The Appropriateness of the Proposed Guideline
30 The guideline sought by the Attorney, and supported by the Director of Public Prosecutions, is not a numerical guideline. The thrust of the guideline focuses on the nature of the penalty. The guideline sought states that wherever an assault is combined with one of the identified aggravating circumstances then a full-time custodial sentence will "generally be appropriate" and a fine will be "rare". No particular level of penalty is proposed in any identified category.
31 A guideline of this general character has been approved on other occasions. In R v Jurisic (1998) 45 NSWLR 209 at 231E, the first limb of the guideline was:
"A non-custodial sentence for an offence against s52A should be exceptional and almost invariably confined to cases involving momentary inattention or misjudgment."
32 Pursuant to the reconsideration of the guideline for this offence in R v Whyte [2002] NSWCCA 343 the guideline presently in force is:
"[214] A custodial sentence will usually be appropriate unless the offender has a low level of moral culpability, as in the case of momentary inattention or misjudgment."
33 To similar effect was the form that guidance took in the decision of the Full Court of the Supreme Court of South Australia in Police v Cadd (1997) 69 SASR 150 at 171:
"… that the punishment should be imprisonment in the ordinary case of contumacious offence by a first offender, but the circumstances of the offending or the offender may dictate some less severe form of punishment …"
34 This form of guidance was referred to with approval in the joint judgment in the High Court in Wong v The Queen (2001) 76 ALJR 79 at [61]-[62], where their Honours referred to the guidance given by the use of the word "ordinary" in the expression "ordinary case of contumacious offending". (See the analysis in Whyte esp at [208]-[211].)
35 In Wong, the joint judgment said at [62] that the "real content of the guidance" was in the reasons where meaning was given to the word "ordinary" in the expression "ordinary case of contumacious offending". Mullighan J had explained his use of the word "contumacious" in Cadd at 179:
"It is committing the offence with an attitude of total disregard of the disqualification in disobedience to the authority which imposed it."
36 In Whyte, the equivalent to the Cadd formula of "contumacious offending" is the phrase "a low level of moral culpability" and, with respect to the numerical guideline, the phrase "the offender has abandoned responsibility for his or her own conduct".
37 In the proposed guideline for s60(1) in the present proceedings there is no equivalent phrase. What is proposed is the combination of any assault against a police officer with any one of a number of circumstances, i.e. each aggravating circumstance in s21A of the 1999 Act plus the three additional circumstances specified in par [21] above.
38 The first difficulty with the identification of a guideline in the form sought by the Attorney General arises from the nature of the offence. Section 60(1) covers any form of common assault not leading to actual or grievous bodily harm. This encompasses a wide range of offending behaviour. An assault can be constituted merely by tapping on the shoulder or poking in the chest. On the other hand it may be constituted by pointing a gun to the head of a police officer and cocking it. There can be little doubt that in the latter case a custodial sentence would be required. In the former cases that will often not be the case. There is a wide range of behaviour capable of constituting an assault which does not involve the high public purpose of the courts supporting the authority of the police.
39 The guideline propounded by the Attorney does not make express provision for the seriousness of the conduct said to constitute the assault. That factor is said to be encompassed within the terminology of when a full-time custodial sentence is "often" found to be "appropriate" and a fine is said to be "rare". With respect to an offence the gravity of which can vary so greatly, the Court should be very slow to adopt a guideline even of the limited character for which the Attorney contends in this case. (Cf The Attorney General's Application No 1 under s26 of the Criminal Procedure Act R v Ponfield (1999) 48 NSWLR 327 esp at [43].)
40 The second reason why the Court should be slow to adopt the proposed guideline arises from the fact that there has been no history of Crown appeals with respect to the offence in question. Neither the Attorney nor the Director of Public Prosecutions has been able to identify even a single instance in which an appeal from a magistrate's sentence with respect to an offence under s60(1) of the Crimes Act has been brought to the District Court. Mr Lamprati, who appeared for the Director of Public Prosecutions, informed the Court that, on his instructions there had only been a handful of instances in which police prosecutors, who generally conduct prosecutions for s60(1) offences in the Local Court, had raised the possibility of an appeal against inadequacy of sentence with the State Director of Public Prosecutions.
41 The Attorney presented to the Court details of a significant number of cases in which a term of imprisonment was in fact imposed by magistrates. In many of these cases, there was much to support the submissions that the length of the sentence was inadequate, perhaps manifestly so. However, there was nothing to suggest that such defects could not be cured by the normal appeal process. Furthermore, the Attorney does not seek a guideline in numerical terms which would have any effect on such cases.
