which is left between the conventional judicial review doctrine and the admittedly forbidden appellate approach. To introduce an intermediate area of deliberation for the court seems scarcely a practical idea, quite apart from the other disadvantages by which, in my opinion, such a course would be attended.” Infiltration of Proportionality in other public law matters and other principles of Judicial Review ! 39 40 A Solicitor v. The Law Society of Hong Kong FACV No. 7 of 2003) A Solicitor v. The Law Society of Hong Kong FACV No. 7 of 2003) • A Solicitor, T, was alleged to have breached provisions of the Solicitors' Practice Rules and was convicted by the Solicitors Disciplinary Tribunal. • Legal Practitioners Ordinance Cap. 159 provides that an appeal shall lie to the Court of Appeal against any order of the Tribunal. • Section 13(1) of the Ordinance includes the provision that “the decision of the Court of Appeal on any such appeal shall be final”. • T exercised his right of appeal under s. 13(1). The Court of Appeal by a majority dismissed the appeal. That Court (by the same majority), dismissed T’s application for leave to appeal to the Court of Final appeal. T applied to the appeal the CFA. • Does the Court of Final Appeal have jurisdiction to entertain the appeal ? Article 82 of the Basic law: “The power of final adjudication of the Hong Kong Special Administrative Region shall be vested in the Court of Final Appeal of the Region, which may as required invite judges from other common law jurisdictions to sit on the Court of Final Appeal.” 41 A Solicitor v. The Law Society of Hong Kong FACV No. 7 of 2003) 42 A Solicitor v. The Law Society of Hong Kong FACV No. 7 of 2003) Decision of the Court of Final Appeal: “Courts do not have inherent appellate jurisdiction. Appeals are creatures of statutes, whether they be appeals from statutory tribunals to the courts or appeals from lower courts to higher courts. (In this case, one is not concerned with and need not discuss the right to seek judicial review from the courts). The legislature in providing for appeals in statutes may limit recourse to the Court for final adjudication and thus, may limit its power of final adjudication to appeals permitted by such statutes. But limitation cannot be imposed arbitrarily by the legislature. The limitation imposed must pursue a legitimate purpose and there must be reasonable proportionality between the limitation and the purpose sought to be achieved. These dual requirements will be referred to collectively as ‘the proportionality test’.” 43 Decision of the Court of Final Appeal: “Does the finality provision in s. 13(1) of the Ordinance satisfy the proportionality test? If it does not, it would be inconsistent with the Basic Law and would be unconstitutional and invalid. Section 13 provides for a statutory right of appeal from a decision of the Tribunal to the Court of Appeal. Having been entrusted with the task by statute, the Tribunal's decision on matters of professional discipline of solicitors carries considerable weight and the Court of Appeal will only interfere if satisfied that the Tribunal was plainly wrong. …The total ban imposed by the finality provision where questions of this order of importance arise cannot, in my view, be said to be reasonably proportionate to any legitimate purpose which may underlie the finality provision.” 44 Mok Charles Peter v. Tam Wai Ho and others FACV No. 8 of 2010 Mok Charles Peter v. Tam Wai Ho and others FACV No. 8 of 2010 • In 2008, in the elections to the Legislative Council, Tam was declared to be elected to the Council for the Information Technology (IT) functional constituency. • Mok, the rival candidate lodged an election petition to the Court of First Instance under the Legislative Council Ordinance, Cap. 542 seeking an order that he be instead declared the winner for the IT functional constituency. • Mok’s election petition was dismissed. • Mok sought to appeal from this decision to the Court of Appeal. • The Court of Appeal dismissed the appeal on the ground that the Court of Appeal lacked jurisdiction, in that s. 67(3) of the Ordinance barred any appeal from the CFI on an election petition. • Section 67(3) provides that “the!decision!of!the!Court!of!First! Instance!shall!be!final!as!to!the!ma6ers!in!issue.”! • Mok appealed to the CFA on the decision of the CA. • Are the provisions of s. 67(3) unconstitutional? Decision of the Court of Final Appeal: “The proportionality test, which is a well known test in our courts, consists of the following analysis in respect of any restriction or limitation:- (a) The restriction or limitation must pursue a legitimate aim. (b) The restriction or limitation must also be rationally connected that legitimate aim. (c) The restriction or limitation must also be no more than is necessary to accomplish that legitimate aim. …it is crucial at the outset to bear in mind that an election petition engages the public interest and not only the interests of the election protagonists themselves. The public interest here consists of the electorate and indeed the community as a whole in having in place a properly and legally elected legislature. Further, an election petition involves substantive rights, and not merely procedural rights. These 46 substantial rights are political in nature.” 