THE APPLICATION FOR LEAVE TO APPEAL AGAINST SENTENCE
The appellant made an application to this Court for leave to appeal against the sentence: Yun v R [2008] NSWCCA 114. The appellant argued that the sentencing judge had erred in:
1. assessing the objective seriousness of his offending; and
2. using, as a starting point, the standard non-parole period of 20 years.
The latter of these propositions formed the primary basis upon which this Court concluded that there was error. The Court (Beazley JA (as her Honour then was) Barr J and Hoeben J (as his Honour then was) said (commencing at [31]):
[31] There is also considerable force in the applicant's third ground of appeal. It is apparent from his Honour's reasons that his Honour used as his start point in the sentencing process the standard non-parole period of 20 years. There is no indication in the judgment of his Honour having had regard to anything else. His Honour said nothing about an appropriate head sentence. There was no consideration of any balance between the head sentence and the non-parole period. His Honour's choice of a balance of term after fixing the non-parole period almost appears as an afterthought without any reasoning being offered for it.
[32] The Court is of the opinion that the error described by Howie J in Maxwell v R [2007] NSWCCA 304 has occurred here. In that case his Honour said:
"21 But the major difficulty with the passage is the manner in which the Judge applied the standard non-parole period. It has been stated on more than one occasion in this Court that it is not appropriate to use the standard non-parole period as a starting point to which discounts are added or from which they are subtracted: see Mulato v R [2006] NSWCCA 282 where Spigelman CJ, with whom Simpson J agreed, stated:
"[13] It is now well established that it is an error of principle to select a specific figure - whether that be a maximum sentence or a standard non parole period or a 'subliminally derived figure' (see Markarian[(2005) 79 ALJR 1048] at [39]) - and to add or subtract matters item by item in some sort of mathematical process. The reason that this approach constitutes legal error is because it impermissibly confines the sentencing discretion. Indeed, the use of the maximum sentence in such a manner was precisely the error identified by the High Court in Markarian ."
22 Later, after referring generally to R v Way (2004) 60 NSWLR 168, the Chief Justice stated:
"[17] In Way , the Court concluded:
[131] What is not appropriate, in our view, is for a sentencing judge to commence the process for every offence (irrespective of the seriousness, and irrespective of whether the offender's guilt was established after a trial or by a plea), at the standard non- parole period, and then to oscillate about it by reference to the aggravating and mitigating factors. The problem with that approach is that the standard non-parole period will tend to dominate the remainder of the exercise, thereby fettering the important discretion which has been preserved by the Act.
[18] This reasoning rejects the use of the standard non-parole period as a "starting point" or fulcrum for a mathematical process. Even where the offence attracts a standard non-parole period, because it is in the middle of the range of objective seriousness, error occurs whenever the standard non-parole is used as a "starting point" rather than as a "reference point". (See R v Sangalang [2005] NSWCCA 171 esp at [19]-[24]; R v Hung Lo [2005] NSWCCA 436 at 159 A Crim R 71 esp at [64]-[71].) The description in AT supra at [36] of the maximum sentence as "a more appropriate start point" should not be understood as indicating a different view."
23 A similar error in applying the standard non-parole period was identified in Reaburn v R [2007] NSWCCA 60."
[33] It follows that this ground of appeal has also been made out.
In re-sentencing the appellant, the Court said the following (at [34]-[35]):
[34] We accept that there is force in the Crown submission that the objective seriousness of this offence, given the applicant's intent, the use of a weapon and some level of premeditation is at the middle of the range for offences of this kind. There are, however, as was submitted on behalf of the applicant, significant mitigating circumstances particularly those relating to remorse, the unlikelihood of re-offending and the fact that his time his time in prison will be more difficult because of his lack of family support.
[35] In all the circumstances the Court is of the opinion that a head sentence of 24 years should be imposed with a non-parole period of 18 years.
[2]
THE APPELLANT'S FIRST APPLICATION FOR AN INQUIRY INTO HIS SENTENCE
In 2014, the appellant made an application pursuant to Part 7 of the Crimes (Appeal and Review) Act 2001 ("the CAR Act") for an inquiry into his sentence ("the first application"). In advancing that application, the appellant submitted that:
1. as a consequence of the decision in Muldrock v R (2011) 244 CLR 120; [2011] HCA 39, the judgment of this Court in R v Way [2004] 60 NSWLR 168; [2004] NSWCCA 131 was wrong;
2. the correct approach to sentencing was to apply the intuitive synthesis method consistent with the decision in Markarian v R (2005) 228 CLR 357; [2005] HCA 25 at 378; and
3. when re-sentencing him, this Court had given primary or determinative significance to the standard non-parole period, contrary to the decision in Muldrock; and
4. had proper sentencing principles been applied, either by the sentencing judge or by this Court, the sentence imposed would have been appreciably less.