42 In R v Jurisic at 229, I identified a significant number of successful Crown appeals from sentences for offences under s52A of the Crimes Act 1900. It appeared that sentencing judges had ignored the guidance given in a number of decisions of the Court of Criminal Appeal (see at 229-230). I referred to these considerations in R v Whyte in the following terms:
"[142] Prior to Jurisic there were a number of decisions of this Court which had identified such principles applicable to s52A of the Crimes Act, drawing from time to time on the case law of other jurisdictions for parallel offences. However, it was apparent to this Court in Jurisic that these principles had not been applied by sentencing judges. In particular the weight to be given to the need for public deterrence and the seriousness with which the community regarded the particular offences, manifest in a substantial increase in maximum penalties, had not been reflected in a substantial number of cases. As a result there was a flow of almost invariably successful Crown appeals against sentences imposed under s52A. (See Jurisic at 229.) The large proportion of cases that did not result in a term of actual imprisonment suggested a pattern of leniency and of inconsistency on the part of sentencing judges. The numerous statements in this Court about the need for a sharp upward movement in the sentencing pattern (e.g. R v Slattery (1996) 90 A Crim R 519) had been ignored by a significant number of sentencing judges. An approach limited to the identification of relevant sentencing principles had proved inadequate."
43 Furthermore as I said in Whyte:
"[184] As the experience of this Court with respect to sentencing for s52A prior to Jurisic shows, the mechanisms for ensuring consistency in the absence of guideline judgments may prove to be defective. This is, in part, a reflection of the restrictions applicable to Crown appeals which do not apply severity appeals.
[185] The normal appellate process is not always able to ensure consistency in results in the sense that similar cases are treated similarly. The words of the statutory provisions establishing a right of appeal by the Crown against inadequacy of sentence have been interpreted by the Courts to be subject to a number of restrictions. These restrictions include observations that such appeals should be rare. Furthermore, the determination of Crown appeals are subject to what has been described, not particularly accurately, as "the principle of double jeopardy". No such restrictions are imposed on severity appeals. The result is sometimes an imbalance in the outcomes of the appellate process. Guidance by an appellate court of a numerical character is at least capable of minimising such inconsistency."
44 Nothing of this kind applies in the present case. Not only is there no experience of unsuccessful Crown appeals against sentences by magistrates, the restrictions on Crown appeals are not of the same character.
45 The Director of Public Prosecutions has the right to appeal to the District Court against any sentence imposed by a magistrate under s133F of the Justices Act 1902. That section provides as follows:
"133F(1) The Director of Public Prosecutions may appeal under this Division to the District Court against any sentence imposed by a magistrate in proceedings of a kind set out in subsection (2).
(2) An appeal may be made in any of the following proceedings:
(a) proceedings for an indictable offence dealt with summarily by a magistrate,
…"
46 The nature of an appeal under this section is not that of a court of review but a hearing de novo. The judge of the District Court exercises his or her own discretion to determine the appropriate sentence. Accordingly, pursuant to s133I, the powers of the District Court are identified as follows:
"133I(1) The District Court may, after hearing an appeal, determine the appeal by dismissing the appeal or by doing any one or more of the following:
(a) confirming, quashing, setting aside, varying, increasing or reducing the sentence appealed against,
(b) imposing such sentence as may seem proper to the District Court."
47 There is authority for the proposition that, in exercising this jurisdiction, the District Court must take into account the element of double jeopardy involved in a Crown appeal and also that the Court retains a discretion not to intervene, notwithstanding that it has formed the view that the sentence of the magistrate was not appropriate. The Court received no submissions on this line of authority. It does, however, appear that at least some of the inhibiting factors that render the appellate process less efficacious in the case of appeals to the Court of Criminal Appeal, do not apply to appeals from the decisions of magistrates to the District Court.
48 This Court should be slow to come to a conclusion that there can be detected any systematic pattern of leniency in sentences by magistrates in a context where the Crown has not exercised its right to lodge appeals against the leniency of sentences at all. The position may well be different if there appeared to be a systematic failure by the District Court to correct a pattern of lenient sentencing by magistrates.
49 The failure to appeal was emphasised in submissions to this Court by Mr P Zahra SC, the Senior Public Defender. The reply of the Attorney was:
"It would be desirable for more magistrates' decisions to be the subject of review in the District Court before an approach to this Court. However, the public importance associated with ensuring that the appropriate approach be taken to the sentencing of offenders for this offence, supports an application to this Court for a guideline judgment. Statements of the applicable sentencing principles and appropriate guidelines pronounced by this Court will ensure more consistency in sentencing offenders for this offence than a determination of a number of District Court appeals."
