Contention against intervention
14 The Director contended that, pursuant to s 6(3) of the Criminal Appeal Act, even if the Court identified error, it would nevertheless be appropriate for the Court not to intervene. This submission invites attention to the terms of s 6(3):
" 6 Determination of appeals in ordinary cases
…
(3) On an appeal under section 5(1) against a sentence, the court, if it is of opinion that some other sentence, whether more or less severe is warranted in law and should have been passed, shall quash the sentence and pass such other sentence in substitution therefor, and in any other case shall dismiss the appeal."
15 Section 6(3) does not apply in respect of a Crown appeal against sentence, which must be brought pursuant to s 5D of the Criminal Appeal Act. Accordingly, the possibility that the Court may impose a more severe sentence than that imposed by the trial judge, even on an appeal by the offender, is clearly an intended effect of the provision. It is, however, only exercisable on an appeal and must follow a grant of leave. In those circumstances, it would be inappropriate for an appeal court to grant leave and then increase the sentence without providing the applicant with an opportunity to withdraw his or her application upon an indication that such a course was contemplated: see Parker v Director of Public Prosecutions (1992) 28 NSWLR 282 at 296 (Kirby P, Handley and Sheller JJA agreeing); Neal v The Queen [1982] HCA 55; 149 CLR 305. Procedural fairness would require no less: there was no suggestion in the present case that, absent an appeal by the Director, any individual sentence would be increased. Nevertheless, a refusal to intervene, pursuant to s 6(3), would remain a course open to the Court.
16 In Marinellis v Regina [2006] NSWCCA 307 at [66] Adams J made the following comments on the operation of s 6(3):
"It has been the frequent practice of this Court to regard s 6(3) of the Criminal Appeal Act 1912 as requiring dismissal of an appeal where the overall sentence of a group of sentences is such that no less severe aggregate sentence is warranted in law, even though one or more of the individual sentences included in the group are manifestly excessive: see, for example, McCabe [2006] NSWCCA 220; Georgiou [2005] NSWCCA 237 (per Hidden J); Nightingale [2005] NSWCCA 147 and MM [2002] NSWCCA 431. The notion of an overall or aggregate sentence is useful for discussion, but … to my mind it has no warrant as a [legal] entity and I respectfully doubt that the word 'sentence' in s 6(3) can be interpreted to encompass such a meaning. The insertion of the ameliorating provisions of s 7(1A) and the principles authoritatively enunciated in Pearce … reinforce that doubt."
17 The reference to s 7(1A) was not in order to invoke its operation, but by way of assistance in understanding s 6(3). Section 7(1A) relevantly provides:
" 7 Powers of court in special cases
…
(1A) If on an appeal against a sentence under section 5(1), 5D, 5DA or 5DB, the court quashes or varies the sentence passed at trial on any count or part of an indictment, the court may quash or vary any other sentence passed at the trial:
(a) in relation to any offence charged in any other count or part of the same indictment, or
(b) in relation to any offence charged in any count or part of any other indictment, or
(c) in relation to any offence dealt with under section 105 of the Criminal Procedure Act 1986 , or
(d) in relation to any back up offence or related offence dealt with under section 167 of the Criminal Procedure Act 1986 ,
and pass such sentence, whether more or less severe, in substitution for the other sentence as the court thinks proper, and as may be warranted in law, in respect of the offence."
18 In Marinellis, McColl JA (Latham J agreeing) found no need to consider the application of s 6(3). However her Honour noted at [13]:
"I would merely observe having regard to Justice Adams' remarks on that issue that s 7(1A) was not inserted in the Criminal Appeal Act to deal with any perceived deficiency of s 6(3) in a case, such as the present, where the applicant appeals all sentences imposed upon him or her. It came about to address the issue which arose in R v Itamua [2000] NSWCCA 502 where, (at [54]-[55]) Smart AJ (with whom Sheller JA agreed, and Dowd J relevantly agreed) observed that s 6(3) did not empower this Court 'to intervene in respect of sentences in respect of which no appeal is brought by either the appellant or the Crown', a situation his Honour described as anomalous and calling for remedial legislation."
19 As a matter of legislative history, that may be so; but the reference by Adams J, though elliptical, was by way of confirmation for the conclusion that "sentence" in s 6(3) identified a specific sentence in relation to a particular offence and not an overall aggregation of sentences, a construction which obtains support from the separate identification in s 7(1A) of each sentence for any other offence. It is not necessary to rely upon s 7(1A), inserted in 2001, to interpret longstanding provisions of the Act; rather s 7(1A) reveals a further application of the meaning of "sentence" as defined in s 2(1) of the Criminal Appeal Act which, relevantly, includes "any sentence of imprisonment … imposed under Part 2 of the Crimes (Sentencing Procedure) Act 1999". That in turn picks up the definition of "sentence" in s 3 of the Sentencing Procedure Act, set out at [9] above.
20 It follows that the use of the singular form of "sentence" in s 6(3) does not mean an aggregation of sentences, merely because use of the singular may import the plural. No doubt an appeal under s 5(1) may relate to more than one conviction or sentence; but if an offender appeals against one only of three convictions, the court is not empowered to consider the validity of other convictions. The same is true of sentences. The question is not whether separate "appeals" are required in relation to separate sentences - see [80] below - but rather to identify the matter with respect to which an applicant has sought to invoke this Court's jurisdiction. In fact, in the present case, separate grounds challenged the sentencing which achieved the aggregate term of mandatory incarceration (ground 2) and the sentence for the escape (ground 3). In relation to ground 2, a complaint as to the degree of accumulation of one or more sentences would be an appeal in respect of each sentence. Despite finding error, the Court could (and does) decline to intervene: that is separate from the proper approach in addressing ground 3.
