[2023] VSCA 207
General information, not legal advice.
Court of Appeal (Vic)
2023-09-05
Ms J, Mr J, Niall JA, Kennedy JA, MacAulay JA
Original judgment source is linked above.
[2023] VSCA 207
[2023] VCC 492 (Judge Smallwood)
CRIMINAL LAW - Director's appeal - Sentence - Respondent guilty of four counts of sexual penetration of child aged 16 or 17 years and under care, supervision or authority - Sentenced to 4-year community correction order - Whether trial judge misapplied section 5AA of the by taking into account offender's good character in mitigation - Minimal submissions made at trial on application of - No evidence led at trial whether good character assisted the offending - No error on behalf of trial judge - Whether sentence manifestly inadequate - Sentence wholly within range open to trial judge - Appeal dismissed.
Sentencing Act 1991, s 5AA considered.
Bhatia v R [2023] NSWCCA 12; Fichtner v The Queen [2019] VSCA 297; Ryan v The Queen (2001) 201 CLR 297; Wakim v The Queen [2016] VSCA 297; AH v R [2015] NSWCCA 51; R v Stoupe [2015] NSWCCA 175, considered.
(1) Despite section 5(2), in sentencing an offender for a child sexual offence, a court must not have regard to the offender's previous good character or lack of previous findings of guilt or convictions if the court is satisfied the offender's previous good character or lack of previous findings of guilt or convictions was of assistance to the offender in the commission of the offence.
Ground 1: Did the judge err in applying s 5AA of the Sentencing Act 1991?
that the evidence does not reflect Ms Ooms' previous good character or lack of previous findings of guilt or convictions was of assistance to her in the commission of the offences. The offending was facilitated (and constituted by) Ms Ooms' position of care and supervision as opposed to her good character.
I decided to ring a senior Crown prosecutor just a short time ago. I'm instructed to submit that it's actually 5AAA of the Sentencing Act,[4] I'm instructed to submit that it applies in this case in that under that provision, the court must not have regard to an offender's previous good character or lack of criminal record if the court is satisfied that their good character or lack of criminal record was of assistance or help in the commission of the offence.
Now, I have trouble - sorry. My troubles shouldn't bother the court but I had some queries about that. I spoke to [a senior Crown prosecutor] about it and we resolved to make the submission and it's suggested on behalf of the Crown that her lack of - her good character - previous good character and lack of previous convictions operated to give her the opportunity. Now, I - it's difficult to think of - - -
HIS HONOUR: Well I - that's extraordinarily tenuous in my view.
[PROSECUTOR]: Well - - -
HIS HONOUR: For me to do that would be running a real risk of appealable error.
[PROSECUTOR]: Well anyway, that's the submission, and I don't take it any further.
HIS HONOUR: No, I hear what you're saying, I know these sections are sort of stuck in by armchair experts, as we all know.
[PROSECUTOR]: Yes.
HIS HONOUR: I wouldn't - look - anyone who's got a job - it's going to apply to anyone who's got a job. You know, if you're living in a town, you've shifted to a town as a teacher, even if the child is - and is under 16 say - the opportunity arises because you shifted to that town. It's just too tenuous.
[PROSECUTOR]: I hear what Your Honour says.
Firstly, there is clear material that you are of good character. There are no priors of any description. There has been nothing subsequently. I have references from your present employer where you are doing an apprenticeship. I have a reference from the [local] CFA, all of which speak very highly of you. You are clearly a community minded person and over the years have engaged yourself in community projects. Your plea of guilty was early and I have already indicated there is remorse, indeed, shame associated with it.[7]
(5A) In determining the appropriate sentence for a child sexual offence, the good character or lack of previous convictions of an offender is not to be taken into account as a mitigating factor if the court is satisfied that the factor concerned was of assistance to the offender in the commission of the offence.
It may be accepted that the Respondent's prior good character assisted him to hold the position of childcare worker, which he abused by the offences committed against the victim ... Although there may be circumstances where s 21A(5A) has no application. (See, for example, AH v R [2015] NSWCCA 51), the present case falls squarely within the terms of that provision.
Most institutional child sexual abuse offending in New South Wales may come within s 21A(5A) because prior good character may be likely to give the offender access to the institution. However, the requirement that the good character in question specifically aid the offence may limit the application of the provision, both in some institutional offending and in offending that is not in an institutional context.
