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[2011] VSCA 136
Court of Appeal (Vic)
2011-05-12
Original judgment source is linked above.
(Unreported, County Court of Victoria, Judge Hampel, 20 October 2009)
CRIMINAL LAW - Conviction - Plea of guilty - Whether appellant doubly punished - Facts supporting sentence on one count, as prosecution put its case, in substance punished by conviction and sentence on another count - Leave granted to appeal against conviction on first count - Appeal allowed - Conviction quashed - Judgment and acquittal entered.
CRIMINAL LAW - Sentence - Judge misinformed as to maximum penalty on some charges - Materiality conceded - Whether insufficient account of totality - Whether excessive cumulation of sentences - Appeal allowed and appellant re-sentenced.
1 Paul Maher, a man born 3 December 1984, and so now aged 26, appeals by leave against sentence imposed upon him in the County Court on 20 October 2009. He pleaded guilty to the offences which I now summarise, and was sentenced as follows:
Intentionally damaging premises by fire, with intent to endanger life, 27 August 2008
Possession of an item with purpose of using it to damage premises in a way which he believed was more likely than not to endanger life, 27 August 2008
Entry as trespasser with intent to damage property, 18 October 2008
2 years and 6 months' imprisonment (1 year and 6 months cumulated)
Stalking, between 18 October and 21 October 2008
1 year and 6 months' imprisonment (9 months cumulated)
Entry as trespasser with intent to assault a person therein, armed with offensive weapons, between 19 and 21 October 2008
Summary charges uplifted from the Magistrates' Court
(7) Breach of Intervention Order, 27 August 2008
(8) Breach of intervention order, 18 October 2008 (by making telephone calls to the complainant)
(9) Breach of Intervention Order, 18 October 2008 (by attending and entering complainant's residential premises)
(10) Breach of Intervention Order 21 October 2008 (by attending and entering complainant's residential premises)
(11) Aggravated cruelty to animal 21 October 2008
1 year and 6 months' imprisonment (6 months cumulated)
The total effective sentence was 9 years and 9 months imprisonment.
The judge fixed a non-parole period of 6 years and 9 months imprisonment.
The judge made a declaration of 409 days of pre-sentence detention.
2 The appellant relies upon the following grounds of appeal:
Ground 1: The sentencing discretion miscarried in that the LEARNED Sentencing Judge sentenced the appellant on the basis that the maximum penalty for three of the four summary charges of Breach of Intervention Order was 5 years imprisonment.
Ground 2: The LEARNED Sentencing Judge erred in failing to have sufficient regard to the principles of totality.
Ground 3: The LEARNED sentencing Judge erred in failing to have sufficient regard to the need to avoid double punishment.
Ground 4: The Sentence imposed was manifestly excessive.
3 The judge described the appellant's offending, and events which were peripheral to it, as follows:
You told you had come to do the job properly, this time. She was so afraid that she and her son left the flat and she went to live with her parents in Coolaroo. A week after that, you went to her parents' home. You began to argue with her father and brother. The altercation became physical. Ms Forehan witnessed you and her brother throwing punches at each other. You then drove off, driving in such an erratic manner that Ms Forehan's brother was struck by your car. He was uninjured.
4 The appellant was 24 at time of offending and 25 at time of sentence. He had no prior convictions. The second group of offences was, however, committed whilst he was on bail granted after the first series of offences.
5 The appellant was held in custody between 21 October 2008 and sentence on 20 October 2009. In that time he successfully completed a number of relevant courses. The judge found that -
6 Concerning the appellant's antecedents, the judge said this:
'It would appear that Mr Maher has had a problematic early life and his presentation and history would suggest that he is suffering from a personality disorder, with borderline personality features. It would appear that the current criminal charges have evolved in the context of a highly conflictual relationship between himself and his ex-partner, the mother of his son. The conflict has been about Mr Maher's access and ability to have contact with his son and there is some evidence that Mr Maher has been excluded from the relationship with his son. Although it is clear that his own behaviour has probably been extremely difficult over and this complicates the picture involved with the child.'
'In addition he has marked interpersonal difficulties, mood regulation problems further impaired by substance abuse, and self-harm ideation and actions. I agree with Dr Kennedy that these features are in accord with a borderline personality structure.'
'Mr Maher does not appear to have a clear understanding of the fear created by his actions and tends to attribute his behaviour to his substance abuse at the time. Nevertheless, he has exhibited a sustained and severe attack upon his ex-partner, and notwithstanding his frustration at her behaviour following the relationship breakdown has engaged in grossly aggressive behaviour. As part of his difficulty in coping with the relationship breakdown is likely associated with personality disorder he should in future be wary of entering relationships unless engaged in some form of psychological treatment to assist him in managing the emotional demands of a relationship.'
