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[1999] VSCA 222
Court of Appeal (Vic)
1999-12-22
PHILLIPS, C.J., ORMISTON and CALLAWAY, JJ.A.
Original judgment source is linked above.
"2. The learned sentencing judge erred in having regard to the possibility that the length of time actually spent in custody by the applicant would be [a]ffected by executive action. 3. The applicant should be sentenced having regard to the new evidence, which throws light upon the applicant's prospects for rehabilitation. 4. The learned sentencing judge erred in imposing a sentence of detention in a youth training centre without first having received a pre-sentence report as required by sections 32 and 96 Sentencing Act 1991 in that the author of the report received by the Court was not a delegate of the Secretary of the Department of Human Services as required by section 96 of the Act."
"That's in the full knowledge, of course, that Judge Cullity [who was then Chairman of the Youth Parole Board] very benignly administers these orders and allows release at an appropriate time. It's not in contemplation that the individual be actually in the establishment for that period."
"(1) ... [I]f a sentence involving confinement is justified in respect of a young offender a court may make a youth training centre order or a youth residential centre order if it has received a pre-sentence report and - (a) it believes that there are reasonable prospects for rehabilitation of the young offender; or (b) it believes that the young offender is particularly impressionable, immature or likely to be subjected to undesirable influences in an adult prison."
He then referred to s.96 of the Act which for relevant purposes provides in sub-ss.(2) and (3):
"(2) A court must order a pre-sentence report if it is considering making ... a youth training centre order ... so that it may - (a) establish the person's suitability for the order being considered; and (b) establish that any necessary facilities exist ... (3) If a court orders a pre-sentence report, it must be prepared by - (a) the Secretary if the court is considering making a youth training centre order ...".
Section 3 of the Sentencing Act defines "Secretary" as having the same meaning as in the Community Services Act 1970. In turn counsel pointed out that in s.3 of the Community Services Act the Secretary "means the Secretary to the Department" and the latter section now defines the "Department" as meaning the Department of Human Services.
"With the approval of the Minister the Director-General may assign in writing to any employee of the Department any of the functions or powers of the Director-General under this Act ... or under any other Act ... either generally or in any particular case ...".
(Emphasis added.)
Counsel contended that this power was now capable of being exercised by the Secretary to the Department of Human Services by reason of the definition, also in s.3; viz "'Director-General' means the Secretary to the Department". (This would not appear to be correct inasmuch as this definition of "Director-General", though in the latest print (No. 5) of the Act, was repealed from 1 July 1998 by Act No. 46 of 1998. However, the same result would seem to follow from the amendment made at the same time to s.4(b) of the Act, which requires references to the "Director-General of Social Welfare or any like expression" (emphasis added) to be taken to refer now to the Secretary. See also s.47 of the Interpretation of Legislation Act 1984.)
"(1) The Secretary may, by instrument, delegate to - ..... (b) an employee or class of employees in the Public Service; or (c) any public authority or the Chief Executive Officer (however described) of any public authority; or (d) any council or officer of a council - any power or function of the Secretary under this or any other Act or under the regulations under this or any other Act, other than this power of delegation. (2) Despite sub-section (1), any power or function delegated to a person under paragraph (c) of that sub-section may be delegated by that person to an officer or employee of that person." (Emphasis added.)
"The practical administrative necessity to allow a Deputy Commissioner to exercise the powers delegated to him by the actions of officers authorised by him is evident. The opposing argument would oblige the Commissioner himself to delegate his powers, not only to the Deputy Commissioners, but to a host of departmental officers throughout Australia, rendering each of them a Commissioner in his own right. It would be utterly destructive of any semblance of administrative order and efficiency."
Of course his Honour's comments were directed to one of the largest and most complex departments of state in this country, but it is not entirely inappropriate to compare it with the functions and powers of the Secretary to the Department of Human Services in this State with his manifold responsibilities under legislation passed in recent years, in particular the Sentencing Act. Cf. per Gibbs, C.J. at 12-13. Moreover, this passage emphasises the fact that delegation takes a power out of the day to day control of the delegator or of those directly responsible to the delegator. As will be seen below, preparation of these reports was intended, at least after 1991, to be a matter requiring a degree of consistency and of organisation which should remain under the umbrella of the relevant head of department. For similar reasons the choice of any delegate (if that were seen to be appropriate) also called for overall supervision, but personal selection by the Secretary would again not be a necessary element of an efficient system for preparing reports.
"The cases in which the principle has been applied are cases in which the nature, scope and purpose of the function vested in the repository made it unlikely that Parliament intended that it was to be exercised by the repository personally because administrative necessity indicated that it was impractical for him to act otherwise and through his officer or officers responsible to him."
"(3) If a court orders a pre-sentence report, it must be prepared by - (a) the Director-General of Community Services if the Court is considering making a youth training centre order; or (b) the Chief General Manager if the Court is considering imposing a suspended sentence of imprisonment under s.28; or (c) the Director-General of Corrections in any other case. (4) The author of a pre-sentence report must conduct any investigation that he or she thinks appropriate or that is directed by the Court."