All state and territory governments (other than New South Wales and South Australia) should introduce legislation to provide that good character be excluded as a mitigating factor in sentencing for child sexual abuse offences where that good character facilitated the offending, similar to that applying in New South Wales and South Australia.
The operation of section 5(2)(f) and (g) of the Sentencing Act 1991 and the common law in Victoria means that where an offender's previous good character or lack of previous findings of guilt or convictions may be considered in mitigation of sentence for child sexual offences - even where those attributes have assisted the offender in the commission of such offences (see Ryan v The Queen (2001) 206 CLR 267 and Wakim v The Queen [2016] VSCA 301). The intention of new section 5AA(1) is to alter the sentencing law on this point and give effect to recommendation 74 of the Royal Commission into Institutional Responses to Child Abuse's Criminal Justice Report.[27]
...will ensure that those who take advantage of their good reputation to commit sexual offences against children cannot then rely upon that reputation to argue for leniency in sentencing. This change is intended to displace the High Court's position on this matter in Ryan v. The Queen [2001] 206 CLR 267 and will implement recommendation 74 of the Royal Commission into Institutional Responses to Child Sexual Abuse's Criminal Justice Report.[28]
As can be seen, the section is only engaged when the sentencing judge is affirmatively satisfied that the offender's prior good character or lack of previous convictions 'was of assistance to the offender' in the commission of the offences. Ordinarily, therefore, a submission from the prosecution would be required before a judge would consider whether the circumstances of the case satisfied the statutory condition. The defence would, of course, need to have the opportunity to make submissions as to why the judge should not be so satisfied. None of those things occurred in this case.[29]
The language of the section is quite broad and is apt to catch a wider range of offenders than those who trade on their trusted position and good reputation to gain access to unsuspecting children because the child or parent is misled into believing the perpetrator is a person of good character. Some obvious examples would include priests and other members of the clergy, politicians, teachers and community leaders. The section would also apply to offenders, with no other connection to the family, who act as babysitters or carers by providing references attesting to their good character and reputation. It may also apply, in some instances, to family friends and relatives, but only where there is evidence going beyond the fact of the relationship and which suggests that the offender's good character or reputation played a role in assisting them to gain access to the child or to commit the offence. As I said at the outset, it would be wrong to be prescriptive and the application of the section turns on the facts of the individual case.[31]
If I'm being completely honest I know at the end of the day it's probably not considered at all, but I just - and you guys probably see it as she, you know, trying to get to me, but I just want to say that she's very nice, she's a very nice person and I know - I know for a fact that she wasn't trying to get at me to try and be a predator or anything like that and I believe that she genuinely had feelings for me and I know I did. As much as it's wrong, as much as I knew it felt wrong, I just - I know that she - she's not like that and I feel that I'm now, you know, making the right decision by saying that 'cause I just want to make sure that's clear on how - how I feel. It's because I just didn't want - I never wanted it to end like this and I never wanted her to feel, you know, have to cop it. So I just wanted to make sure that I've made it clear that I feel that she - she didn't mean it in the way that it's typically done I guess you could say, when a teacher tries to get to a student.[34]
I have already said I do not think it was predatory. He was vulnerable himself in that situation, but again I do not mean vulnerable in the sense of you being predatory. It was simply a situation where neither of you was thinking particularly straight and you were the one with the responsibility, not him.
As I said, it developed from inappropriate behaviour. There were no gifts, no threats, nothing along those lines. As I say, I have got nothing to compare it to in terms of comparable cases but it is important to, I think, remember that he was over 16. If he was under 16 this may have been a very, very different outcome.[35]
Ground 2: Was the sentence manifestly inadequate?
As I said at the outset, I think the normal situation here or the usual situation would be a custodial sentence, but in this particular set of circumstances it is clear that your risk of reoffending is low. I am very conscious, very conscious indeed, of general deterrence. I have to look at what the community expectation would be and, indeed, in the normal course of events community expectation would be, I think, a pre-emptive custodial sentence but, as I pointed out, this is not a charge of sexual penetration. It is a charge in its own right and the real crime is having engaged in a relationship whilst you were a teacher, not with a child effectively being unable to consent.