The first application was dismissed by Hoeben CJ at CL: Application by Gil Bum Yun pursuant to s 78 Crimes (Appeal and Review) Act 2001 [2014] NSWSC 824. His Honour said (commencing at [20]):
20. The submissions on behalf of the appellant misconceive the approach of the Court of Criminal Appeal. Far from giving the standard non-parole period determinative significance, or regarding it as a mandatory consideration and ignoring Markarian, the Court of Criminal Appeal did precisely the opposite. One of the bases for overturning the sentence imposed by the primary judge was that very consideration, i.e. the Court of Criminal Appeal considered that the primary judge had given excessive weight to the standard non-parole period and had not applied the principles set out in Markarian. That was the basis for the quotations from R v Mulato and R v Maxwell.
21. It is also clear from the Court of Criminal Appeal's remarks on re-sentencing that it applied Markarian in that it sentenced on an intuitive synthesis basis.
22. It follows that I am not persuaded that "Muldrock error" occurred in the re-sentencing of the appellant by the Court of Criminal Appeal. Accordingly, I do not entertain any doubt or question as to the mitigating circumstances in the appellant's case.
[3]
THE APPELLANT'S SECOND APPLICATION FOR AN INQUIRY INTO HIS SENTENCE
In 2017, following the decision of this Court in Buttrose v Attorney General of New South Wales [2015] NSWCA 221; (2015) 324 ALR 562, the appellant made a further application for an inquiry into his sentence ("the second application"). Johnson J granted the second application: Further Application by Gil Bum Yun pursuant to s. 78 Crimes (Appeal and Review) Act 2001 [2017] NSWCA 825. In doing so His Honour said (commencing at [53]):
53. If I was determining whether there was a doubt or question as to sentence in this case, I would reach the same conclusion as Hoeben CJ at CL with respect to the 2014 application (see [13] above).
54. However, the task under s.79(2) is to consider whether it appears that there is a doubt or question as to sentence. The appearance of a doubt or question arises here because:
1. the Court of Criminal Appeal was sentencing the Appellant for murder after trial at a time when the principles in R v Way (2004) 60 NSWLR 168; [2004] NSWCCA 131 had currency: Davis v R [2015] NSWCCA 90 at [33];
2. an argument may be advanced that there is "neatness of arithmetic" in the sentence imposed by the Court of Criminal Appeal: Further Application of Buttrose pursuant to s.78 Crimes (Appeal and Review) Act 2001 [2015] NSWSC 1851 at [48].
55. The low statutory threshold in s.79(2) has been reached in this case. This conclusion, of course, does not mean that I am satisfied that a doubt or question as to sentence actually exists, let alone that the Appellant has demonstrated error under the Criminal Appeal Act 1912, so as to engage s.6(3) of that Act.
56. On the material placed before the Court in support of the present application, and having regard to the submissions of the parties, I accept that it appears that there is a doubt or question as to whether Muldrock error occurred when the Court of Criminal Appeal sentenced the Appellant for murder on 2 June 2008.
[4]
THE PRESENT APPEAL
The appellant now relies on a single ground of appeal, namely that he was sentenced by this Court contrary to the principles established in Muldrock.
[5]
SUBMISSIONS OF THE APPELLANT
Counsel for the appellant submitted that Muldrock error was apparent in this Court's judgment in that the Court had:
1. applied the decision in Way;
2. imposed a sentence which was "neatly arithmetical"; and
3. taken into account matters which were personal to the appellant when assessing the objective seriousness of his offending.
[6]
The application of the decision in R v Way
Counsel for the appellant submitted that there was no basis on which to conclude that this Court had done anything other than apply the law as it was understood at the time, in accordance with the decision in Way. It was submitted that such a conclusion was fortified by the Court's reference to, and reliance upon, the passages from the decision in Maxwell. Counsel submitted that in these circumstances, the only available conclusion was that the Court had sentenced the appellant on the basis that s. 54B of the Crimes (Sentencing Procedure) Act 1999 (NSW) ("the Sentencing Act") imposed a form of mandatory process, and had concluded that the appellant's offending attracted the application of the standard non-parole period because it was in the middle of the range of objective seriousness. This, it was submitted was clearly contrary to the decision in Muldrock.
[7]
The arithmetical neatness of the sentence
Counsel for the appellant submitted that the Court's erroneous application of the decision in Way was also demonstrated by what was described as the "neat arithmetic" of the appellant's sentence. Counsel pointed out that the standard non-parole period for the offence of murder is 20 years imprisonment and that this Court set out its re-sentencing process in a single paragraph at [34]. It was submitted that the Court had assessed the objective seriousness of the offence at the middle of the range, took into account what it described as "significant mitigating circumstances", and then imposed a non-parole period which reflected an offence at the mid-range of seriousness, reduced by an amount which reflected the presence of the mitigating factors to which the Court had referred.