45 Mok Charles Peter v. Tam Wai Ho and others FACV No. 8 of 2010 A Solicitor v. The Law Society of Hong Kong FACV No. 24 of 2007 Decision of the Court of Final Appeal: “…is s.67(3) in restricting the right of appeal in election petitions more than is necessary to achieve that purpose? Here, it is important to understand the nature of the restriction contained in s.67(3). That provision not merely restricts an appeal, it actually eliminates it: under no circumstances can an appeal be launched. …in my judgment, the burden to demonstrate that the restriction in s.67(3) of LCO satisfies the proportionality test, has not been discharged. It therefore follows that s.67(3) of the LCO must be declared unconstitutional as being inconsistent with Art.82 of the Basic Law (insofar as the finality aspect is concerned). It may be that suitable changes can be made to the legislation to ensure that any restrictions or limitations on the right of appeal are indeed no more than necessary, but this is a matter for the Government and the Legislature to consider, taking into account no doubt those provisions in comparable legislation to which reference has been made.” 47 Decision of the Court of Final Appeal: “…the standard of proof for disciplinary proceedings in Hong Kong is a preponderance of probability….The more serious the act or omission alleged, the more inherently improbable must it be regarded. And the more inherently improbable it is regarded, the more compelling will be the evidence needed to prove it on a preponderance of probability. If that is properly appreciated and applied in a fair-minded manner, it will provide an appropriate approach to proof in disciplinary proceedings. Such an approach will be duly conducive to serving the public interest by maintaining standards within the professions and the services while, at the same time, protecting their members from unjust condemnation.” 48 The Stock Exchange of Hong Kong Ltd v New World Development Co Ltd FACV22/2005 Secretary for Security v. Sakthevel Prabakar FACV No. 16 of 2003 Decision of the Court of Final Appeal: “To him (a claimant under the Convention Against Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment), life and limb are in jeopardy and his fundamental human right not to be subjected to torture is involved. Accordingly, high standards of fairness must be demanded in the making of such a determination.” 49 Nadarajah, Abdi v Secretary of State for the Home Department [2005] EWCA Civ 1363 Decision of the Court of Appeal, United Kingdom: “The search for principle surely starts with the theme that is current through the legitimate expectation cases. It may be expressed thus. Where a public authority has issued a promise or adopted a practice which represents how it proposes to act in a given area, the law will require the promise or practice to be honoured unless there is good reason not to do so. What is the principle behind this proposition? It is not far to seek. It is said to be grounded in fairness, and no doubt in general terms that is so. I would prefer to express it rather more broadly as a requirement of good administration, by which public bodies ought to deal straightforwardly and consistently with the public. …Accordingly a public body's promise or practice as to future conduct may only be denied, and thus the standard I have expressed may only be departed from, in circumstances where to do so is the public body's legal duty, or is otherwise, to use a now familiar vocabulary, a proportionate response (of which the court is the judge, or the last judge) having regard to a legitimate aim pursued by the public body in the public interest. The principle that good administration requires public authorities to be held to their promises would be undermined if the law did not insist that any failure or refusal to comply is objectively justified as a proportionate measure in the circumstances.” 51 Decision of the Court of Final Appeal: “…there is no absolute right to have counsel address the tribunal or to question witnesses, any such entitlement depending on whether such procedures are required as a matter of fairness. The matters [to be considered] are: the seriousness of the charge and potential penalty; whether any points of law are likely to arise; the capacity of the individual to present his own case; procedural difficulties; the need for reasonable speed in making the adjudication; and the need for fairness among the individuals concerned…no list of such factors can be comprehensive. The common law principles of fairness operate flexibly, requiring the tribunal to respond reasonably to the requirements of fairness arising in each case, balancing any competing interests and considering what, if any, limits may proportionately be imposed on legal representation in consequence.