When I look at all of those matters and I look at the matter personal to you I think it is a very unusual situation in your personal circumstances, and I think it justifies the imposition of a non-custodial sentence. The principles involved in Verdins I think clearly apply. The overall circumstances which your mental health placed you in, I think gives rise to a reduction, albeit perhaps moderate in terms of moral culpability. I have got no doubt that if you were put in a prison environment it would be catastrophic for you and I am taking that into account. I have had you assessed for a CCO and I have read that report, as have indeed certainly counsel, and I do not think what is contained in there is a bluff. I think that for you to be imprisoned would cause extreme problems for you.
[1] The additional requirements were that the respondent be supervised by a Community Corrections Officer, undergo mental health assessment and treatment, and undertake programs and/or courses that address factors relating to the offending.
[2] Section 5(2)(f) and (g).
[5] DPP v Ooms [2023] VCC 492 ('Reasons').
[8] Bhatia v R [2023] NSWCCA 12 ('Bhatia').
[9] Fichtner v The Queen [2019] VSCA 297 ('Fichtner').
[12] (2001) 206 CLR 267; [2001] HCA 21 ('Ryan').
[13] [2016] VSCA 301 ('Wakim').
[14] Ryan (2001) 206 CLR 267, [36]-[37] (McHugh J).
[15] Ryan (2001) 206 CLR 267, [27] (McHugh J).
[16] Ryan (2001) 206 CLR 267, [29]-[30] (McHugh J).
[17] Ryan (2001) 206 CLR 267, [34] (McHugh J).
[18] Ryan (2001) 206 CLR 267, [34] (McHugh J); [70] (Gummow J); [148] (Hayne J); and [177] (Callinan J).
[19] AH v R [2015] NSWCCA 51 ('AH').
[20] AH [2015] NSWCCA 51, [25] (Hidden J, Beazley P and Fullerton J agreeing at [1], [34]).
[21] R v Stoupe [2015] NSWCCA 175 ('Stoupe').
[22] Stoupe [2015] NSWCCA 175, [56].
[23] Wakim [2016] VSCA 301.
[24] Wakim [2016] VSCA 301, [43].
[27] Explanatory Memorandum, Justice Legislation Amendment (Victims) Bill 2017.
[28] Victoria, Parliamentary Debates, Legislative Assembly, 13 December 2017, 4359 (the Hon. Martin Pakula, Attorney-General).
[29] Fichtner [2019] VSCA 297, [86] (Maxwell P, Kaye JA).
[30] Bhatia [2023] NSWCCA 12, [13]-[14] (Beech-Jones CJ at CL).
[31] Bhatia [2023] NSWCCA 12, [144] (Hamill J).
[32] Bhatia [2023] NSWCCA 12, [146] (Hamill J).
[33] Criminal Procedure Act 2009, Part 8.2, Division 5.
[37] Clarkson v The Queen [2011] VSCA 157; (2011) 32 VR 361, [89] (Maxwell ACJ, Nettle, Neave, Redlich and Harper JJA); [2011] VSCA 157 ('Clarkson').
[41] Worboyes v The Queen [2021] VSCA 169, [35] (Priest, Kaye and T Forrest JJA).
[42] Reasons, [26]. On the plea, counsel for the respondent relied, inter alia, on Duncan v R [2012] NSWCCA 78, [28] and Kenny v The Queen [2010] NSWCCA 6, [49].
[43] See Clarkson [2011] VSCA 157; (2011) 32 VR 361, [53] (Maxwell ACJ, Nettle, Neave, Redlich and Harper JJA); [2011] VSCA 157.
[44] R v Verdins [2007] VSCA 102; (2007) 16 VR 269, [32] ('Verdins'); [2007] VSCA 102.
[45] DPP v Dalgliesh [2017] HCA 41; (2017) 262 CLR 428, 445-9 [49] (Kiefel CJ, Bell and Keane JJ); [2017] HCA 41.
[46] Brown v The Queen [2020] VSCA 212; (2020) 62 VR 491, [61]-[62] (Maxwell P, Niall, T Forrest, Emerton and Osborn JJA); [2020] VSCA 212; Langton (a pseudonym) v The Queen [2022] VSCA 79, [33]-[34] (Maxwell P, McLeish and Macaulay JJA).
DPP
Ooms [2023] VSCA 207
(2001) 201 CLR 297
(2020) 62 VR 491
(2001) 206 CLR 267
(2011) 32 VR 361
(2007) 16 VR 269
(2017) 262 CLR 428