Ground 6 - The Claim of Denial of Procedural Fairness in the Sentencing Process
30It will be convenient to commence with the sixth ground of appeal. Before doing so, however, mention should be made of the overlap between the grounds.
31In one way or another, each of the Applicant's grounds relate to a comparison of the Applicant's case with the sentence imposed upon the co-offender, Lo, by Adams J on 9 May 2003.
32In passing sentence upon Lo, Adams J used a starting point of imprisonment for 30 years. His Honour allowed an overall discount of 40% for that offender's voluntary admission of the crime to police upon arrest, his plea of guilty at the first practicable opportunity and his undertaking to give evidence against his accomplices. Taking into account the offence on a Form 1 (the offence of attempted armed robbery of Mr Stiffe committed on 14 May 2001), Adams J sentenced Lo to a full term of imprisonment for 18 years commencing on 3 July 2001 and expiring on 2 July 2019, with a non-parole period of 13 years and six months expiring on 2 January 2015.
Events Giving Rise to the Claim of Denial of Procedural Fairness
33The events upon which the Applicant relies, in support of the claim of a denial of procedural fairness during the sentencing process, commence with a discussion between the trial Judge and trial counsel for the Applicant soon after the jury had returned verdicts on 20 June 2003. During that discussion, his Honour said to counsel for the Applicant (T1-2, 20 June 2003) (emphasis added):
" You will recall that my starting point for Mr Lo was 30 years . You don't pass a sentence of that kind of severity by sleeping on it overnight, so what I would propose to do would be to hear submissions and then stand it over to a date to be fixed, depending on my own obligations in the Court, probably in a week or so I would expect. I would have no doubt a day would be enough.
From your client's point of view, Mr McColm, there's not, you would probably wish to make submissions on the facts?
MCCOLM [Applicant's trial counsel] : The facts.
HIS HONOUR: But I can indicate now that I will certainly not make adverse findings against your client on the basis of anything that Lo said about what happened in that room that sought to reduce his responsibility my view would be, at the present time at least, that they were equally responsible .
MCCOLM: That's what I would have put , so whatever occurred in the room, that on the material, that your Honour should not see it on the basis of anyone doing a particular act, and that's what my submissions would have been .
HIS HONOUR: You are pushing an open door there. That's my view, unless the Crown persuades me otherwise .
BARRETT [Crown Prosecutor] : I will not be making submissions ."
34The sentencing hearing proceeded on 21 July 2003. The Applicant's counsel tendered a report of Katherine Barrier, psychologist, dated 15 July 2003. The following exchange took place between the sentencing Judge and counsel for the Applicant (T28-30, 21 July 2003) (emphasis added):
"HIS HONOUR: Is it fair to say there is nothing in Ms Barrier's report which suggests your client has any mitigating, or for that matter, psychological features?
McCOLM: That is correct. In fact there is a term of being a normal and unremarkable--
HIS HONOUR: Murderer. There is no reason to think he is more dangerous than the acts which he has already committed would demonstrate or no reason to think that there is any psychological problem which mitigates his responsibility.
McCOLM: That is correct.
HIS HONOUR: Subject to what the Crown says my present view is that as between him and Lo I would frankly not believe what either of them said about who did what .
McCOLM: Your Honour indicated as much on the last occasion .
HIS HONOUR: In some respects there are some aspects of Lo's evidence which make him more persuasive but ultimately I could not be satisfied beyond reasonable doubt about matters adverse, in particular I could not be satisfied beyond reasonable doubt it was your client rather than he who either shot or used a knife and frankly I don't think it matters much . I think I said in my sentence reasons on Lo I didn't think it matters much and that is still my view .
McCOLM: It follows whatever the evidence was given in the course of the prosecution case as to what occurred in that room whatever did occur. Your Honour on the last occasion said 30 years was the starting point as far as the sentence was concerned. Your Honour has repeated as much again in dealing with Mr Higgins' [counsel for Lew] submissions . Lo got a 40 per cent discount in respect of his plea of guilty and assistance to authorities plus other subjective--
HIS HONOUR: There is one possible difference between Lo and your client and that is Lo was certainly planning this robbery before your client got involved .
McCOLM: It can't be said--
HIS HONOUR: The significance of that is something that has to be looked at carefully but it is a factor.
McCOLM: He definitely was not the instigator or planner of the robbery. Whatever the planning was he was not involved in that initial planning.
