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[1998] VSCA 144
Court of Appeal (Vic)
1998-12-17
PHILLIPS, C.J., ORMISTON and BATT, JJ.A.
Original judgment source is linked above.
CRIMINAL LAW - Sentence - Director's appeal - Indecent acts with and sexual penetration of two boys aged 4 to 6 - Whether sentences manifestly inadequate - Representative counts - Practice and principles to be applied when considering relevance of uncharged acts - Comparison with other appeals.
Counts 1 and 4 - six months' imprisonment Counts 6 and 7 - 12 months' imprisonment Count 5 - 18 months' imprisonment Counts 2 and 3 - two years' imprisonment
Her Honour directed that the sentences on counts 2 and 3 be served concurrently with each other and cumulatively upon the sentence on count 1. She also directed that the sentence on count 4 be served cumulatively on the sentences on counts 2 and 3; the sentence on count 5 be served cumulatively upon the sentence on count 4 and the sentences on counts 6 and 7 be served concurrently with each other and cumulatively upon the other counts. All this made for a total effective sentence of five and a half years' imprisonment. Her Honour then fixed a non-parole period of three years and made a declaration as to pre-sentence detention.
"1. The sentence imposed on respect of count one is manifestly inadequate, in that the sentencing judge: (a) failed to adequately reflect the gravity of the offence generally and in this case in particular; (b) failed to take into account or sufficiently take into account the aspects of specific and general deterrence; (c) gave too much weight to factors going to mitigation; (d) failed to adequately take into account the respondent's prior history and liability to be sentenced as a serious sexual offender; (e) failed to adequately take into account the breach of trust constituted by the offence; and (f) failed to adequately reflect the maximum available penalty for this offence. 2. The sentence imposed in respect of count two is manifestly inadequate for the same reasons as particularised in relation to count one. 3. The sentence imposed in respect of count three is manifestly inadequate for the same reasons as particularised in relation to count one. 4. The sentence imposed in respect of count four is manifestly inadequate for the same reasons as particularised in relation to count one. 5. The sentence imposed in respect of count five is manifestly inadequate for the same reasons as particularised in relation to count one. 6. The sentence imposed in respect of count six is manifestly inadequate for the same reasons as particularised in relation to count one. 7. The sentence imposed in respect of count seven is manifestly inadequate for the same reasons as particularised in relation to count one. 8. The total effective sentence and the non-parole period are manifestly inadequate."
"Some analysis of the law in respect of `representative charges' is required. In Reiner (1974) 8 SASR 102 at 105 Bray C.J. said: `...the learned sentencing judge was entitled to take into account the context and the surrounding circumstances of the crime and in particular it was permissible, relevant and important for him to know whether the act charged was an isolated offence or whether it was only, to use the metaphor often adopted, the tip of the iceberg. The surrounding circumstances of the crime may be taken into account in considering whether or not to extend leniency so as to reduce what would otherwise be a proper sentence but the commission of other crimes...cannot be used in order to increase what would otherwise be a proper sentence. As I have said on another occasion, the distinction between refraining from taking something off and adding something on when there is no fixed normal penalty may seem, in some cases, to approach the metaphysical. But it is a recognised and time-honoured distinction for all that.' His Honour's observation that the application of the distinction to which he referred may seem to approach the metaphysical is one with which I respectfully agree. The distinction is, however, one firmly established in the cases and it is the duty of a sentencing judge to apply it." (509/510)