It was further submitted that although the Court had disavowed using the standard non-parole period as a starting point, the arithmetic which was adopted was indicative of this Court having sentenced the appellant in a way which gave the standard non-parole period undue weight. This, it was submitted, reflected an approach which was contrary to the decision in Muldrock.
[8]
Incorrectly taking into account matters personal to the appellant when assessing the objective seriousness of the offending
It was submitted that, contrary to the decision in Muldrock, this Court had erroneously taken into account the appellant's intention when assessing the objective seriousness of his offending. It was submitted that intention, along with factors such as motivation, mental state, and mental illness or disability, were matters which were personal to the appellant and had no place in the consideration of the objective seriousness of his offending.
The effect of Counsel's submissions was that a distinction was to be drawn between assessing the objective seriousness of an offence to which a standard non-parole period applies, and assessing the objective seriousness of every other offence. It was submitted that for the purposes of the former, only the physical acts of the offender, as well as the consequences of the offence, should be taken into account but that for the purposes of the latter, the assessment of objective seriousness was not so confined.
[9]
The application of the decision in R v Way
The Crown submitted that the appellant's position was misconceived.
It was submitted that properly understood, this Court did not use the standard non-parole period as a starting point in determining the appellant's sentence. It was submitted that a proper analysis of the Court's reasons (at [35]) in fact reflected the Court having adopted an approach in which it had applied its instinctive synthesis, by taking into account a range of objective and subjective factors.
[10]
The arithmetical neatness of the sentence
The Crown submitted that there was no support for the proposition that in sentencing the appellant, this Court must have started with the standard non-parole period, and then deducted two years to recognise subjective factors. It was submitted that such a proposition was contrary to the Court's expressed reasoning, from which it was clear that the Court was at pains to eschew such an approach.
[11]
Incorrectly taking into account matters personal to the appellant when assessing the objective seriousness of the offending
The Crown submitted that in sentencing for an offence of murder, factors such as intention necessarily form part of the objective circumstances of the offending. The Crown submitted that the position taken by the appellant reflected a misunderstanding of the decision in Muldrock (at [27]), as well as a manifest error in the proper approach to sentencing.
The Crown submitted that, contrary to the position advanced by the appellant, the assessment of objective seriousness in the sentencing process is not made solely for the purposes of giving meaningful content to the standard non-parole period. Rather, it was submitted that assessing objective seriousness is a matter which is fundamental to the sentencing exercise generally. It was submitted that in making that assessment in the present case, the appellant's use of a weapon was not the only relevant factor, and that such factors necessarily included the appellant's intention, his level of pre-meditation, and his motivation. The Crown submitted that the approach advanced by the appellant ran completely contrary to accepted sentencing practice in respect of cases involving murder.
[12]
The application of the decision in Way
In Way, this Court (Spigelman CJ, Wood CJ at CL and Simpson J) concluded (at 191; [117]-[118]) that s. 54B of the Sentencing Act required a sentencing judge to ask, in the first instance, whether there were reasons for not imposing the standard non-parole period, and that such question was to be answered by considering the objective seriousness of the offence, and the circumstances of aggravation and mitigation. In other words, the Court concluded that s. 54B required a two-tiered approach to sentencing.
In Muldrock the Full Bench of the High Court concluded that Way was wrongly decided in terms of the approach to be taken, by a sentencing court, to the application of s. 54B. In particular, the Court said (at [25]) that it was an error to characterise s. 54B(2) as being framed in mandatory terms, and that when sentencing for an offence to which a standard non-parole period applies, the court was not required to commence by asking whether there were reasons for not imposing the standard non-parole period, nor to proceed to an assessment of whether the offences fell within the mid-range of objective seriousness. The Court also said (at [26]) that it was a mistake to give primary, let alone determinative, significance to the prescribed standard non-parole period.
The effect of the High Court's judgment in Muldrock is that the correct approach to sentencing an offender for an offence to which a standard non-parole period applies is that outlined by McHugh J in Markarian v R (2005) 228 CLR 357; [2005] HCA 25 at [51], namely an approach which reflects a process of instinctive synthesis, by which the sentencing court:
1. identifies the entirety of the factors relevant to sentence;
2. discusses their significance;
3. makes a value judgment as to the appropriate sentence given all of those factors; and
4. determines the sentence.