'For any community based disposition or parole period he should remain subject to stringent monitoring of substance use with a low threshold for breach of any order should he engage in substance abuse. Mr Maher should henceforth avoid benzodiazepines as they may paradoxically worsen aggression. He may benefit from sustained treatment with mood stabilisers, antidepressants or antipsychotic medication to assist him in managing his anger. A Forensicare review prior to proposed release into the community would be warranted to determine if mental health intervention could assist him to remain free of future offending.'
8 The judge was told on the plea that the first offence of breach of an intervention order carried a maximum penalty of two years' imprisonment, and that the second to fourth offences of that kind carried a maximum penalty of five years' imprisonment. The judge said nothing about the maximum penalty for any of those offences, but the sentences which she imposed on charges 8-10 were substantially greater than the sentence passed on charge 7, likewise the orders for cumulation.
9 Counsel for the Crown conceded that the judge had been misinformed. The effect of the relevant legislation was that the higher maximum penalty only applied to an offender who, at the time of committing the relevant offence, already had a previous conviction recorded for that offence.[1]
10 Counsel for the Crown further conceded that the error in this case was material, and that the sentences imposed were of 'significant magnitude'. Specific sentencing error was, in these circumstances, conceded.
11 Counsel for the appellant submitted that all the offending was inter-related, although there were different episodes of offending. Moreover, counsel submitted, there was direct overlap between groups of offences -
(a) counts 2, 3 and charge 7
(b) count 4 and charge 9
(c) counts 5 and 6 and charges 10 and 11.
12 Counsel rightly accepted that, particularly in circumstances where some offences were committed whilst the appellant was on bail, there must be some cumulation. But he submitted that the orders made for cumulation showed that insufficient regards had been had to totality. He instanced the extent of cumulation imposed in respect of the sentences on counts 4 and 6, and the sentences on counts 5 and 6.
13 Counsel for the Crown submitted that the following classes of offences warranted substantial concurrency:
(a) counts 2, 3 and charge 7;
(b) count 4 and charge 9;
(c) counts 5, 6 and charges 10 and 11.
14 He contended, however, that there was no fault in the extent of cumulation ordered in respect of the sentences on counts 4 and 5.
15 In my opinion, the conduct the subject of counts 4 and 6 was sufficiently separate in time and content, to justify an extent of cumulation of the sentence on the former count upon the sentence on the latter count. The same may be said of the conduct the subject of counts 5 and 6.
16 I turn to the relationship between, on the one hand, the stalking counts and the burglary and aggravated burglary, and, on the other hand, the breaches of the intervention order. It appears to me that the distinct criminality of the offending means that there should be some cumulation between the sentences imposed. Breaches of the intervention order were, in terms, disobedience of a court order. It would be inappropriate if that was not reflected in the breaches having a real impact upon sentence. But, to meet the totality point, some amelioration of the individual sentences for the breaches and on the other counts is, in my view, required.
17 Counsel for the appellant sought leave to appeal against conviction on count 3, notwithstanding that his client had pleaded guilty to that count. No application for extension of time within which to give notice of application for leave to appeal against conviction has been filed or served. No explanation has been given why the appellant pleaded guilty, or why the supposed fault was not detected in the period limited for bringing an application for leave to appeal against conviction. But, counsel argued, the merits of the matter were so clear that his client should be permitted to appeal against conviction on count 3, and the appeal should be allowed.
18 Counsel did not contend that the elements of counts 2 and 3 were the same. Nor did he argue that it was an abuse of process for count 3 to have been laid against his client. His submission was rather that, as the prosecution had laid out its case, the facts supporting sentence on count 2 left no criminality unpunished which could be the subject of punishment on count 3.
19 In support of his submissions, counsel referred to the prosecutor's opening on the plea:
The Crown submits that on count 3, that essentially forms part of the facts on count 2, and any sentence on count 3 could in fact be concurrent with count 2.
20 Counsel also referred to these passages in the sentencing remarks:
They saw you at the window holding something which was flaming in your hands. It was a Molotov cocktail which you threw into the rear yard of the house where it set the grass on fire. Moments later, you threw a second Molotov cocktail through the front lounge room window where the family was sitting. The glass shattered and the curtains and carpet in the lounge room caught alight. The family fled to the back garden, to escape the flames in the loungeroom. You rang [the victim's mother] on her mobile telephone and said to her 'you are all fucken dead'. It is this conduct that constitutes Count 2, arson endangering life and Count 3 possess an item with intent to damage property and endanger life.