"In Godfrey (1993) 69 A Crim R 318 Duggan, J. expressed the principle as follows (at 322; 223): `...findings made as a result of a disputed facts hearing cannot be used as a basis for punishing an offender for offences not charged: Reiner; H. See also the cases cited in Current Sentencing Practice, Vol 2, p 110212f. Conduct amounting to the commission of the other offences can only provide a basis for increasing the sentence if the accused is found guilty of those offices at trial, pleads guilty to them, asks for them to be taken into account in fixing penalty, or agrees that counts in the information are to be regarded as representative offences. This is not to say that the sentencing judge cannot take into account the context and surrounding circumstances of the crime charged. It may be that in a particular case the court will be required to consider whether it is entitled to extend leniency on the basis that it is dealing with an isolated offence. But it cannot increase the sentence by reason of a finding on a disputed facts hearing that offences not admitted or asked to be taken into account have in fact been committed." (511)
"The principles which apply to Crown appeals are well established: Griffiths v. R. [1977] HCA 44; (1977) 137 C.L.R. 293 per Barwick C.J. at 310; Malvaso v. R. [1989] HCA 58; (1989) 168 C.L.R. 227 per Deane and McHugh JJ. at 234; Everett v. R. [1994] HCA 49; (1994) 181 C.L.R. 295 per Brennan, Deane, Dawson and Gaudron JJ. at 299. These principles were recently stated in summary form in
the judgment of the Court of Criminal Appeal of New South Wales in
R. v. Allpass (1993) 72 A. Crim. R. 561 at 562-3. See also
R. v. Osenkowski (1982) 30 S.A.S.R. 212 at 212-213 per King C.J. The relevant rules may be stated in the following propositions: 1. An appeal by the Crown should be brought only in `the rare and exceptional case' (Everett at 299) to establish some point of principle. The reason is that such appeals `represent a departure from traditional standards of what is proper in the administration of criminal justice in that, in a practical sense, it is contrary to deep-rooted notions of fairness and decency which underlie the common law principle against double jeopardy' (Malvaso) at 234. 2. Occasions may arise for the bringing of a Crown appeal (a) where a sentence reveals such manifest inadequacy or inconsistency in sentencing standards as to constitute error in principle (Everett at 300); (b) where it is necessary for a court of criminal appeal to lay down principles for the governance and guidance of courts having the duty of sentencing convicted persons (Griffiths at 310); (c) to enable the courts to establish and maintain adequate standards of punishment for crime; (d) to enable idiosyncratic views of individual judges as to particular crimes or types of crimes to be corrected; (e) to correct a sentence which is so disproportionate to the seriousness of the crime as to shock the public conscience (as to the last three, see Osenkowski at 213); (f) to ensure, so far as the subject matter permits, that there will be uniformity in sentencing (Everett at 306). 3. A court of criminal appeal dealing with any appeal against sentence, including by a prisoner, is not a court hearing the matter anew, and is not entitled to substitute its own opinion for that of the sentencing judge merely because it considers the sentence inadequate or excessive. It may only interfere if there is manifest inadequacy or it is shown that the sentencing judge fell into material error of law or fact (Allpass at 562-3). 4. When, in response to a Crown appeal, the court decides to re-sentence an offender, it ordinarily gives recognition to the element of double jeopardy involved (in twice standing for sentence) by imposing a sentence that is somewhat less than the sentence it considers should have been imposed at first instance. 5. An appellate court has an over-riding discretion which may lead it to decline to intervene, even if it comes to the conclusion that error has been shown in the original sentencing process. In this connection, the conduct of the Crown at the original sentencing proceedings may be a matter of significance." (522)
His Honour continued, "These principles are unquestionably part of the law of this State." (523)
"There is no sentence that can be described as the correct sentence. There is a range of sentences all of which are open. If the sentence imposed was within that range, it is unfair to an applicant under s.568 or to a respondent under s.567A that he or she should suffer because of a mistake made by the sentencing judge...It is quite otherwise if the mistake resulted in a sentence that was manifestly inadequate, for that is outside the range and the public interest requires that it be reconsidered." (29)
"...a general overview of the sentences imposed by Courts over a substantial period for offences of a similar character must inevitably play its part in provoking the instinctive reaction of any court which is asked to consider whether a particular sentence is...manifestly inadequate."