In submitting that this Court had wrongly applied the decision in Way when sentencing the appellant, counsel relied upon the observations of Simpson JA (Beazley P and Adamson J agreed) in Aytugrul v R [2015] NSWCCA 139 at [21] where her Honour said:
If judges during that period sentenced in accordance with the law as it was then understood and stated in Way, then, axiomatically, by reason of Muldrock, they were in error.
In the earlier decision of Davis v R [2015] NSWCCA 90 her Honour had observed (at [33]):
It is not lightly to be concluded that a sentencing judge during that period departed from the principles stated in Way. … To contend otherwise, in respect of a sentence imposed for an offence to which a standard non-parole period applied between 2006 (Way) and 2011 (Muldrock) is to contend that the sentencing process miscarried and the sentencing judge failed to sentence in accordance with then established principle. As I have said above, such a conclusion is not to be lightly drawn.
The obvious force of her Honour's observations must be recognised. However, whether a conclusion can be drawn that a sentencing judge did not sentence an offender according to the decision in Way must necessarily be determined by a careful examination of the reasons given at the time. In our view, when the reasons of this Court in sentencing the appellant are examined, such a conclusion can be drawn.
The error on the part of the sentencing judge which was identified at [31] of this Court's judgment was that the sentencing judge appeared to have ordered a balance of term "as an afterthought" following his determination that the appropriate non-parole period was the standard non-parole period of 20 years. In other words, the Court found that the sentencing judge had given at least primary (if not determinative) significance to the standard non-parole period.
Having identified that error, the Court approached the determination of the appellant's sentence in exactly the opposite way (at [35]), and in accordance with the approach subsequently approved in Muldrock. In this regard, we agree with the observations of Hoeben CJ at CL in his reasons for dismissing the first application at [22]. The approach adopted by this Court does not reflect primary or determinative significance having been given to the standard non-parole period. On the contrary, it reflects an application of the process of intuitive synthesis outlined at [20] above, in which the Court arrived at a sentence by taking into account the objective seriousness of the offending and the appellant's subjective circumstances. So much is clear from the Court's express reference (at [35]) to the sentence being imposed "in all of the circumstances".
It follows that in our view no error is discernible on the first of the bases relied upon by the appellant.
[13]
The arithmetical neatness of the sentence
As previously noted at [24] this Court identified, as the primary error, the impermissible use by the sentencing judge of the standard non-parole period as a starting point.
The application of a form of "neat" arithmetic in the course of imposing a sentence is capable of strengthening an inference that the standard non-parole period has been impermissibly used in that way: see for example Buttrose at [22]; Bolt v R [2012] NSWCCA 50 at [36] to [37]. However, for the reasons we have previously stated, the sentencing judge's error was not repeated by this Court when it came to re-sentencing the appellant.
It follows that the fundamental basis on which the inference of error might be drawn as explained in Buttrose and Bolt is not made out.
[14]
Incorrectly taking into account matters personal to the appellant when assessing the objective seriousness of the offending
The appellant's submissions invite this Court to recognise a distinction between an assessment of the objective seriousness of an offence to which a standard non-parole period applies, and an assessment of the objective seriousness of every other offence. As we understand the appellant's argument, this distinction is said to flow from the High Court's judgment in Muldrock, in particular at [22] and [27]. At [22], the Court summarised this Court's judgment in R v Way (2004) 60 NSWLR 168; [2004] NSWCCA 131. At [27], the Court determined the proper approach to sentencing offenders under s. 54B(2):
[22] In performing this task, the Court considered that the expression "objective seriousness" was not to be narrowly confined. Rather, it was to be understood as taking into account the physical acts of the offender and their consequences, together with the circumstances personal to the offender that are causally connected to the commission of the offence. The Court instanced duress, provocation, robbery to feed a drug addiction, mental state (intention being more serious than recklessness), and mental illness or intellectual disability (where the latter are related to the commission of the offence) as such circumstances. These were to be distinguished from those more accurately described as circumstances of the offender and not of the offence.
…
[27] Section 54B(2) and s 54B(3) oblige the court to take into account the full range of factors in determining the appropriate sentence for the offence. In so doing, the court is mindful of two legislative guideposts: the maximum sentence and the standard non-parole period. The latter requires that content be given to its specification as "the non-parole period for an offence in the middle of the range of objective seriousness". Meaningful content cannot be given to the concept by taking into account characteristics of the offender. The objective seriousness of an offence is to be assessed without reference to matters personal to a particular offender or class of offenders. It is to be determined wholly by reference to the nature of the offending. (italics not in original)
Whilst in Way this Court included duress, provocation and robbery to feed a drug addiction as "matters of motivation", the full relevance of that circumstance was set out in R v Henry [1999] NSWCCA 111; 46 NSWLR 346; 106 A Crim R 149 in the following terms by Wood CJ at CL (Spigelman CJ, Newman, Hulme, Simpson JJ agreeing) at [273]:
However the fact that an offence is motivated by such a need may be taken into account as a factor relevant to the objective criminality of the offence in so far as it may throw light on matters such as:
(i) the impulsivity of the offence and the extent of any planning for it; (cf Bouchard (1996) 84 A Crim R 499 at 501-2); and Nolan (1988) VSCA 135 (2 December 1998);
(ii) the existence or non-existence of any alternative reason that may have operated in aggravation of the offence, eg that it was motivated to fund some other serious criminal venture or to support a campaign of terrorism;
(iii) the state of mind or capacity of the offender to exercise judgment, eg if he or she was in the grips of an extreme state of withdrawal of the kind that may have led to a frank disorder of thought processes or to the act being other than a willed act;
In R v Koloamatangi [2011] NSWCCA 288, Basten JA (Adams and Johnson JJ agreeing) observed at [18] to [21] that Muldrock limits the range of factors or considerations relevant to an assessment of objective seriousness. Basten JA went on to refer to his comments in Carlton v The Queen [2008] NSWCCA 244; (2008) 189 A Crim R 332, to the effect that the imprecision of "the middle of the range of objective seriousness" is a product of "the scope and variety of circumstances". He noted that this can be relevant to an assessment of objective seriousness, and further noted that these comments did not appear to be inconsistent with Muldrock. Notably, his Honour did not go further and attempt to define the range of factors relevant to an assessment of objective seriousness since Muldrock.
If, as the appellant contends, Muldrock limits the range of relevant factors to the actus reus and the consequences of the offence, it is difficult to reconcile that very narrow range with Basten JA's reference to the "scope and variety" of circumstances relevant to an assessment of objective seriousness. The physical acts and consequences of some standard non-parole period offences, by their very nature, do not demonstrate much "scope and variety".
By way of example, the murder of a child carries a standard non-parole period of 25 years. An assessment of objective seriousness confined to the physical acts of the offender and the consequences would inevitably result in a very narrow band within which it would be necessary to identify "the middle of the range". The consequences of the offence are the same in every case, that is; the death of the victim. However, the age of the victim (and any other vulnerability), and the relationship between the offender and the victim may also be relevant. Invariably, the offender occupies a position of trust, whether that be of a caregiver, parent or step-parent. The physical acts of the offender in such cases do not vary greatly. Death is commonly occasioned by the application of blunt force on one or more occasions.
Critically missing from an assessment conducted on this basis is whether the physical acts were carried out with the intention to inflict grievous bodily harm or with the intention to kill. That enquiry may involve broader considerations than the nature and number of assaults on the victim. It may extend to matters that are personal to the offender at the time of the offence, such as impaired intellectual functioning which, to paraphrase the Court in Way, affects the offender's ability to exercise self-control.
The assessment of objective seriousness has always been "a critical component of the sentencing process". Nothing in Muldrock suggests otherwise: R v Campbell [2014] NSWCCA 102 at [27] per Simpson J (Hall J agreeing). The intention of an offender has always been a significant factor in an assessment of objective seriousness: R v Ainsworth (1994) 76 A Crim R 127; R v Holton [2004] NSWCCA 214; (2004) 41 MVR 89 and Apps v R [2006] NSWCCA 290. The inclusion of that factor necessarily enlarges the range within which a given offence sits.
The High Court in Muldrock drew a distinction between "characteristics of the offender" and "matters personal to a particular offender" on the one hand, and "the nature of the offending" on the other. The latter expression is sufficiently broad to include the mens rea that accompanied the commission of the offence. It is not apt to describe an offender's state of mind during the commission of an offence as a "characteristic" of the person or a "matter personal to" him or her. It is an integral part of the offender's conduct that constitutes the offence.
It is also not correct to describe duress or provocation as a characteristic of the offender. Where such circumstances exist, they operate to partially excuse or justify the commission of the offence. In that regard, they are within "the nature of the offending": per Price J (Campbell J agreeing) Williams v R [2012] NSWCCA 172 at [42]. Duress has always been considered relevant to an assessment of objective seriousness: Tiknius v R [2011] NSWCCA 215; (2011) 221 A Crim R 365; Kuti v R [2012] NSWCCA 43; Lindsay v R [2012] NSWCCA 124; Cherdchoochatri v R [2013] NSWCCA 118; RCW v R (No. 2) [2014] NSWCCA 190; (2014) 244 A Crim R 541.