HIS HONOUR: He was involved in the planning enough on the crucial night. I am not sure it matters much but I think it is the same difference .
McCOLM: The other difference is while there was evidence he was present on 14 May and evidence he was aware as to what transpired on 14 May, he was not involved--
HIS HONOUR: He has not been charged with it.
McCOLM: Another difference is the difference in criminal records. David Ng has two offences on his criminal record, one for use of cannabis and one for the matter of assault. That matter for assault occurred in 1995 which is a bond. He used cannabis and received a fine. Ricky Lo had a number of matters on his record.
HIS HONOUR: That is true, although out of his own mouth he used heroin. It was not significant in Lo's case and it is not significant in yours.
McCOLM: Lo was on a recognisance at the time he committed these offences.
HIS HONOUR: I had no record to that. He has never been caught. On his own confession he was guilty of offences relating to heroin.
McCOLM: While he never had been caught, or contravened a court order of any kind.
HIS HONOUR: That is true.
McCOLM: They are the only differences I can point to between Ricky Lo and David Ng. As you see from the background in the report of Kathleen Barrier he is a young man 27 years of age. Up until recent times he had a steady work record. He was described as an unremarkable man. Came from Hong Kong and it is nothing to explain this behaviour in any way, his involvement in this matter by way of his background. Those are all the submissions.
HIS HONOUR: I don't want you to think you should be in a position that you are precluded from persuading me that the 30 year starting point which I imposed on Lo was too high. Obviously I have come to a view about it and I must have regard to what the law says because parity is a question but at the same time if there are any material matters which suggest that that starting point is too high from your client's point of view you should not be precluded from making those submissions and I will look at that independently and fairly from your client's point of view .
McCOLM: The main one is he was not the planner or instigator of this plan to rob the tavern. Secondly he must have been involved at a later stage. It was not his idea.
HIS HONOUR: Is there any reason why I should not accept the evidence that he split the proceeds equally with Mr Lo, leaving Mr Lew's account out of consideration?
McCOLM: There is no evidence I can point to to reject that.
HIS HONOUR: Except Lo's general unreliability?
McCOLM: No. Lo didn't account for what he did with his share so I can't go any further than that. It is just Lo's unreliability as to what occurred. While it is not the regime which is to be applied in this case the starting point under the Crimes (Sentencing Procedure) Act is 20 years as a standard non-parole period.
HIS HONOUR: For what offence?
McCOLM: For murder.
HIS HONOUR: There are murders and murders. This is a bad murder.
McCOLM: There are two counts on the indictment. Any sentences should be imposed for those two matters in the circumstances applicable to David Ng and they should be concurrent. They arise clearly within the same series of facts and were part of the one enterprise, although one that ended in such tragic circumstances."
35The Crown Prosecutor made submissions on the question of sentence. In the course of those submissions, the following exchange took place between the sentencing Judge and the Crown Prosecutor (T32-33, 21 July 2003) (emphasis added):
"BARRETT: Whether there was an earlier offence or not pales into insignificance. There is no distinction because they both clearly embarked on the offence, both deliberately took place in an execution style. Killing to avoid detection for their otherwise crime and they are responsible for it, whoever did what .
HIS HONOUR: Is the point you are making this : accepting for a moment there is an instigation issue so far as the robbery is concerned which is overwhelmingly the more serious it is clear they were equally involved. One didn't instigate the other. They were both involved. I understand that .
BARRETT: The sentence should be the same . It is artificial to distinguish between the culpability of Lo from Ng as to whoever was involved in an earlier robbery and whether Ng was or was not involved in the earlier robbery.
HIS HONOUR: The effect might be I might impose, leaving aside the discounts for a moment, a higher sentence on Lo for instigating the robbery but you would not distinguish between them when it came to the murder .
BARRETT: That is right. Ultimately there is no effective distinction between the conduct. I am talking about the ultimate sentence imposed on Mr Ng should not be distinguished, that would have been imposed on Lo but for the discount issues . These are the only submissions I make in relation to Mr Ng."
36At the conclusion of the Crown Prosecutor's submissions, the Applicant's counsel made the following brief submissions in reply (T38, 21 July 2003) (emphasis added):
"McCOLM: In response to the Crown's assertion there was evidence Ng got the gun, the Crown referred to the evidence of Tran and the evidence of Tran was also at that time Lo was present while the gun was being used and played with, that he came into the room while the gun was being played with.