Czerniawsky: An application for leave to appeal against sentence for one count of sexual penetration of a child under ten. Sentence: four years' imprisonment with a non-parole period of two and a half years. Application dismissed. McCarthy: An application for leave to appeal against sentence for two counts of indecent assault. Sentence: Total effective sentence of six months imprisonment. Appeal allowed and sentence wholly suspended. Ware: A case of cross appeals. Two counts of incest committed on a step-daughter. DPP's appeal allowed. Sentence of 15 months' imprisonment with a non-parole period of 12 months increased to four years' imprisonment with a non-parole period of two years. Parsons: A D.P.P. appeal one count of gross indecency; one count of indecent assault with aggravating circumstances. Sentence: adjourned bond to be of good behaviour for four years and to accept counselling from a psychologist. Appeal allowed, sentence increase to one of two years' imprisonment, suspended for 24 months. Flynn: Application for leave to appeal against sentence. Four counts of sexual penetration of a child under ten and two counts of attempting the same. Appeal allowed. Sentence of four years and nine months' imprisonment with a non-parole period of three years reduced to three years' imprisonment with 18 months non-parole period. Fergeus: An application for leave to appeal against sentence - 16 counts involving "sexual interference with and assaults on four granddaughters". Appeal allowed sentence of seven years and two months' imprisonment with a non-parole period of three years and nine months reduced to five years' imprisonment with a non-parole period of two years. Gysberts: A D.P.P. appeal. Nine counts of indecent assault on a child under 16; four counts of taking part in an act of sexual penetration with a female child under ten; three counts of taking part in an act of sexual penetration with a female child aged between ten and 16 years. Appeal allowed, sentence of two years and three months' imprisonment with a non-parole period of 19 months increased to three and a half years' imprisonment with a non-parole period of two and a half years. O'Rourke: An application for leave to appeal against sentence. One count of sexual penetration of a child under ten. Sentence of four years' imprisonment with non-parole period of two and a half years. Application dismissed. Begg: An application for leave to appeal against sentence. One count of indecent assault on a girl aged 11 - nine counts of sexual penetration of children. One count of attempted sexual penetration. One count of indecent assault on a child under 16, two counts of the commission of an indecent act with a child under 16 and one count of attempted sexual penetration of a child under ten. Appeal allowed. Sentence of "ten years and six months" imprisonment with a non-parole period of six years and six months reduced to eight years with a non-parole period of five years and eight months. Leinkauf: C. of A. (Vic) Unreported, judgment delivered 9 October, 1996. An application for leave to appeal against sentence. Five counts of indecent assault on a male person under 16; three counts of indecent assault and one count of attempted buggery. Sentence of five years' imprisonment with non-parole period of three years. Application dismissed. Giordano: An application for leave to appeal against sentence - two counts of wilfully committing an indecent act on a child under 16, one count of sexually penetrating a child under ten. Sentence of five and a half years' imprisonment with a non-parole period of three and a half years. Appeal allowed, sentence reduced to four years with a non-parole period of two years and six months.
Count 1 - 12 months' imprisonment Counts 2 and 3 - four years' imprisonment on each count Count 4 - three years' imprisonment Count 5 - four years' imprisonment Counts 6 and 7 - two years' imprisonment on each count.
"The facts implicit in the verdict or plea of guilty cannot be controverted. The judge must sentence according to those facts, whatever views he or she may hold about the verdict. Similarly the judge must not sentence for an offence with which the accused has not been charged."
For the latter proposition R. v. De Simoni [1981] HCA 31; (1981) 147 C.L.R. 383 was cited but what was raised there, as it has been on numerous subsequent occasions, was the principle that a judge must not in passing sentence have regard to circumstances of aggravation which would render the accused liable to a greater punishment, in the sense that a sentence should not indirectly be passed for another offence which carries a higher maximum term and of which the accused has not been found guilty.
"Of course, there are cases where the prosecution puts forward a count as a sample count, and in those cases it is well understood that, if that course is taken and the defence are notified, a judge is entitled to deal with the whole matter on the basis that the offence in fact was repeated more than once, or there were other similar incidents."
It is unnecessary to examine the application of the principle in England further in detail, since it perhaps now depends upon a rather more formal practice which, though not dependent on statute, closely resembles the procedure for taking into account other offences under s.100 of the Sentencing Act 1991. It was approved by the House of Lords in R. v. Anderson [1978] A.C. 964 and most recently, after some conflict of authority, Lord Bingham, C.J. for the Court of Appeal in R. v. Kidd [1997] EWCA Crim 1773; [1998] 1 W.L.R. 604, succinctly re-stated the principle in the Court's conclusion (at 608): "We think it inconsistent with principle that a defendant should be sentenced for offences neither admitted nor proved by verdict."
"The judge is not at liberty to hold that the offender was guilty of an offence graver than the offence of which he was convicted ... nor to make findings that conflict with the verdict of the jury ... even where the practice of charging a representative offence has been sanctioned, it has been held essential that the express and unequivocal assent of the offender be given before an offence for which he has not been convicted is taken into account ... Without the offender's assent, it would be wrong to deprive him of his right to trial by jury for that offence ...".
"Conduct amounting to the commission of other similar offences can only provide a basis for increasing the sentence if the accused is found guilty of those offences at trial, pleads guilty to them, asks for them to be taken into account in fixing penalty, or agrees that counts in the information are to be regarded as representative offences."