21 As a matter of statutory construction, the approach adopted by Adams J in Marinellis is correct. In its terms, s 6(3) is concerned with an individual sentence (or sentences, if more than one is challenged). It requires that this Court form a view as to whether some other sentence, whether more or less severe, is "warranted in law and should have been passed". If the Court is of that opinion, it is obliged to quash the sentence and impose such other sentence in substitution: if it is not of that opinion, it is obliged to dismiss the appeal. Section 6(3) neither requires nor permits the Court to form an opinion about some other sentence, let alone an aggregation of sentences passed in respect of a variety of offences; nor is its dual obligation conditioned upon the existence of an opinion other than with respect to a sentence for a particular offence. Section 6(3) gives an appellate court no mandate to impose a sentence otherwise than according to law. It allows a discretion where different results are available in exercise of the power to sentence. It does not provide any authority to exceed powers elsewhere conferred. If the error were in imposing an additional term commensurate with the total period of incarceration, rather than that appropriate to the only relevant conviction, for this Court not to intervene would be to repeat the jurisdictional error. Accordingly, if this Court is satisfied that some other sentence was warranted in law with respect to the offence of escape from lawful custody, it is the obligation of the Court to impose that sentence.
22 Further, if there is some doubt or uncertainty about the proper construction of that provision (contrary to the views expressed above), that doubt or uncertainty should be resolved in favour of applying the rule of law and correcting legal error, an approach which conforms to the principle that, where the liberty of the individual is in issue, uncertainty or ambiguity should be resolved in a manner which favours the liberty of the individual: see Smith v Corrective Services Commission (NSW) [1980] HCA 49; 147 CLR 134 at 139 (Stephen, Mason, Murphy, Aickin and Wilson JJ); Stevens v Kabushiki Kaisha Sony Computer Entertainment [2005] HCA 58; 224 CLR 193 at [45] (Gleeson CJ, Gummow, Hayne and Heydon JJ); Piper v Corrective Services Commission (NSW) (1986) 6 NSWLR 352 at 361D (Kirby P, Hope and Samuels JJA).
23 The proper construction of s 6(3) does not, however, necessarily resolve questions relating to the application of the principle of totality and interference with the structure of multiple sentences. That exercise should be carried out in this Court, as it would be by a trial judge, by fixing an appropriate sentence for each offence, determining whether in principle they should be served concurrently, cumulatively or partly cumulatively and then considering whether the overall aggregation imposes a total effective period of imprisonment which requires adjustment downwards. The appropriate practice in this regard permits a degree of flexibility: see, eg, Johnson v The Queen [2004] HCA 15; 78 ALJR 616 at [18]-[26] (Gummow, Callinan and Heydon JJ). No doubt the reduction of any particular sentence is a variation of the sentence; a variation of the date of commencement of the sentence (and hence its termination date absent variation in length) is also a variation of a sentence. Whether such variations are now to be undertaken in the case of multiple sentences pursuant to s 6(3) or s 7(1A) need not be determined in the present case. It is a practice frequently undertaken and its validity can be addressed when necessary.
24 On the other hand, having determined that another sentence is appropriate with respect to a particular offence on an appeal by an offender, it would seem to be inappropriate to decline to intervene because the overall period of imprisonment could have been restructured so as to achieve the same result. That is not what s 6(3) requires or permits, for reasons given above. If the approach adopted in Kerr v Regina [2008] NSWCCA 133 (McCallum J, Beazley JA and Johnson J agreeing), at [36] is to be read as taking a different approach, both it and the other authorities adopting a similar view, may need to be reconsidered. However, it is not necessary to resolve that issue in the present case, because a relevant restructuring could not achieve an appropriate variation to give the present result.
25 As explained by Price J, the degree of leniency accorded by the trial judge in various respects affected directly only the period of mandatory imprisonment. (The term of two years imposed on count 3, taking into account the offences on Form 1, might have been increased or the extent to which it was to be served concurrently with other sentences reduced.) However, no restructuring is possible which could give rise to a variation in the additional term. The additional term must be that appropriate to the sentence for which it is imposed, namely escape from lawful custody. Once the Court is satisfied that a different minimum additional term is warranted in law and should have been passed, it is obliged to quash the sentence for escape from lawful custody and pass the alternative sentence.
26 The result will be a diminution in the period available for the applicant to serve under supervision. That period will now be approximately 20% of the period of mandatory imprisonment. Although the period available for supervised parole is almost half the sentence imposed for escape, (a relationship which is justified by the unchallenged finding of special circumstances for the purposes of s 44(2) of the Sentencing Procedure Act) it is, for practical purposes, a small proportion of the overall period of imprisonment. That result flows from the operation of the statutory scheme, which may not be consistent with what might otherwise be seen as the requirements of sound sentencing principles. It is not permissible to expand the sentence for the escape beyond that which is otherwise warranted by the offence, in order to provide a longer period of supervised release.
27 The appropriate orders should be as follows: