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[2012] VSCA 148
Court of Appeal (Vic)
2012-06-29
Mr J, Hansen JA, Warren CJ, Redlich JA
Original judgment source is linked above.
R v [R S J] (Unreported, County Court of Victoria, Judge Pullen, 15 February 2010)
CRIMINAL LAW - Sentence - Multiple counts of incest and indecent assaults committed against daughter over period of 28 years - Worst category of offending - Guilty plea - Total effective sentence of 22 years and 5 months' imprisonment with non-parole period of 18 years not manifestly excessive - Judge's findings correct as to limited mitigatory relevance of appellant's age, health and mental impairment - Appeal dismissed.
1 I have had the benefit of reading in draft form the reasons for judgment of Hansen JA. I agree with his Honour, for the reasons that he gives, that the appeal should be dismissed.
2 It was accepted by counsel for the appellant that this was a unique worst category case which required a very substantial sentence notwithstanding the age of the appellant at the time of sentence. As a consequence of the imposition of the sentence of 22 years and five months' imprisonment with a non-parole period of 18 years, the appellant will not become eligible for parole until his 84th year. Thus, his primary argument that the sentencing judge had fallen into error in not giving the age of the appellant 'great weight'. Such an approach was said to be inconsistent with the approach of the sentencing to offenders of advanced years propounded in R v RLP.[1]
3 It was recognised in RLP that the advanced age of an offender may be a weighty consideration where a sentence is likely to require the offender to spend the whole or very substantial portion of the remainder of his life in custody. That consideration may require more punitive sentencing considerations to yield some ground to the need to exercise compassion to take account of the prospect that the offender may not live to be released. But as RLP states, just punishment proportionality and general and specific deterrence remain primary sentencing considerations. The sentencing judge was evidently conscious of these competing sentencing principles. Her approach reflects the fact that the weight to be given in the sentencing calculus to an offender's advanced years and ill health will diminish as the objective gravity of the offending conduct increases. Consequently, in a case where the offending conduct is so grave as to fall within the worst category of case, it
was open to the sentencing judge to attribute to these mitigating factors the weight that she did. For these and the reasons given by Hansen JA, I agree that the appeal should be dismissed.
4 The appellant, who is now aged 69, pleaded guilty in the County Court and, following a plea in mitigation, was sentenced on 15 February 2010 as follows:
5 The appellant was sentenced as a serious sexual offender in respect of counts 3-12 pursuant to s 6F of the Sentencing Act 1991. Pursuant to s 34 of the Sex Offenders Registration Act 2004 the applicable reporting period is the remainder of his life. There was also an order pursuant to s 464ZF of the Crimes Act 1958 for the provision of a forensic sample. Finally, the judge declared pursuant to s 6AAA of the Sentencing Act that the sentence that would have been imposed if convicted of the offences after trial would have been 27 years' imprisonment with a non-parole period of 23 years.
6 The appellant now appeals against sentence, relying on the following grounds:
7 Counsel argued grounds 1 and 2 together; it is thus convenient to deal with them together. Ground 3 is a stand alone ground.
8 The facts and circumstances of the offending are of such a despicable and deplorable nature that the case falls in the worst category of such cases. Consider this: the offences were committed over a period of 28 years against the one complainant ('M') who is the appellant's eldest daughter; she was the eldest of six children of the appellant's marriage. The offending commenced in 1977 when M was aged 13 and the appellant was 34, and concluded in 2005 when M was aged 40 and the appellant was 62. The offending was sustained, repeated, accompanied by violence and threats, and occurred despite the complainant's ongoing disclosures and pleas to social workers and others. As a result, the complainant bore four children to the appellant, in 1990, 1998, 2000 and 2001. The youngest child died in infancy. The eldest two children suffer from intellectual disabilities, while the third child receives ongoing speech therapy and has difficulty with social interaction.
9 The judge found it 'difficult to find words to adequately and appropriately describe [the appellant's] ongoing offending against' the complainant. That is not surprising having regard to the depraved nature of the appellant's conduct towards his daughter, in complete breach of trust and any principle of human decency, and the degradation of the complainant who must live with the horror for the rest of her life. Her Honour described the nature and circumstances of the offending as follows:
10 The following month, the complainant told her counsellor, Ms S, about this offending, and moved with her children to a secret address. She made a statement to the police in June 2005 but requested they not investigate the matter as she feared the appellant and his friends. The complainant took out an intervention order against the appellant in 2007. In 2008, she requested the police to investigate her allegations and a forensic sample was taken. The appellant was interviewed by police in July 2008. He denied the offending. Testing of the forensic sample supported the appellant being the father of the above three boys. When the police served the intervention order on the appellant in 2009, he made degrading remarks about the complainant and said that if he found her he would kill her.
11 Despite this attitude, the appellant pleaded guilty, indicating his intention to do so at committal on 14 July 2009, although he sought to minimise his role when discussing the matter with a psychologist and psychiatrist, including saying that the complainant effectively would not leave him alone.
12 Counsel on the plea did not seek to address the circumstances, or minimise the objective seriousness, of the offending. Rather, in seeking moderation in penalty he focussed on the appellant's personal circumstances, which included his age, a history of alcoholism leading to alcohol-related brain injury, a significant personality disorder, depression, suicidal tendencies, and admission to psychiatric hospitals for electro-convulsive therapy in the 1970s, and a medical history including an operation in 2009 to remove a tumour from the lung. In seeking support for his submissions counsel called a clinical neuropsychologist, Jane Lofthouse, and a psychiatrist, Dr Danny Sullivan. No other evidence was called and no testimonial from any person was tendered. It is thus in the reports and evidence of Ms Lofthouse and Dr Sullivan that reference is made to matters personal to the appellant. The judge made extensive reference to these matters in her sentencing remarks and it is unnecessary to set out all that is referred to. The following will suffice.
13 Ms Lofthouse saw the appellant on 23 November 2009 and provided a report dated 29 November 2009. She was asked to ascertain the presence (or not) of intellectual impairment, and to comment on the appellant's capacity to make reasoned decisions and understand the consequences of his actions. Subsequently, having been provided with further medical reports, including psychiatric reports from several institutions dated between 1969 and 1974, with a request for further comment on the appellant's intellectual function, she provided a supplementary report dated 19 January 2010 as an attachment to her earlier report.
14 Dr Sullivan interviewed the appellant on 18 November 2009 and provided a report dated 23 December 2009. He had been provided with Ms Lofthouse's report dated 23 November 2009.
15 In her sentencing remarks her Honour noted that the appellant's counsel had submitted that the appellant had limitations regarding his memory, for the purpose of being able to provide a history. It was thus that counsel relied on that obtained by Ms Lofthouse and Dr Sullivan. Her Honour set out the appellant's background as follows:
16 Her Honour then made extensive reference to Ms Lofthouse's assessment, to the historic mental health records, to more recent medical records and Dr Sullivan's opinion.
17 Ms Lofthouse assessed the appellant as being in the average range of pre-morbid intellectual functioning and his intellect in the borderline range. A pre-morbid assessment of average, compared to a current assessment of borderline indicated a decline in intellectual ability greater than would usually be expected. That was consistent with his history of alcohol abuse, that is, it indicated alcohol related brain injury.
18 In her sentencing remarks her Honour referred to Dr Sullivan's evidence as follows:
19 Her Honour noted that the appellant's counsel conceded that on the evidence it was difficult to find a causal link between diagnosis and the offending. There was 'not much by way of expert evidence to assist me', counsel said.[5] In essence, however, by reference to the appellant's personality disorder, depression and alcoholism being features of the appellant's life, although not causing the offending, counsel sought to avoid 'an over finding of a knowing and able man conducting these offences'.[6] That is, counsel submitted that the appellant's above features should be seen as 'to some extent leading [him] to not making calm and rational decisions'.[7] Counsel submitted that this bore on the appellant's moral culpability and that there should be 'some moderation' of general and specific deterrence. Referring to R v Howell[8] on which the appellant's counsel relied, her Honour concluded however that the evidence did not support a finding that the appellant was deprived of rational judgment at the time of the offending.
1. As conceded by the Crown, proposition 5 in Verdins was engaged.
2. However, the evidence did not support moderation of the appellant's moral culpability, general or specific deterrence.
Her Honour found:
21 Her Honour then dealt with submissions that the sentence should allow the appellant some prospect of life after prison, and as to his health and ongoing depression. Her Honour noted that the appellant conceded that he could be managed appropriately in custody. Her Honour said that she took the appellant's age into account 'to some extent in his favour' in determining the appropriate sentence. But given the objective seriousness of the offending, she did 'not give this great weight'.[9]
22 Her Honour then referred to the appellant being in protective custody, as he then was. While the future prospect of such detention was a factor relevant to sentence,[10] it was, her Honour noted, unclear what his status would be following sentence. Thus it was not a factor of significant weight in arriving at the sentence.
23 Her Honour did however accept that the appellant had not previously been in custody and that given his health difficulties custody 'will be arguably more difficult for you than younger and more able prisoners'.[11]
24 As to the effect of the guilty plea and remorse, her Honour found as follows. She took into account the fact of the plea and when it was made or indicated, the consequent saving of time and the cost of a trial and in particular that he had avoided a situation where his daughter would have to give evidence.
25 Her Honour further accepted that the appellant's preparedness to plead guilty indicated 'some remorse' for his actions, but there were 'troubling aspects' which gave cause for concern as to whether the appellant had remorse for his offending.[12] They were the denials in his record of interview and that he minimised his offending to Dr Sullivan.
26 Then, as to prospects of rehabilitation, her Honour considered it was difficult to be optimistic. While Dr Sullivan had considered the appellant to be at low risk of reoffending, he had also noted that the appellant had minimised his offending and denied threatening the complainant. Her Honour stated that in fixing the sentence she sought to maximise such chances of rehabilitation as there may be, but a number of issues needed to be addressed, and the reports of Ms Lofthouse and Dr Sullivan would be provided to the Parole Board.
27 Her Honour then referred to aggravating features of the offending, to the representative counts, and to the totality principle. She then referred to the age and health of the appellant as mitigating factors bearing on general deterrence and the burden of imprisonment.
28 Then, after referring to ss 6B, 6D and 6E of the Sentencing Act and stating that she would not impose a disproportionate sentence, her Honour passed sentence. It should be mentioned that in the course of her reasons her Honour also made reference to a victim impact statement provided by the complainant.
29 Shortly stated, her Honour's reasons, extensively expressed, reflect a careful and thorough consideration of the appellant's submissions and of the matters otherwise relevant to sentence.
30 It is now convenient to turn to the grounds of appeal, commencing with ground 3.
31 As to this, counsel commenced by referring to her Honour's summary of the evidence and submissions relating to whether the appellant's moral culpability and the weight to be accorded general and specific deterrence were reduced by reason of his impaired mental functioning;[13] her Honour's findings are set out above. Counsel complained that in so finding her Honour failed to refer to evidence of Dr Sullivan about the connection between cognitive distortions characteristic of personality disorders of the type suffered by the appellant and persistence in wrongful conduct.
32 The evidence on which this submission was based was given in cross-examination concerning the appellant having attributed fault to the complainant. Dr Sullivan was asked if that was significant minimisation of his offending, and he said:
Yes, it's a fairly typical sort of cognitive distortion that we see in sexual offenders, and those cognitive distortions involve aberrant ways of thinking which one could regard as self-deceptions, which might permit a person to continue with a course of action despite an awareness of its wrongfulness, and those sort of self-deceptions include deceptions abut the sexual nature of children, or that something is permissible, or that the other person appears to be enjoying it, so I have put those into the report, because to me they are indicative of the thinking processes which may have permitted [the appellant] to continue a course of action despite an awareness of its wrongfulness.
They are separate from a cognitive impairment? --- They are not part of a cognitive impairment. When I describe a cognitive distortion it is a, we all exhibit cognitive distortions, when we drink too much we think we are managing sufficiently, despite the fact that our friends might think otherwise. We all have varying degrees of self-deceptions which are adaptive and useful.
33 Counsel submitted that the persistence of the appellant's conduct in the face of the complainant's protests was important and marked this case out from other serious incest cases. In that circumstance the presence of mental impairment which obscured the appellant's own perception of his conduct was an important matter to consider. It was further submitted that her Honour gave no weight to the inescapable conclusion that at least at some times during the offending period the appellant's mental functioning would have been seriously compromised. It was thus an error to find that impairment had no relevance to sentencing.
34 The submission must be rejected. The first thing to note is that it does not question the evidence, and findings, as to a lack of a causal link between the appellant's diagnosis and the offending. Secondly, in addition to the very extensive references to the evidence of Dr Sullivan and Ms Lofthouse, which reflected careful attention to all that they had said, her Honour made specific reference to the above evidence of Dr Sullivan,[14] and counsel did not suggest that her Honour mis-stated the evidence. Further, I do not accept that in later summarising Dr Sullivan's evidence her Honour overlooked or disregarded this evidence. Thirdly, it is to be noted that Dr Sullivan said only that the appellant's thinking processes may have permitted him to continue a course of action despite an awareness of its wrongfulness. Fourthly, her Honour considered the application of, and made findings as to, the first four propositions in Verdins in light of the evidence. Those findings were open on the evidence and correct in my view. Fifthly, the evidence of Dr Sullivan showed that it was entirely speculative whether at the time of any of the offending the appellant's 'mental functioning' was so 'seriously compromised' as to qualify her Honour's findings.[15]
35 Having regard to all of these matters it cannot be said that her Honour failed to deal with the aspect of delusion and thus fell into specific error. Accordingly, ground 3 is not made out.
36 That leaves for consideration grounds 1 and 2. As mentioned earlier, they were argued together and may conveniently be dealt with together.
37 A few observations may be made at the outset. First, ground 1 contends that the total effective sentence and the non-parole period offend the principle of totality. The ground does not question the individual sentences. Further, the appellant's written and oral submissions concentrated on the total effective sentence rather than the non-parole period, doubtless on the basis that any reduction in the total effective sentence would result in a reduction of the non-parole period.
38 Secondly, grounds 1 and 2 identify several matters - age, ill-health, life expectancy and the burden of imprisonment - which were relevant to, and were considered by her Honour in arriving at, the instinctive synthesis. It is axiomatic that the weight to be given to these, and other relevant, matters was a matter for her Honour in the light of the evidence.
39 Counsel first addressed the age of the appellant, which was 66 at the time of sentence. This was to be considered with his 'health problems which limited his life expectancy and currently impacted on his quality of life'.[16] Further, imprisonment would be more burdensome for him. It was submitted that despite these matters the sentence imposed was substantially longer than any imposed on an offender of the appellant's age and ill-health for sexual offending, even offending in the worst category of case.
40 As that submission indicates, counsel accepted that the appellant's offending was in the worst category.
41 Further, counsel accepted that comparison to other cases was of no or limited assistance, bearing in mind the altogether shocking nature of the present offending, and that in truth there was no like case.
42 Under cover of ground 2 the appellant submitted that her Honour fell into error in relation to the matters mentioned, as follows.
43 First, it was submitted that her Honour wrongly approached the consideration of age, health and life expectancy. While her Honour had regard to the decision of this Court in R v RLP,[17] it was submitted that she had overlooked the propositions stated in paragraph [39] of the Court's judgment. It was further submitted that her conclusion not to afford the appellant's age 'great weight' was inconsistent with those propositions.
44 I reject this submission. In her sentencing remarks her Honour said that she had read and took into account the reference in RLP to the relevance of age and ill-health when sentencing, and in particular paragraphs [32]-[38]. It is those paragraphs where the Court discussed, by reference to authority, the approach to age and ill health of an offender in relation to general deterrence and the possible mitigation of sentence. The paragraph to which counsel refers is the next and final paragraph in that section. In essence, if not completely, it summarises or reflects the prior discussion, which doubtless may have led her Honour's reference to stop at the prior paragraph. Strictly speaking, it was not essential that her Honour refer to that final paragraph, and I certainly do not accept that her Honour overlooked it. The suggestion that she did is fatuous, in my view. Moreover, the discussion in the paragraphs her Honour identified was reflected in her approach to the considerations and effect of age and ill-health. I do not accept that her Honour approached the consideration of those matters on an erroneous basis. In my view in the circumstances her conclusion that the appellant's age not be given great weight was not merely open, but correct, in light of the objective seriousness of the offending.
45 Counsel also specifically attacked her Honour's finding as to the appellant's health. Her Honour found[18] that the appellant was not 'currently suffering physical health problems'. It was open on the evidence for her Honour to be so satisfied. It will be noted that her Honour there referred to 'current' and 'physical'. Hence, the earlier reference[19] to 'health difficulties' in relation to the burden of custody was not inconsistent and reflected that her Honour did take the appellant's state of health into account in mitigation of sentence. Further, elsewhere in her reasons her Honour referred to the appellant's health, and she is to be taken as having borne in mind the relevant evidence in formulating her reasons.
46 The appellant's submissions on these matters, and the matter of the burden of imprisonment, really come down to a contention of a failure to afford due weight to relevant matters. The submission is without substance. It was essentially a matter for her Honour to determine the weight to be given to the relevant sentencing considerations in passing sentence and arriving at the total effective sentence to be imposed. As to that, her Honour was required to impose the sentence that represented that which was just and appropriate in the circumstances.
47 Of course, as mentioned, this case fell in the worst category of case. Further, the appellant was sentenced as a serious sexual offender and the protection of the community was the principal purpose for which sentence was imposed.[20] Then, s 6E required that unless otherwise directed by the court, every term of imprisonment be served cumulatively on the other. In the orders for cumulation her Honour moderated the operation of this provision. Nevertheless the requirements and policy of ss 6D and 6E must be observed,[21] as her Honour noted. These provisions have the effect of modifying, but not excluding, the application of the totality principle.
48 In my view, regarding all the circumstances of this case, the total effective sentence arrived at by the orders for cumulation was open to be imposed by her Honour in a sound exercise of the sentencing discretion. Indeed, even if error had been established in the sentencing process, I am of the view that no different sentence (and non-parole period) should be passed.
49 For these reasons, the appeal should be dismissed.
50 Before parting with the case it is necessary to refer to one further matter. That concerns the circumstances of protective custody in which the appellant is presently serving his sentence. They are circumstances of significant confinement. While management in the prison system is a matter for the authorities, the present arrangements are concerning and would not seem justly sustainable over time, particularly bearing in mind that the appellant will be aged in his 80s when he will be eligible for parole.
[1] [2009] VSCA 271, [39] ('RLP').
R S J
The Queen [2012] VSCA 148