50 In oral submissions, Mr Cogswell SC emphasised the possible role of a guideline judgment in overcoming a significant divergence between sentencing principle and sentencing practice.
51 There were, no doubt, occasions on which many judges would have agreed that the sentence imposed in a particular case summarised in submissions to this Court was manifestly inadequate. Some of the particular examples mentioned in the submissions do suggest such a conclusion. However, the reliance by the Attorney on a number of cases in which imprisonment was ordered but, it was submitted, the terms were too short, appears to be misplaced. The proposed guideline does not contain any element affecting the length of sentences of imprisonment. It focuses on circumstances in which a custodial sentence is to be imposed, without reference to length. This, no doubt, reflects a recognition of the wide range of offending behaviour capable of constituting an assault.
52 Before this Court decides that guidance is appropriate it should be satisfied that the pattern of inadequacy extends beyond particular instances. The absence of appeals from magistrates suggests that inadequacy has not been regarded as systematic by the police prosecutors who are closest to day-to-day decision-making by magistrates.
53 We are here concerned with an offence about which this Court has no direct experience on which to draw. The assessment of existing sentencing patterns cannot be made with the same level of assurance as it can be with respect to offences that frequently come before this Court. The Court should be slow to make such an assessment where the usual course of Crown appeals has not occurred.
54 The Senior Public Defender submitted that, if appropriate under any circumstances, a guideline judgment with respect to the present offence is premature. In this respect he relied in part on the recent enactment of the amendments to the Sentencing Procedure Act by the 2002 Act. Those amendments include the identification of purposes of sentencing in s3A. They also include the identification of a list of aggravating and mitigating factors in the new s21A.
55 Many of the listed aggravating and mitigating factors reflect the common law. Nevertheless, some are expressed in ways which differ from that contained in any judgment. Furthermore, they differ from the list of considerations identified in the former s21A which was based in large measure on s16A of the Commonwealth Crimes Act. That section included matters covered in the new s3A as well as many of the matters referred to in s21A.
56 The list of aggravating factors is stated in a form which has not hitherto been required to be taken into account by sentencing judges. The guideline proposed is basically derived from this list of aggravating factors plus three specific additional ones, based on circumstances that often arise with respect to offences under s60(1).
57 Further, this Court did not receive submissions about the impact of s3A of the 1999 Act which also takes effect from 1 January 2003. It is arguable that some of the "purposes of sentencing" which must now guide sentencing decisions constitute a change of pre-existing sentencing principle.
58 For example, "prior" case law refers to the role of sentencing to protect the community, but that objective was often said to be achieved by means of rehabilitation, deterrence or retribution. Section 3A(c) now suggests that this should be regarded as a separate "purpose" and one concerned with protection of the community "from the offender".
59 It may also be arguable that s3A(c) - making the offender "accountable" - introduces a new element into the sentencing task. The same may be true of the reference to "harm" to "the community" in s3A(g).
60 In the absence of argument, I would not wish to be understood to be expressing a view on these matters. The possibility that prior sentencing principle may need to be reviewed does, however, support the conclusion that the present application is premature.
61 The guideline is sought at a time when the new identification of the purposes of sentencing and the specification of a list of aggravating factors has not been considered by any court. What, if any, effect this new regime will have on the sentencing pattern for offences under s60(1) of the Crimes Act must be a matter of speculation.
62 Finally, as I have noted above, both offences under s60(2) and s60(3) of the Crimes Act 1900 are included in the table for which the Sentencing Procedure Act now provides for a standard non-parole period. Though not directly relevant for purposes of s60(1), the three subsections of s60 clearly involve offences in a hierarchy, with the maximum sentences increasing from five years to seven years to twelve years, being respectively three years, two years and two to five years longer than the maximum sentences for the parallel offences when committed against a person other than a police officer. A new sentencing pattern may well emerge for s60(2), because of the introduction of standard minimum non-parole periods. This new pattern could have an influence on future sentencing patterns for s60(1).
63 In my opinion, this Court should allow the new legislative scheme to operate, and to acquire some experience with its effects, prior to determining a guideline with respect to this offence.
64 The cumulative effect of the considerations I have discussed is, in my opinion, that the Court should decline to issue a guideline of the character sought, at this time.
65 WOOD CJ at CL: I have read in draft the judgment of Spigelman CJ. I agree with the conclusion reached, and with the reasons of his Honour.
66 GROVE J: I agree with Spigelman CJ.
67 SULLY J: I agree with the Chief Justice.
68 JAMES J: I have read in draft the judgment of the Chief Justice and I agree with his Honour's judgment.
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