DPP v Walters
[2015] VSCA 303
•17 November 2015
SUPREME COURT OF VICTORIA
COURT OF APPEAL
S APCR 2015 0163
| DIRECTOR OF PUBLIC PROSECUTIONS | Appellant |
| v | |
| DANIEL WALTERS (A PSEUDONYM)[1] | Respondent |
[1]To ensure that there is no possibility of identification, this judgment has been anonymised by the adoption of a pseudonym in place of the name of the Respondent.
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| JUDGES: | MAXWELL P, REDLICH, TATE, WHELAN and PRIEST JJA |
| WHERE HELD: | MELBOURNE |
| DATE OF HEARING: | 16 October 2015 |
| DATE OF JUDGMENT: | 17 November 2015 |
| MEDIUM NEUTRAL CITATION: | [2015] VSCA 303 |
| RULING APPEALED FROM: | R v [Walters] [2015] VSC 372 (Lasry J) |
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CRIMINAL LAW – Appeal – Sentence – Crown appeal – Baseline sentencing – Incest – Median sentence – Median as statistical product of series of numbers – Parliament’s intention that future median sentence be 10 years’ imprisonment – Statistical period not specified – Absence of legislative mechanism for achievement of intended median – Gap in legislation – Whether court can fill gap – Non-judicial function – Whether necessary implication – Provisions incapable of practical operation – No sentencing error – Appeal dismissed – Sentencing Act 1991 s 5A.
STATUTORY INTERPRETATION – Legislative intention – Sentencing – Baseline sentencing – Median sentence – Median as statistical product of series of numbers – Parliament’s intention that future median sentence be 10 years’ imprisonment – Statistical period not specified – Absence of legislative mechanism for achievement of intended median – Gap in legislation – Whether court can fill gap – Non-judicial function – Whether necessary implication – Function of explanatory note – Extrinsic materials – Whether statements in second reading speech can fill gap in legislation – Presumptions – Presumption against overturning common law doctrines – Provisions incapable of practical operation – Sentencing Act 1991 s 5A.
WORDS AND PHRASES – ‘median’, ‘median sentence’.
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| APPEARANCES: | Counsel | Solicitors |
| For the Appellant | Mr J Champion SC with Ms F L Dalziel | Ms V Anscombe, Acting Solicitor for Public Prosecutions |
| For the Respondent | Mr T Marsh with Mr A Pyne | Victoria Legal Aid |
| For the Criminal Bar Association (as amicus curiae) | Ms L A Taylor QC |
MAXWELL P
REDLICH JA
TATE JA
PRIEST JA:
Summary
As so often in the work of an appellate court, this appeal turns on a question of statutory interpretation. And, as so often in the work of this Court, it is the provisions of the Sentencing Act 1991 which fall to be interpreted — in this case, provisions inserted in 2014 to introduce what is described as ‘baseline sentencing’.
Interpreting statutory provisions requires consideration of the legislative context and — where relevant — the legislative history. But, as the High Court has repeatedly emphasised, the task of statutory interpretation begins, and ends, with the words which Parliament has used.[2] For it is through the statutory text that the legislature expresses, and communicates, its intention.
[2]Thiess v Collector of Customs (2014) 250 CLR 664, 671 [22] (‘Thiess’); see also Baini v The Queen (2012) 246 CLR 469, 476 [14]; Legal Services Board v Gillespie Jones (2013) 249 CLR 493, 509 [49], 511 [59].
As this Court said in The Treasurer of Victoria v Tabcorp Holdings Ltd,[3] there are
powerful reasons of principle for giving primacy to the statutory text. First, the separation of powers requires nothing less. Axiomatically, it is for the Parliament to legislate and for the courts to interpret. Close adherence to the text, and to the natural and ordinary meaning of the words used, avoids the twin dangers of a court ‘constructing its own idea of a desirable policy’,[4] or making ‘some a priori assumption about its purpose’.[5]
Secondly, giving the text its natural and ordinary meaning maximises the comprehensibility and accessibility of statute law, and the accountability of the legislature.[6]
[3][2014] VSCA 143, [101]–[102] (citations in original).
[4]Australian Education Union v Department of Education and Children’s Services (2012) 248 CLR 1, 14 [28].
[5]Certain Lloyds Underwriters v Cross (2012) 248 CLR 378, 390 [26].
[6]International Finance Trust Co Ltd v New South Wales Crime Commission (2009) 240 CLR 319, 349 [42].
The duty to give primacy to the statutory text has two important corollaries. First, a court construing a statutory provision must strive to give meaning to every word of the provision,[7] and to the provision(s) as a whole.[8] Secondly, except in extremely limited circumstances, the court has no power to fill a gap in a statute or otherwise to read in words which the legislature has not used.[9] The limits of the judicial role require that courts ‘abstain from any course which might have the appearance of judicial legislation’.[10]
[7]Project Blue Sky Inc v Australian Broadcasting Authority (1998) 194 CLR 355, 382 [71].
[8]Commissioner of State Revenue v EHL Burgess Properties Pty Ltd [2015] VSCA 269, [74].
[9]DPP v Leys (2012) 296 ALR 96, 130 [109]–[110] (‘Leys’).
[10]Inco Europe Ltd v First Choice Distribution [2000] All ER 109, 115 (Lord Nicholls), quoted with approval in Minister v SZJGV (2009) 238 CLR 642, 651 [9]; see also Leys (2012) 296 ALR 96, 130 [110].