Count 3, the count of possession of a dangerous item, is as I see it rolled up with the arson charge and therefore I propose to make the sentence on Count 3 totally concurrent.
21 Counsel's argument in short, was that, so far as could be ascertained, the Crown had put its case on count 3 as possession of the Molotov cocktails in the moments before they were used to start the fires the subject of count 2.[2] It was not a case that the appellant had, after manufacturing the devices, possessed them whilst travelling to the vicinity of the complainant's home. Neither was it the Crown case that count 2 referred to one of the devices, and count 3 to the other.
23 Counsel for the Crown conceded that the sentence imposed on count 3 was excessive. The appellant, he submitted, had been doubly punished, with respect to count 3, because of the substantial sentence imposed on count 2. But it had nevertheless been proper to record a conviction on count 3. Counsel reasoned this way:
'To the extent to which two offences of which an offender stands convicted contain common elements, it would be wrong to punish that offender twice for the commission of the elements that are common.'
'But where, as here the act for which the applicant was to be sentenced on count 1 was the same act as he was to be sentenced for on count 2 and there was no fact or matter that should be taken into account in sentencing on one count that would not be taken into account in sentencing on the other count it was, in my view, oppressive and unfair to punish him twice. The conviction on count 2 should be quashed.'
24 In response to my question, counsel for the Crown agreed that the logic of the Crown's position meant that a small sentence should be imposed on count 3, rather than that there be a bare conviction.
25 The written Crown opening was made an exhibit on the plea. The judge's recitation of the facts of counts 2 and 3 set out at [20] above is in conformity with the opening. This shows that the factual substratum relied upon by appellant's counsel in this Court was correct.
26 The case is not akin to Sessions. There, the one piece of conduct constituted the actus reus of the two offences. It was illusory to break down the penetration of the victim's vagina into an initial, and then a continued, penetration.
27 Sessions does, however, make the presently-relevant point, by reference to the Sentencing Act, that conviction is an element of an offender's punishment. An offender is not to be punished twice for the same act or omission (in Victoria, a principle stated by s 51(1) of the Interpretation of Legislation Act 1984). For that reason, concurrency of sentence is not enough.
28 Le involved a man convicted, inter alia, of reckless conduct placing another in danger of serious injury, recklessly causing injury, and being a prohibited person who possessed, and used, an unregistered firearm. The offences were committed when, in the case of a dispute about a motor vehicle purchase, the appellant produced a pen pistol and discharged it at another man, the man suffering injury. The actus reus of three counts was identical - that is, firing the pistol. This Court concluded that two of the convictions should be set aside - either by application of s 51 of the Interpretation of Legislation Act 1984, or else as a miscarriage of justice.
29 In that case there was a necessary and entire coincidence of the actus reus.
30 In Sari, the Crown conceded that the appellant had been subjected to double punishment, whether by conviction on a count of criminal damage when the appellant had already been convicted on a count of riot, or else because part of the sentence on the former count was cumulated on the sentence passed on the latter. The criminal damage was done in the cause of the riot. The Court permitted an application for leave to extend time for making application for leave to appeal against conviction, and the making of the latter application, to be pursued orally. The applications were successively granted and the appeal succeeded.
31 Sari, then, was a case in which the actus reus of the criminal damage count was part of the conduct which constituted the riot count.
32 Bradley was a case in which counts of reckless conduct endangering life and intentionally causing injury were founded on the same conduct. The appellant had fired a gun repeatedly in the direction of a police officer. One of the bullets struck the officer.
33 Again, that was a case in which the conduct which constituted the count of recklessly causing injury was part of the conduct which constituted the reckless endangerment.
34 In Langdon, the appellants were convicted of trafficking an illicit drug, and with possession of that drug. Gillard AJA, in giving the leading judgment, concluded that 'the traffickable quantity possessed was realistically the balance of the stock held for trafficking'; and that 'the possession was part and parcel of the trafficking'.[8] The convictions on the possession counts were quashed.
35 The circumstances in Langdon involved less clear coincidence of conduct than did the other authorities to which I have referred. The decision turned, as I see it, on the application of an approach which avoided 'excessive subtleties and refinements'.[9]
36 In the present case, I do not doubt that the Crown could have pursued counts 2 and 3 in a way which demonstrated that quite discrete conduct was relied upon in each instance. It might have been said, for instance, that count 3 was established by the appellant, having made the devices at a place distant from the victim's home, then transporting them to the vicinity of that home with relevant intent. Alternatively, it might perhaps have been said that count 3 was constituted by possession of one of the devices, and that the act of arson was constituted by using the other device to start the fire within the premises. In this Court, indeed, counsel for the Crown characterised the count 3 conduct in the first of the ways just mentioned. But neither of those ways was the way in which the Crown put its case below; and it should not be permitted to put a different case on appeal.