The appeal was there allowed, however, because the prisoner had not admitted the other offences which were in issue. Thus, the sentence was set aside and there was no "basis for increasing the sentence", as might otherwise have been the position. The only one of the cases which was decided after a plea had been made was Reiner but it is difficult to deduce the relevant ratio in that there was a striking difference as to the practice in South Australia between Bray, C.J. and Wells, J., but it seems that no real attempt had been made to invoke the procedure described by Wells, J.
"An act, omission, matter or circumstance which it would be permissible otherwise to take into account may not be taken into account if the circumstances would then establish ... a separate offence which consisted of, or included, conduct which did not form part of the offence of which the person to be sentenced has been convicted ... ".
There would, however, seem to be no recognition of any practice of representative counts in Queensland. The restrictive nature of the propositions may in part be justified by reference to the existence in Queensland of an offence known as "maintaining a sexual relationship with a child under sixteen years".
"No objection was taken by counsel to his Honour having any regard to the amounts involved in charges upon which the applicant had not been presented before him ... In view of the agreement between the parties ..., whereby the applicant was to be presented only on ten counts as representative of all counts upon which he was committed, no objection could properly have been taken ... Where an accused is committed for trial upon, or is admitted to have committed a large number of similar offences, it is not uncommon for him to be presented only upon a selected number of such offences. When that course is adopted with the consent of the accused, there is nothing objectionable in the Court having regard to the whole picture presented by the accused's conduct in determining the sentence appropriate to be passed upon the counts to which he pleads guilty."
His Honour was one of the most experienced criminal judges sitting on the Court at that time and there cannot be the slightest doubt that the practice which he described was applied regularly and thought appropriate to deal with the kind of cases he was discussing. It seems little different from that acknowledged in Huchison which had been decided two years previously and which was later to be acknowledged in Anderson, except to the extent that there was in England a good deal more formality. Nor does the practice deny the obverse of it, namely that, if there is no agreement, a prisoner must be sentenced only upon that on which he or she has been found guilty. In the course of the passage in Wright Nelson, J. said that if "objection had been taken a different question may have arisen". What occurred in Carver was not identical and so Callaway, J.A. (with whom Winneke, P. and Smith, A.J.A. agreed) was able to say that he did not intend either to endorse or disapprove of the practice relating to representative accounts. That is because the primary objection to the counts in that case was that they could be seen as duplex, or worse, in that they covered a number of events on a "between dates" basis, but as I would understand it the amount in question was reflected in the counts and there were no sums otherwise taken into account. The practice reflected in Carver occurs from time to time, as I would understand, where the counts are drafted for the purpose of a plea but they would clearly be unacceptable for the purposes of a trial. In the latter case the practice in Wright is the more common, again as I would understand it, for specific acts of fraud or deception must be pleaded in each count, and, unless the counts are to be re-drafted upon plea, the use of representative counts is seen as the more convenient.
"The present case presents a complication in this context in that the plea of guilty was entered to a limited number of a representative counts after an initial denial of responsibility. By reason of that circumstance the applicant has already been substantially advantaged. Although he has admitted the commission of a large number of offences, the sentencing judge could only impose sentences in respect of the offences contained in the presentment and which were appropriate for those offences. He was not entitled to increase the severity of the sentences imposed by reference to the commission of other admitted criminal acts and could only have regard to those acts for very limited purposes when imposing sentence upon the applicant. However, it would be legitimate for a sentencing judge to take into account the substantial practical benefit already received by an offender through such an arrangement when considering the extent of that to be derived by the entering of a plea of guilty to other acts."
What precisely occurred on the hearing of the plea in that case is not clear. It seems unlikely that he had pleaded guilty at the committal stage to all the charges then made, but it is not clear in what way and to what extent the accused acknowledged at the sentencing hearing that the counts were representative for the purposes of his plea. However, the description of the facts represented by each count was apparently not objected to, so that it was clear that the counts for the plea hearing had been described as representative where appropriate. Though no discussion of authority appears in the judgment, it would seem that it was held that the extent to which account may be taken of the representative nature of each count is very limited, seemingly more limited than would be allowed in other jurisdictions. Moreover it seems inconsistent with Wright, a case of many years' standing, which permits the accumulation of the sums admittedly obtained for the purpose of determining what is an appropriate sentence on each count.
R
SBL [1998] VSCA 144
(1974) 8 SASR 102