Turning to where intellectual disability or mental illness are causally connected to the commission of the offence, it is acknowledged that mental illness may properly be described as a characteristic of an offender or a matter personal to an offender. In Subramaniam v R [2013] NSWCCA 159 Latham J said (Emmett JA and Simpson J agreeing):
57 For my part, attributes personal to the appellant (in particular, her mental state at the time of offending) more appropriately belong to an assessment of moral culpability. Such personal attributes ought be distinguished from the objective features of the offences, namely, the acts and the fault element constituting the offences. I acknowledge what Price J said (Allsop JA and Campbell J agreeing) in Williams v R [2012] NSWCCA 172 at [40] to [42], about the scope of the expression "the nature of the offending" in so far as it may not be correct to confine it to the ingredients of an offence. I would agree with Price J that the partial defence of provocation is properly considered as an aspect of objective gravity, not least because it qualifies the fault element of an offence.
In MDZ v R [2011] NSWCCA 243, Hall J (Tobias AJA and Johnson J agreeing) concluded at [67] that, in the light of Muldrock, "the mental condition" of the offender at the time of the offence was relevant to the objective seriousness of the offence. The sentence was imposed in the District Court prior to Muldrock. Hall J observed that in any event, it was necessary for the sentencing judge to determine the offender's moral culpability in assessing the objective seriousness of the offence and that the offender's mental health issues were relevant to that issue. The same approach, that is, that the mental condition of an offender is relevant to an assessment of moral culpability, was also taken in Ayshow v R [2011] NSWCCA 240.
MDZ and Ayshow, together with a number of Supreme Court sentencing decisions, were referred to by R A Hulme J in Yang v R [2012] NSWCCA 49, absent the necessity to decide the issue.
In Badans v R [2012] NSWCCA 97, Meagher JA (Hoeben and Rothman JJ agreeing) stated at [53]:
When taking into account the standard non-parole period it is necessary to note that it represents the non-parole period for an offence in the middle of the range of objective seriousness assessed without reference to matters personal to a particular offender or class of offenders and therefore determined "wholly by reference to the nature of the offending": Muldrock at [27], [31]. Such an assessment would not take account of circumstances personal to the offender even if they were causally related to the commission of the offence: cf Way at [86], [88], [99]; Muldrock at [22].
The reference to Muldrock at [22] is curious. That paragraph does no more than summarise this Court's analysis in Way at [86] to [88]: Giang v R [2017] NSWCCA 25 at [32]. Since expressing that view, this Court has considered the issue further. Two members of the Court in Badans appear to have departed from the views expressed by Meagher JA. In Biddle v R [2017] NSWCCA 128 at [66] to [70] Hoeben CJ at CL observed (Rothman and Price JJ agreeing):
The proposition that an offender's mental health should be taken into account when assessing the objective seriousness of the offending is not without difficulty. There is a tension between what the High Court said at [27] and [54] in Muldrock v The Queen.
The position has not been assisted by the more recent observations of the High Court (Bell, Gageler, Keane, Nettle and Gordon JJ) in The Queen v Kilic [2016] HCA 48; 91 ALJR 131) where the Court said:
"18 What is meant by an offence falling within the "worst category" of the offence is that it is an instance of the offence which is so grave that it warrants the imposition of the maximum prescribed penalty for that offence. Both the nature of the crime and the circumstances of the criminal are considered in determining whether the case is of the worst type. Once it is recognised that an offence falls within the "worst category", it is beside the point that it may be possible to conceive of an even worse instance of the offence. …
19 Where, however, an offence, although a grave instance of the offence, is not so grave as to warrant the imposition of the maximum prescribed penalty - as the offending was agreed to be here − a sentencing judge is bound to consider where the facts of the particular offence and offender lie on the "spectrum" that extends from the least serious instances of the offence to the worst category, properly so called. …" [Footnotes omitted]
Despite those difficulties, it is clear that this Court has followed the approach that an offender's mental condition, which must impact upon moral culpability, is a matter to be properly taken into account when assessing the objective seriousness of an offence. A statement of that principle can be seen in the judgment of McCallum J (with whom McClellan CJ at CL and Bellew J agreed) in McLaren v Regina where her Honour said:
"29 The decision in Muldrock does not, however, derogate from the requirement on a sentencing judge to form an assessment as to the moral culpability of the offending in question, which remains an important task in the sentencing process. That this assessment is also sometimes referred to as the "objective seriousness" of the offence perhaps contributes to the misconception. I do not understand the High Court to have suggested in Muldrock that a sentencing judge cannot have regard to an offender's mental state when undertaking that task (as an aspect of his or her instinctive synthesis of all of the factors relevant to sentencing)."
