ALRC Case Review
As part of its research for the Inquiry, the ALRC conducted a systematic review of judgments published by the Commonwealth courts between 1 January 2015 and 31 August 2021 referring to recusal and disqualification. The review was intended to identify references to both formal and informal processes for dealing with disqualification requests through:
- published reasons dealing specifically with disqualification requests (formal or informal);
- appeals referring to issues of disqualification being discussed in the court below; and
- recitation of procedural history in cases referring to past recusals or requests for disqualification that may not have been reflected in formal published reasons.
The search terms used returned 879 judgments. After screening, 745 relevant judgments dealing with recusals, requests for recusal/disqualification, and appeals of decisions on disqualification were identified. These were reviewed and coded against defined categories.
For description and analysis of the findings and a summary of methodology see Chapter 5 and Appendix F of the Final Report.
Documentation and Data
- ALRC Case Review coding instructions
- ALRC Case Review – Raw data (PDF) (Excel)
ALRC Survey of Court Users
Over a period of approximately four weeks in July and August 2021, the ALRC conducted a survey of members of the public who had attended any state, territory, or Commonwealth court for non-criminal proceedings in Australia in the past 10 years.
The survey was conducted online and administered by Qualtrics through market research panels. A total of 4,206 participants took part in the survey, with the majority being screened out following initial questions. The final dataset comprised responses from 490 participants.
For description and analysis of responses and a summary of methodology see Chapter 5 and Appendix F of the Final Report.
Documentation and Data
- ALRC Survey of Court Users – Questions
- ALRC Survey of Court Users – Select raw data (PDF) (Excel)
To protect participant confidentiality, the data published excludes open text responses and some demographic data. Researchers interested in accessing further raw data are invited to contact the ALRC directly.
It is ALRC policy to publish public submissions on this website. Publication will not be immediate as submissions need to be read and processed prior to publication.
Submissions listed as ‘not published’ have been withheld from publication for privacy or legal concerns.
Submissions to Interim Report A (ALRC Report 137)
1. Not published
6. Australian Financial Markets Association
7. Medical Insurance Group Australia
9. Australian Retail Credit Association
10. Financial Planning Association of Australia (minor correction supplied 4 May 2022)
12. Accounting Professional & Ethical Standards Board
14. Australian Restructuring Insolvency & Turnaround Association
17. Not published
18. National Insurance Brokers Association
19. Stockbrokers and Financial Advisers Association
23. Queensland Consumers Association
25. New South Wales Bar Association
26. Finance Brokers Association of Australia
31. Institute of Public Accountants
32. Not published
34. Consumer Action Law Centre, CHOICE, Financial Rights Legal Centre and Super Consumers Australia
37. B. Ethical Funds Management
39. Financial Services Council
40. Chartered Accountants Australia and New Zealand
43. Australian Banking Association
44. Mortgage & Finance Association of Australia
45. Association of Financial Advisers
51. Australasian Society for Computers and Law
52. Insurance Council of Australia
53. Financial Services Institute of Australasia
Additional Stakeholder Feedback
FPA submission to ALRC (received 30/06/2022)
Submissions to Interim Report B (ALRC Report 139)
57. Customer Owned Banking Association
58. Dr Zofia Bednarz and Prof Kimberlee Weatherall
59. Financial Planning Association of Australia
61. Australian Banking Association
62. Consumer Action Law Centre, Redfern Legal Centre, and Financial Rights Legal Centre
63. Stockbrokers and Investment Advisers Association
64. Associate Professor Marina Nehme
66. Financial Services Council
69. Institute of Financial Professionals Australia
70. Centre for Women’s Economic Safety, Flequity, and Southeast Community Links
71. Australian Retail Credit Association
73. Insurance Australia Group Limited
76. Property Council of Australia
Additional Stakeholder Feedback
Prof Brian Horrigan submission to Background Paper FSL9 (received 3/4/2023)
Law Council of Australia submission to Background Paper FSL9 (received 5/4/2023)
Nicola Howell submission to Background Paper FSL9 (received 14/4/2023)
Financial Advice Association Australia submission to Background Paper FLS11 (received 10/8/2023)
Submissions to Interim Report C (ALRC Report 140)
79. Australian Financial Complains Authority
83. Australian Retail Credit Association
84. Association of Superannuation Funds of Australia
85. Australian Financial Markets Association
86. Insurance Council of Australia
87. Financial Services Council
Download Commonwealth and NSW Judgments – Acts citations (30 June 2021).xlsx
Download Commonwealth and NSW Judgments – Corporations Act section citations (30 June 2021).xlsx
The ALRC has undertaken qualitative and quantitative analysis of a range of legislative sources, including Commonwealth statutes, and legislative and administrative instruments, and equivalent sources in other jurisdictions.
Interim Report B Data
- Corporations Act 2001 offences and penalties — Point in time: This spreadsheet includes data on offences and civil penalties in the Corporations Act 2001 at five points in time between 2002 and 2022. The data methodology for Interim Report B is available as an additional resource to that Interim Report. The methodology explains how this spreadsheet was created and the scope of the data collection.
- Modifications of Corporations Act offence and penalty provisions: This spreadsheet identifies offences in the Corporations Act 2001 that have been notionally amended.