It should be noted that the persons referred to in paragraphs (a) and (c) were defined, as might be expected, in s.3 as the respective Directors-General within the meaning of the Community Services Act 1970 and the Corrections Act 1986. The "Chief General Manager" was also defined in that section as meaning the person so described within the meaning of the Health Act 1958. Of course at that time the functions and powers of the persons named in paragraphs (a) and (b) were not vested in the same person, as the Community Services Act and Health Act had not then been recast so as to reflect the combination of many of the functions of those two Departments. The word "author" in sub-s.(4) is not defined, and so it was contended before us that the word was used so as to refer distributively to each of the three (now two) people named in sub-s.(3), but, for reasons which will appear below, I am not persuaded that that necessarily was Parliament's intention.
"(3) If a court orders a pre-sentence report, it must be prepared by -
(a) the Secretary if the court is considering a youth training centre order or a youth residential centre order; or
(c) the Secretary to the Department of Justice in any other case."
The Secretary in paragraph (a) is, as already stated, the Secretary to the Department of Human Services and that person has powers of assignment and delegation under ss.10 and 8A of the respective Acts referred to above. However, as may be seen above, when the Sentencing Act was first passed the responsibility for preparing reports of this kind was given to the Director-General of Community Services. That post was effectively abolished in the following year when the Department of Health and Community Services was set up pursuant to Act No. 69 of 1992. In consequence the definition of "Director-General" was altered so as to mean the "Secretary to the Department", as then set up. That Department changed its name on at least two occasions, it being now known, since 1 July 1998, as the Department of Human Services.
"A court must order a pre-sentence report if it is considering making a combined custody and treatment order, an intensive correction order, a youth training centre order, a youth residential centre order or a community based order so that it may -
(a) establish the person's suitability for the order being considered; and
(b) establish that any necessary facilities exist; and
(c) if the order being considered is an intensive correction order or a community based order, gain advice concerning the most appropriate program, condition or conditions to be attached to the order."
The only change since 1991 is the inclusion in the opening part of the sub-section of the first and fourth kinds of order now listed. Sub-section (2) makes it clear that it is not merely the person's individual suitability for a proposed order that is under consideration (and the attachment of certain related conditions), but whether "necessary facilities" exist, a fact which may not be within the "author's" own knowledge but will ordinarily involve inquiries from responsible persons authorised to give the information within the Department as to the appropriateness and availability, measured presumably in physical and financial terms, of the proposed facilities for the offender. Doubtless that is why sub-s.(4) requires the "author to conduct any investigation thought appropriate".
"(2) If a notice is filed under sub-section (1) before sentencing is to take place, the court must not take the report or the part in dispute (as the case requires) into consideration when determining sentence unless the party that filed the notice has been given the opportunity - (a) to lead evidence on the disputed matters; and (b) to cross-examine the author of the report on its contents."
This last paragraph (b) confirms that Parliament never intended the author to be the relevant head of department but always intended a person engaged in that behalf. It could hardly be envisaged that in relation to reports of this kind that the Secretary would be cross-examined even on the relatively infrequent occasions when that occurs. It is not that heads of departments are not from time to time cross-examined, but it is hard to believe that not only the burden of preparing the report and expressing the necessary opinions should be placed on the Secretary, but also that he or she might be on call for those occasions when one party or the other wishes to cross-examine. Of course, it is easier to envisage a delegate being cross-examined if that delegate happened to be merely a person ordinarily engaged to make reports, but, as I have said, that is not the kind of delegation which is here contemplated. Rather it is to be seen that the Secretary should set up procedures which will enable the reporting process to be carried out as efficiently as practicable. Moreover, as this paragraph makes plain, it is highly unlikely that "the Secretary" and "the author" were intended to be the same person.
"Despite anything to the contrary in this Act, in sentencing an offender a court must not have regard to - (a) any possibility or likelihood that the length of time actually spent in custody by the offender will be affected by executive action of any kind ...".
This statement restates the position at common law but it should not be taken to mean that during the course of a sentencing plea discussion cannot be held with the judge as the different dispositions available to the judge and the differing effects each sentence contemplated might have. In the present case the first reference in the course of argument was one where, in my opinion, the judge was merely stating to counsel, and no doubt for the benefit of her client, how he understood an order for detention in a youth training centre might be administered. Of course he referred to the fact that a prisoner so detained might be released during the period of detention, but that was only to indicate that detention in a youth training centre had somewhat different incidents from imprisonment.
Ground 3 - New Evidence as to Prospects for Rehabilitation
* the applicant had demonstrated remorse, embarrassment and a sense of guilt; * that she had been "heavily engaged" in counselling with a drug counsellor; * that she had successfully concluded a fashion design course in May 1999; * that because she had suffered a serious leg injury in the meantime, she had now commenced a retail course requiring attendance on only three days a week; * that she had expressed a desire to complete her secondary education and had attempted to enrol in a TAFE course; * that she had been assessed as suitable for the Community Residential Outreach Programme; * that she had successfully put into effect strategies as to maintaining a drug-free life; * that while on leave, though having the opportunity to use drugs, she had remained free of any 'substance use'; * and that those responsible for the report expressed confidence in her progress and prospects for rehabilitation.
Ground 1 - Was the Sentence Manifestly Excessive_?_
R
Ngo [1999] VSCA 222