Observations to similar effect were made by Price J (with whom Hidden and Schmidt JJ agreed) in Martin v R where his Honour said:
"53 It is evident from these opinions that the appellant's mental disorders may have contributed to his offending. Although a specific submission was not made by the appellant's counsel on this issue, the focus of the appellant's case on sentence was his mental health. In my respectful opinion, the judge was obliged to expressly make some assessment as to whether the appellant's moral culpability for the serious crimes that he committed was reduced by his mental condition. In assessing the objective seriousness of the offences, her Honour did not make any reference to the appellant's mental health and erred in not doing so."
Those statements of principle have been approved in Elturk v R and Cowan v R.
(See also Ukropina v R [2016] NSWCCA 277).
The issue in Biddle was whether the sentencing judge erred in failing to find that the offender's mental illness was causally related to the commission of the offence. This Court held that no such error had been established, but took the opportunity to set out the relevant principles in light of the appellant's counsel in Biddle submitting that it was necessary to take into account an offender's mental illness when assessing the objective seriousness of an offence.
It is apparent that this Court has invariably determined since Muldrock (with the possible exception of Badans and Subramaniam) that an offender's mental condition at the time of the commission of the offence is a critical component of "moral culpability" which in turn affects the assessment of "objective seriousness". For these reasons, and in the absence of clear guidance from the High Court, the appellant's contention that an assessment of objective seriousness of a standard non-parole period offence, post Muldrock, precludes consideration of the offender's mental state, duress, provocation, and mental illness (where causally related to the commission of the offence) must be rejected.
[15]
ORDERS
We propose the following order:
1. The appeal is dismissed.
CAMPBELL J: I agree with the order proposed by Latham and Bellew JJ. As their Honours' comprehensive reasons make clear, the single ground of appeal of "Muldrock error" was supported by submissions falling into three categories. I agree with the joint reasons in respect of categories 1 and 2 relating to what was argued to be the erroneous application of the decision in R v Way, and the "neat arithmetic" of the sentence passed. I also agree with what their Honours have written about the third category, impermissibly taking into account matters personal to the applicant when assessing objective seriousness, down to and including [40], and the quote from Latham J's judgment in Subramaniam. I would prefer to express in my own way the rest of my thinking which I believe is similar to that expressed in the balance of their Honours' reasoning.
It must be accepted that when sentencing for Division 1A offences (at least those committed before the commencement of the Crimes (Sentencing Procedure) Amendment (Standard Non-Parole Periods) Act 2013 (NSW)), there is a need for some purposes to distinguish between "characteristics of the offender", on the one hand, and "the nature of the offending", on the other. This distinction was important for the purpose of ss 54A and 54B as they formerly stood, which is the form applicable to the case at hand. (It remains important for the legislation in its current form.) It is well to bear in mind that s 54A(2) then provided, in part, "the standard non-parole period represents the non-parole period for an offence in the middle range of objective seriousness for offences" to which the Division applies. The unanimous High Court said (at 132 [27]):
"Meaningful content cannot be given to the concept by taking into account characteristics of the offender. The objective seriousness of an offence is to be assessed without reference to matters personal to a particular offender or class of offenders. It is to be determined wholly by reference to the nature of the offending.
As the joint reasons of Latham and Bellew JJ make clear, differences of opinion have arisen as to the matters covered by the expression "characteristics of the offender" which are to be eschewed when determining "the nature of the offending". I accept the accuracy of the analysis of Latham and Bellew J summarised at [47] above. To the exceptions of Badans and Subramaniam, I would add GN v R [2012] NSWCCA 96 at [12] by Basten JA (Blanch J agreeing).
The reason why differences of opinion have arisen, with respect, is that the High Court did not precisely articulate the type of "facts, matters and circumstances" falling into each category. Reading the judgment as a whole, one is left with the impression that Mr Muldrock's significant intellectual disability was treated as a "characteristic of the offender", or a matter "personal to a particular offender". As Hoeben CJ at CL pointed out in Biddle at [66], in Muldrock at [54] the High Court spoke of Mr Muldrock's intellectual disability substantially lessening his moral culpability for the offence. And at [55], the Justices referred to the causal relation between his disability and the offending. The Justices also referred to his superficial understanding that it was wrong to engage in sexual contact with a child and that he told "childish lies" to shift blame. Their Honours said (at [55]) these "were not reasons to assess his criminality as significant", inter alia. I confess it's not clear to me whether their Honours were equating the significance of the criminality with the objective seriousness of the offence, or whether that was a conclusion derived from the synthesis of all of the facts, matters and circumstances bearing upon the judgment about the appropriate sentence to be imposed, including as one of those considerations the assessment of the objective seriousness of the offending. Nor is the relationship between an offender's moral culpability and the objective seriousness of the offending stated.