Commonwealth Legislation
The Commonwealth Statute book and Inquiry Legislation
Download Commonwealth Acts – Principal in force (30 June 2021).xlsx
Download Commonwealth Acts – as-made (30 June 2021).xlsx
Download Historical Legislative Data – Important Inquiry Legislation (30 June 2021).xlsx
Download Commonwealth Legislative data (Historical and Commonwealth Acts) – Data Dictionary.pdf
Corporations Act and Regulations — provision-level analysis
Download Corporations Act 2001 – 05 Apr 2021 – C2021C00214.xlsx
Download Corporations Act 2001 – 5 March 2017 – C2017C00129.xlsx
Download Corporations Act 2001 – 20 March 2012 – C2012C00447.xlsx
Download Corporations Act 2001 – 1 March 2007 – C2007C00201.xlsx
Download Corporations Act 2001 – 11 Mar 2002 – C2004C03060.xlsx
Download Corporations Act 2001 – 28 Jun 2001 – C2004A00818.xlsx
Download Corporations Regulations 2001 – 01 May 2021 – F2021C00451.xlsx
Download Commonwealth provision-level data – Data Dictionary.pdf
Amendments to the Corporations Act
Download Amendments to the Corporations Act 2001 (30 November 2021).xlsx
Definitions in the Corporations Act
Download Corporations Act Definitions Analysis (30 June 2021).xlsx
Commonwealth legislative and administrative instruments
Qualitative analysis of ASIC-made legislative instruments
Download ASIC-made legislative instruments (Qualitative) – 30 June 2021
The ALRC undertook qualitative analysis to capture data in relation to the volume, purpose and effect of ASIC Legislative Instruments and Class Orders, including:
- the number of in-force ASIC Legislative Instruments and Class Orders (at a point in time);
- the primary purpose of each instrument;
- who is affected by each instrument; and
- the mechanical effect of each instrument on primary and delegated legislation, including the nature and application of any notional amendments.
This work builds on previous analysis undertaken by the ALRC to identify the cited sources of legislative authority for all ASIC legislative instruments that were listed as ‘currently in operation’ on the ASIC website as at 10 July 2020.
The spreadsheet produced by the ALRC provides summary information in relation to ASIC legislative instruments (or class orders) listed as ‘in force’ on the Federal Register of Legislation (‘FRL’) as at 30 June 2021.
The information in the spreadsheet can be filtered to facilitate analysis of legislative instruments authorised by particular statutory provisions, or to sort instruments on the basis of their purpose or effect.
For further information in relation to the nature and scope of the analysis undertaken, refer to the ‘Explanatory Notes’ tab in the spreadsheet.
Quantitative analysis of legislative instruments
Download ASIC-made legislative instruments (Quantitative).xlsx
Download Non-ASIC Corporations Act legislative instruments (Quantitative).xlsx
Download Legislative Instruments (Quantitative) – Data Dictionary.pdf
Foreign legislation and instruments
Selected United Kingdom legislation
Download Financial Services and Markets Act 2000 (United Kingdom) (30 June 2021).xlsx
Selected New Zealand legislation
Download New Zealand Corporations and Financial Services Legislation.xlsx
The Financial Services Legislation Final Report was published on 18 January 2024.
Submissions in response to the third Interim Report closed on 26 July 2023.
Submissions are available on the ALRC website.
As part of its inquiry, the ALRC is collating and analysing data in relation to the design and operation of the legislative framework for corporations and financial services regulation. This analysis will underpin the ALRC’s recommendations for reform. The ALRC will publish select outputs from its data analysis on this webpage so that they are available as a public resource.
The Judicial Impartiality Consultation Paper was released on 30 April 2021.
Submissions on its questions and reform proposals closed on 30 June 2021.
Public submissions are available on the ALRC website.
For enquiries, please email [email protected].
Last updated 2 August 2022
ALRC Survey of Lawyers
During a three week period in July/August 2021, the ALRC conducted a survey of lawyers who have been admitted into practice in an Australian state or territory and who have practised in Australia in the past five years.
The anonymous survey link was distributed by email to lawyers through the Law Council of Australia and its constituent bodies, sections, and committees, as well as to the four member-organisations of the Australian Legal Assistance Forum. A self-selected sample of 211 lawyers participated in the survey. All survey questions were voluntary and not all lawyers responded to all questions.
For description and analysis of responses and a summary of methodology see Chapter 5 and Appendix F of the Final Report.
Documentation and Data
- ALRC Survey of Lawyers – Questions
- Letter to Law Council and overview
- ALRC Survey of Lawyers – Select raw data (PDF) (Excel)
To protect participant confidentiality, the data published excludes open text responses and most demographic data. Researchers interested in accessing further raw data are invited to contact the ALRC directly.
During the course of the Inquiry the ALRC also published a preliminary analysis of responses to the ALRC Survey of Lawyers. This provided stakeholders with an initial snapshot of some of the key data from the survey as the research and analysis progressed. However, for final figures and analysis please refer to the Final Report.
Last updated 2 August 2022
ALRC Survey of Judges
In April 2021, the ALRC conducted a survey of judges of the Commonwealth courts, excluding the High Court of Australia. The anonymous survey link was emailed to all 151 judges who held office on 22 April 2021 in the Federal Court of Australia, the Family Court of Australia, and the Federal Circuit Court of Australia. A self-selected sample of 61 judges, or 40 percent, participated in the survey.
For description and analysis of responses and a summary of methodology see Chapter 5 and Appendix F of the Final Report.
Documentation
During the course of the Inquiry the ALRC also published a preliminary analysis of responses to the ALRC Survey of Judges. This provided stakeholders with an initial snapshot of some of the key data from the survey as the research and analysis progressed. However, for final figures and analysis please refer to the Final Report.