37 I have considered whether the appellant's guilty plea to counts 2 and 3 permits a conclusion that he understood that the case against him was being put in a way which differentiated the conduct, as a matter of substance, upon which the Crown relied as being relevant to the two counts. But I could not so conclude. The statement of facts opened by the prosecutor was said to be agreed. But it gives no hint of any such differentiation.
38 As the Crown did put its case, I allow that there was, logically, a moment when the incendiary devices were possessed with relevant intention antecedent to the act(s) being done with relevant intention which constituted count 2. But it would be very artificial to break up the conduct so as to justify punishment on two counts. In my opinion, avoiding excessive subtleties and refinements, and having regard to the case as it was conducted, the appellant should not have been punished, by conviction, on count 3.
39 I would treat the appellant as having made oral application for extension of time to give notice of application for leave to appeal against his conviction on count 3. I would grant the application. I would treat the appellant as having given notice of application for leave to appeal against conviction on that count. I would grant the application and allow the appeal,[10] quash the conviction on count 3, and direct a judgment and verdict of acquittal on that count.
40 Appellant's counsel submitted that, although there could be no denying the seriousness nature of the offending, and the terrifying ordeal to which the victim was subjected, and although a stern sentence was called for, yet the mitigating circumstances identified by the judge were weighty. Despite the 'very disturbing nature' of the offending, the overall sentence was, counsel submitted, impermissibly great.
41 Counsel for the Crown submitted that there was 'much to be said for the arguments raised by the appellant', notwithstanding that the prosecutor had advanced a head sentence range of eight to ten years' imprisonment and a non-parole period range of six to eight years. He submitted specifically that the sentence on the animal cruelty charge was 'stern.'
42 The sentencing errors exposed by grounds 1 to 3 necessitate the appeal being allowed and the appellant being re-sentenced. It is inevitable that, as counsel for the Crown specifically accepted, the sentence overall must be a lesser one.
43 For that reason, nothing much is to be gained by separately considering ground 4.
44 I add only this. It was not submitted for the appellant that the evidence of the appellant's personality disorder, made the worse by his drug use, called into play any aspect of the sentencing considerations mentioned in R v Verdins.[11]
45 Having regard to all the matters which I have mentioned, I would re-sentence the appellant as follows:
Count 1: 9 months' imprisonment (3 months cumulated).
Count 2: 4 years' imprisonment (1 year cumulated).
Count 4: 2 years and 6 months imprisonment (1 year and 3 months' cumulated).
Count 5: 12 months' imprisonment (3 months cumulated)
Count 6: 5 years imprisonment (base sentence)
Charge 7: 3 months' imprisonment (1 month cumulated)
Charge 8: 4 months' imprisonment (1 month cumulated)
Charge 9: 4 months' imprisonment (1 month cumulated)
Charge 10: 4 months' imprisonment (1 month cumulated)
Charge 11: 1 year's imprisonment (3 months cumulated)
Charge 12: 6 months imprisonment.
46 The total effective sentence would be eight years and four months' imprisonment. For the reasons expressed by the judge at [54] in her sentencing remarks,[12] I would fix a non-parole period of five years and nine months' imprisonment.
47 Had the appellant been convicted after trial, as at present advised I would have imposed an overall sentence of ten years imprisonment; and I would have fixed a non-parole period of seven years and four months' imprisonment.
[1] Crimes (Family Violence) Act 1987, s 22; Kennan v Mears (Supreme Court of Victoria, unreported, 25 January 1990).
[2] This assumes that Count 2 could be applied to the fire in the rear yard of the premises - a matter which the Crown opening left unresolved.
[3] [1998] 2 VR 304, 313-314.
[4] [2009] VSCA 247, [6]-[8].
[5] [2008] VSCA 137, [53]-[60].
[6] [2010] VSCA 70, [13],[25].
[7] [2004] VSCA 205; (2004) 11 VR 18, 38-39, [114]-[117].
[8] R v Langdon [2004] VSCA 205; (2004) 11 VR 18, 39 [117].
[9] Pearce v R (1998) 194 CLR 610, 623 [42] (Mc Hugh, Hayne and Callinan JJ).
[10] This was the course adopted in Sari.
Maher
The Queen [2011] VSCA 136
(2004) 11 VR 18
(1998) 194 CLR 610
(2007) 16 VR 269