In Munda v Western Australia (2013) 249 CLR 600; [2013] HCA 38 at 621 [57], a unanimous High Court distinguished between moral culpability and objective seriousness. Their Honours said:
"The circumstance that the appellant has been affected by an environment in which the which the abuse of alcohol is common must be taken into account in assessing his personal moral culpability, but that consideration must be balanced with the seriousness of the appellant's offending."
(See also Bugmy v The Queen (2013) 249 CLR 571; [2013] HCA 37 at 44 - 46; Veen v The Queen (No 2) (1988) 164 CLR 465; [1988] HCA 14 at 476 - 477).
As the plurality pointed out in Veen (No 2), the one relevant factor may have "two countervailing effects" (at 477).
The fundamental principle established by Muldrock is that, even in the case of offences to which Division 1A applies, an instinctive synthesis of all relevant facts, matters and circumstances is the only permissible approach to sentencing. This requires "the judge to identify fully the facts, matters and circumstances which the judge concludes bear upon the judgment that is reached about the appropriate sentence to be imposed" (at 132 [29]). This being so, and bearing in mind that any single "fact, matter or circumstance" might be relevant for more than one purpose, it may make little sense to search for a bright line dividing the nature of the offending from circumstances personal to the offender.
I agree with Latham and Bellew JJ that there is a clear relationship between "moral culpability" and "objective seriousness" and the assessment of one may affect the assessment of the other. But they are not the same thing. A particular circumstance personal to the offender may reduce his or her moral culpability for what is clearly an objectively serious example of the type of offending under consideration. Such a conclusion does not necessarily lead to a reduced sentence; but it may.
It is not necessary for present purpose to decide whether the decision in The Queen v Kilic, especially at [18] - [19] (see [45] above), throws any light upon the distinction between the nature of the offending and the personal characteristics of the offender for the purpose of the application of Division 1A. The reference to "the nature of the crime and the circumstances of the criminal" in [18] somewhat strongly suggests that Kilic is addressing a quite separate point; it is concerned with the final judgment which is the product of the instinctive synthesis by which the sentence is fixed. This same judgment must be formed in every case whether Division 1A applies or not. I do not see any inconsistency between Muldrock at [27] and Kilic at [18] - [19]. They are concerned with different things.
Whatever should be derived from Muldrock at [27] - [29] about what is covered by the expressions "objective circumstances" and "personal characteristics" respectively, the thrust of the argument of Ms Roy of Counsel was that the mental element of murder fell into the category of a characteristic personal to the applicant rather than the category of the nature of the offending. With respect, this must clearly be wrong. There is no offending without the relevant mental element.
In any event, there is authority of this Court that the mental state of the offender at the time of the commission of the offence goes to objective seriousness: Subramaniam at [57]; SKA v R; R v SKA [2009] NSWCCA 186 at [134]. That SKA was decided before Muldrock does not lessen the force of Simpson J's (as her Honour then was) analysis. Nor is it diminished by the consideration that her Honour's reasoning involves a distillation of the detailed reasoning in R v Way. Her Honour was well aware of the need "to separate circumstances or features that were relevant to the objective gravity of the offence as distinct from the personal circumstances or features of the offender" for the purpose of Division 1A (SKA at [133]). Examples of personal circumstances, in her Honour's judgment, included youth and being subject to prior sexual abuse. Such circumstances "impinge upon moral culpability" but do not affect the evaluation of objective seriousness of the offending (SKA at [135]).
Muldrock may be taken to have overruled the staged or stepped approach to sentencing for Division 1A offences summarised at 191 [117] - [121] of R v Way: Muldrock at 131 [25] and 132 [28]. It does not follow from this that everything said by this Court in R v Way, and in particular everything said about the interrelationship between "objective seriousness" and "matters personal to the offender", should be taken to have been disapproved of by the High Court. I repeat, what the High Court overruled is the two-staged approach, because it tended to undermine the instinctive synthesis approach described by McHugh J in Markarian v the Queen (see [22] above by Latham and Bellew JJ). Had the Justices meant to be understood as disapproving of the analysis in R v Way at 186 [84] - 187 [87] - [88] they would have said so clearly.
For these reasons, I agree with the order proposed by Latham and Bellew JJ.
[16]
Amendments
29 January 2018 - Typographical correction to coversheet
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Decision last updated: 29 January 2018
Solicitors:
Legal Aid NSW - appellant
Solicitor for the Director of Public Prosecutions NSW - respondent
File Number(s): 2005/2199004
Publication restriction: Nil
Decision under appeal Court or tribunal: Court of Criminal Appeal
Jurisdiction: Criminal
Citation: [2008] NSWCCA 114
Date of Decision: 02 June 2008
Before: Beazley JA Barr J Hoeben J