“ 50 Nadarajah, Abdi v Secretary of State for the Home Department [2005] EWCA Civ 1363 Decision of the Court of Appeal, United Kingdom: “…Proportionality will be judged, as it is generally to be judged, by the respective force of the competing interests arising in the case. Thus where the representation relied on amounts to an unambiguous promise; where there is detrimental reliance; where the promise is made to an individual or specific group; these are instances where denial of the expectation is likely to be harder to justify as a proportionate measure. …On the other hand where the government decision-maker is concerned to raise wide-ranging or "macropolitical" issues of policy, the expectation's enforcement in the courts will encounter a steeper climb. All these considerations, whatever their direction, are pointers not rules. The balance between an individual's fair treatment in particular circumstances, and the vindication of other ends having a proper claim on the public interest (which is the essential dilemma posed by the law of legitimate expectation) is not precisely calculable, its measurement not exact.” 52 Good Governance, Judicial Review and Proportionality The Principle of Proportionality 1. What are the interests of the citizens affected by the administrative decision? What is the nature of these interests? 2. What is the specific purpose of that administrative decision? Is that a legitimate purpose? 3. Is there a rational connection between the administrative action and the purpose? 53 Good Governance, Judicial Review and Proportionality The Principle of Proportionality 5. Can the social benefits gained from achieving the purpose by the administrative decision outweigh the losses suffered by citizens? • How far should the evaluation on gains and losses by the administrative body or the law making body be relied upon? 55 Good Governance, Judicial Review and Proportionality The Principle of Proportionality 4. Is the administrative decision necessary for achieving the purpose? • Is there any alternative that can achieve the purpose but affect citizens’ interests to a lesser degree? OR • Is the administrative decision a measure that imposes the least adverse impact on the citizen’s interests? • How far should the expertise of the administrative body making the decision be relied upon? 54 Yook Tong Electric Company Limited v. Commissioner for Transport HCAL 94/2002 56 Reasons for Proportionality • a more structured and transparent form of judicial control • better chance to get a fair and just outcome • not improper overstepping into the jurisdiction of the administration Judges and Legal Development 57 (1) Challenges to legal principles occur when judges perceive administrative pressures to be rendering legal principles inadequate to meet regulatory needs. (2) Administrative pressures influence legal development only insofar as they can be expressed in a legal form. (3) After this initial challenge a ‘rational reconstruction’ may occur whereby new legal principles evolve which are perceived to better meet regulatory needs. (4) The effectiveness of the new principles in overcoming further perceived regulatory problems depends on the sophistication of the court’s information mechanisms – i.e. the extent to which courts can expertly make an assessment of the character of administration. (5) Legal evolution occurs due to the continual undermining of legal principles by environmental factors which gradually intrude into judicial thinking. David Jabbari, “Critical Theory in Administrative Law,” (1994) Oxford Journal of Legal Studies Vol. 14, No. 2, pp. 189-215, at 202. 59 58 COURT Legislature Laws Executive PEOPLE Intuition Power of Judicial Review of Administrative Actions 60 Reference Readings • Swati Jhaveri, Michael Ramsden, and Anne Scully-Hill, Hong Kong Administrative Law (Hong Kong: Lexis Nexis Butterworths, 2010), Chapter 1 and Chapter 11 • Mark Elliott, “Proportionality and Deference: The Importance of a Structured Approach,” in Forsyth, Elliott, Ramsden and Scully-Hill (eds.) Effective Judicial Review: A Cornerstone of Good Governance (Oxford University Press, 2010) 61 • Oliver, “Is the Ultra Vires Rule the Basis of Judicial Review?” [1987] PL 543 • Forsyth, “Of Fig Leaves and Fairy Tales: The Ultra Vires Doctrine, the Sovereignty of Parliament and Judicial Review” (1996) 55 CLJ 122 • Craig, “Ultra Vires and Foundations of Judicial Review” [1998] CLJ 63 • Craig “Competing Models of Judicial Review’ [1999] PL 428 • Jowell, “Of Vires and Vacuums: The Constitutional Context of Judicial Review” [1999] PL 448 • Jowell, “Beyond the Rule of Law: Towards Constitutional Judicial Review” [2000] PL 671 • Philip A. Joseph, “The Demise of Ultra Vires- Judicial Review in the New Zealand Courts” [2001] PL 354 • Bradley Selway, “The Principle Behind Common Law Judicial Review of Administrative Action – The Search Continues” (2002) 30 Fed L Rev 217 62
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