HIS HONOUR: These are straws in the wind. In the end I don't think I could decide as between your client and Lo who found the gun . Each has a motive for lying about it Lo's is obvious, as is your client's motive."
37Adams J reserved his decision on sentence. On 20 August 2003, his Honour sentenced the Applicant and Lew. There is no dispute that his Honour did not call for further submissions between 21 July 2003 and 20 August 2003 on any issues pertinent to the sentencing of the Applicant.
Submissions
38Mr Boulten SC, for the Applicant, submits that practical injustice to the Applicant has resulted in this case as a result of the course of events between the delivery of verdicts by the jury and the sentencing of the Applicant. Put shortly, it is submitted that:
(a) his Honour identified a starting point by way of an upper limit of imprisonment of 30 years on the murder count, subject to any submission from counsel for the Applicant (to seek to reduce this figure) or from the Crown on that issue - the Crown did not submit that a longer sentence was required and, in fact, accepted the appropriateness of that starting point - despite this, and without providing the Applicant with an opportunity to make further submissions, his Honour proceeded to sentence the Applicant to a full term of imprisonment for 35 years on the murder count;
(b) in determining to sentence the Applicant for murder to imprisonment for 35 years, his Honour took into account (in a manner adverse to the Applicant) findings that the Applicant was "a markedly more dangerous man" than Lo (ROS [20]) and that the Applicant was "significantly older than Lo" and that his age did not "give rise to the same consideration that applied in Lo's case" (ROS [20]) when no such submissions had been made by the Crown, nor had such possible findings been identified by his Honour for comment by the Applicant's counsel.
39Mr Boulten SC submitted that the failure of the sentencing Judge to provide an opportunity to the Applicant to make submissions on these issues, in particular after his Honour had identified an intention to proceed by way of a starting point of 30 years, constituted a denial of procedural fairness: Baroudi v R [2007] NSWCCA 48; Button v R [2010] NSWCCA 264. It was submitted that the proceedings miscarried as a result of these matters, and that the Applicant was denied procedural fairness by virtue of the failure to give any indication that the sentencing Judge might impose a significantly longer sentence than was indicated during the sentencing hearing.
40The Crown submitted that the comments made by his Honour during the course of submissions should be construed as an acceptance that the objective criminality of the Applicant and Lo should be treated as the same, but not an indication that a starting point of 30 years' imprisonment was appropriate in the Applicant's case. It was submitted that counsel for the Applicant before Adams J had an opportunity to make submissions on sentence and that the Court should not conclude that a denial of procedural fairness had occurred.
Decision
41This Court has observed that it will not normally find an error of principle from interchanges between the Bench and counsel, since judicial views expressed during submissions do not necessarily reflect a considered decision: R v Pham [2005] NSWCCA 94 at [11]; R v Thompson [2005] NSWCCA 340; 156 A Crim R 467 at 474-475 [32]. It is the judgment of the Court which ought be considered for this purpose, and not exchanges between the Bench and counsel during the course of submissions.
42Of course, the Applicant does not seek to rely here upon exchanges during submissions to demonstrate an erroneous view of law or fact on the part of the sentencing Judge. Rather, the Applicant submits that the course of events demonstrates a denial of procedural fairness to the Applicant.
43The relevant principles to be applied when such a complaint is made were summarised helpfully by Garling J (Macfarlan JA and Johnson J agreeing) in Weir v R [2011] NSWCCA 123 at [64]-[67]:
"64 It is clear that an offender is entitled to procedural fairness during criminal proceedings, including proceedings on sentence: Pantorno v The Queen (1989) 166 CLR 466 at 472-3 per Mason CJ and Brennan J, 482-483 per Deane, Toohey and Gaudron JJ; Parker v DPP (1992) 28 NSWLR 282; Baroudi v Regina [2007] NSWCCA 48; Button v Regina [2010] NSWCCA 264.
65 The particular form which procedural fairness dictates may vary. That is because the content of the requirement of fairness may be affected by what is said and done during the proceedings: Re Minister for Immigration & Multicultural and Indigenous Affairs; ex parte Lam (2003) 214 CLR 1 at [34] per Gleeson CJ. Here the relevant process was the sentencing of Mr Weir by King DCJ in circumstances where, the applicant contends that, King DCJ indicated the sentence that he proposed to impose.
66 The key to determining whether there has been a breach of the requirement of procedural fairness is to ascertain the consequence of any departure from the dictates of proper procedure because what is ultimately in issue is whether unfairness has resulted from the process: See Lam at [34]. The concern of the law is to avoid practical, and not merely theoretical, injustice: Lam at [37].
67 One common basis for demonstrating that practical injustice and unfairness has occurred is where an individual has lost the opportunity to make submissions to the decision maker in opposition to a proposed course and in support of a course which he urges: Lam at [36]; Button at [18]."
44It is, of course, necessary to read fairly the entirety of the sentencing transcript and the remarks on sentence, for the purpose of determining whether practical injustice has been demonstrated in this case.
45It is apparent that his Honour articulated to counsel the 30-year starting point, utilised in sentencing Lo, as a prima facie starting point for the sentencing of the Applicant for murder. Soon after the jury had returned verdicts, his Honour stated this approach. His Honour's later comments reinforced this construction and understanding.
46His Honour expressed this view as being subject to any submissions from the Crown. The submissions of the Crown Prosecutor did not contend for a different conclusion. In fact, the Crown submitted that "the sentence should be the same" (T33.7, 21 July 2003).
47The Applicant's trial counsel approached the issue of sentence, as a matter of practical reality, upon the basis that an upper limit of 30 years constituted the starting point for the murder count, subject to any reduction flowing from acceptance of the Applicant's submissions. In circumstances where the Crown effectively endorsed the sentencing Judge's approach, it is understandable that the Applicant's counsel did not seek to address further on that issue.
48We are satisfied that there has been a practical injustice, and substantial unfairness to the Applicant in this case in at least two respects.
49Firstly, the Applicant received a longer sentence of imprisonment on the murder count than that which had been identified clearly by the sentencing Judge in the course of submissions, without any indication from his Honour that his view had altered in this respect, accompanied by an opportunity to make further submissions on the issue.
50Secondly, the finding that the Applicant was "a markedly more dangerous man" than Lo (as an apparent basis for moving upwards from the 30-year starting point) had not emanated from any submission from the Crown nor from any exposure of his Honour's provisional thought processes during the sentencing hearing. To the extent that the question of dangerousness was referred to at all in submissions, his Honour had said "There is no reason to think he is more dangerous than the acts which he has already committed would demonstrate or no reason to think that there is any psychological problem which mitigates his responsibility" (T28.17, 21 July 2003) (see [34] above).
51Nor was any submission made by reference to the principles in Veen v The Queen (No. 2) [1988] HCA 14; 164 CLR 465. The Applicant had a very limited criminal history (see [27] above). In sentencing the Applicant, his Honour observed that he "has no relevant criminal record" (ROS [14] at [26] above).
52It is important to observe that this ground does not contend that his Honour was bound to impose a particular sentence because of the Crown concession on sentence or the common position expressed by counsel. It is for the Court to decide on sentence. The sentencing discretion is to be exercised in the public interest: Chow v Director of Public Prosecutions (1992) 28 NSWLR 593 at 606E-F. There is no such thing as a plea agreement which restricts the sentencing Judge: GAS v The Queen [2004] HCA 22; 217 CLR 198 at 210-211 [27]-[32]; Ahmad v R [2006] NSWCCA 177 at [21]-[26].
53The present ground arises from the course of events which commenced with the expression of a 30-year starting point as a ceiling on the murder count, an expression which continued throughout the sentencing hearing.
54We are satisfied that the course of events in the sentencing proceedings gave rise to a denial of procedural fairness to the Applicant. In our view, Ground 6 has been made good.
55An acceptance of this ground does not mean that this Court will simply substitute what was indicated by the sentencing Judge as the sentence for murder in place of the sentence which was passed. The task of the Court is that described in Weir v R at [82], where error of this type was established:
"The Court should re-exercise the sentencing discretion, taking into account all relevant statutory requirements and sentencing principles, with the view to formulating the opinion, for the purpose of s 6(3) Criminal Appeal Act 1912 whether some lesser sentence is warranted in law: Baxter v R [2007] NSWCCA 237; 173 A Crim R 284 at 287 [19]. The Court is obliged to look at the objective seriousness of the criminality involved, the subjective features of the applicant and to consider what sentence achieves the purposes of sentencing set forth in s 3A of the Crimes (Sentencing Procedure) Act."
56Before exercising this function, however, it is appropriate to consider the other grounds of appeal.