In the baseline sentencing provisions, Parliament’s stated intention (as applicable to the present case) is that, at some unspecified time in the future, the ‘median sentence’ for the offence of incest will be a sentence of 10 years’ imprisonment. Parliament has thus expressed its intention using the language of statistics. ‘Median’ is a statistical term used to identify the middle number in a series of numbers.
Thus expressed, the statement of intention is comprehensible, although there remains a lack of precision arising from the lack of any specified time in the future, or specified time period, by which the intended median is to be achieved. Crucially, however, the legislation is wholly silent as to the means by which a judge imposing sentence for incest is to do so ‘in a manner compatible with’ the intention to achieve the intended median sentence in the future.
In those circumstances, the following rules of interpretation are engaged:
1. Where legislation specifies an objective but is silent as to the means by which that objective is to be achieved, the interpreting court has no authority to fill the gap by reading in powers or duties which the legislature might have conferred or imposed for that purpose.[11]
2. Nothing said in a Minister’s Second Reading Speech can displace the meaning and effect of the statutory text, or be used to fill a gap in the text.[12]
3. An explanatory note to a legislative provision may be used to clarify the meaning of the provision but cannot be used to fill a gap in its substantive content.[13]
[11]See, eg, Marshall v Watson (1972) 124 CLR 640, 644, 649; Re Bolton; ex parte Beane (1987) 162 CLR 514, 518.
[12]See, eg, Re Bolton; ex parte Beane (1987) 162 CLR 514, 518; Kline v Official Secretary to the Governor-General (2013) 249 CLR 645, 659 [32]; North Australian Aboriginal Justice Agency Ltd v Northern Territory of Australia [2015] HCA 41, [229].
[13]See Interpretation of Legislation Act 1984 s 36(3A); McLaughlin v Dungowan Manly Pty Ltd (No 3) [2011] NSWSC 717, [22] (Pembroke J); Morgan v Commissioner of Police (NSW) [2012] NSWSC 1141, [142] (Johnson J).
In the present case, the defect in the legislation is incurable. Parliament did not provide any mechanism for the achievement of the intended future median, and the Court has no authority to create one, as the Director of Public Prosecutions (‘the Director’) properly conceded. To do so would be to legislate, not to interpret. Acknowledging the absence of the necessary statutory language, the Director was constrained to rely on the aspirations of the Minister as stated in the second reading speech, but those statements could never have been a substitute for the missing statutory language.
For these reasons, as more fully explained below, the baseline sentencing provisions are incapable of being given any practical operation. The sentencing judge concluded that the provisions did not require him to impose a sentence different from that which he would otherwise have imposed. Although our reasons are different from his Honour’s, the conclusion was correct. The Director’s appeal against the sentence must therefore be rejected.
In view of our conclusion that the legislation is incurably defective, it is unnecessary to set out in any detail the reasons of the sentencing judge. We wish to acknowledge, however, the great care with which his Honour approached the task which confronted him. It was an unenviable task. These provisions are without precedent in Australian sentencing law and this was the first occasion on which a court had been called on to interpret them.
As will appear, much of his Honour’s analysis of the provisions was accepted by the Director on the appeal. His Honour rejected, however, the Director’s submission that the provisions required a ‘scaling-up’ of incest sentences by reference to the intended future median. As his Honour correctly stated, there is ‘no mechanism or guidance in the legislation’ as to how a process of scaling might be approached. More generally, as we have said, the legislative gap consists in the failure to provide any mechanism for the achievement of the intended future median. That is the legislative gap which it is beyond the judicial function to fill.
We wish also to acknowledge the considerable assistance received from the respective submissions of the Director (who appeared on his own behalf), Mr T Marsh, Chief Counsel of Victoria Legal Aid (for the respondent), and Ms L Taylor QC, representing the Criminal Bar Association, which appeared as amicus curiae.
Background
On 15 July 2015, the respondent pleaded guilty in the Supreme Court to two charges of committing an indecent act with a child under 16[14] (charges 1 and 2) and four charges of incest[15] (charges 3, 4, 5 and 6). On 30 July 2015, the sentencing judge imposed a total effective sentence of six years and eight months’ imprisonment, upon which he fixed a non-parole period of four years’ imprisonment, according to the following table:[16]
[14]Crimes Act 1958 s 47(1). The maximum penalty is 10 years’ imprisonment.
[15]Ibid s 44(1). The maximum penalty is 25 years’ imprisonment.
[16]Pursuant to pt 2A of the Sentencing Act 1991, the respondent was sentenced as a serious sexual offender on charges 3, 4, 5 and 6.
Charge Offence Sentence Cumulation 1 Indecent act with a child under 16 2y 4m 2 Indecent act with a child under 16 2y 4m 3 Incest 4y 4m 4 Incest 4y 4m 5 Incest 5y Base 6 Incest 4y 6m 4m Total Effective Sentence 6y 8m Non-Parole Period 4y Section 6 AAA Statement 8y with a non-parole period of 4y 10m
Since the foundational events for charge 6 occurred on 15 November 2014, it is a ‘baseline offence’.[17] Incest is an offence by virtue of s 44(1) of the Crimes Act 1958, which provides that a person ‘must not take part in an act of sexual penetration with a person whom he or she knows to be his or her child or other lineal descendant or his or her step-child’, and specifies a maximum penalty for the offence of 25 years’ imprisonment. By s 44(1A), the baseline sentence for the offence of incest under s 44(1) ‘is 10 years if the court is satisfied beyond reasonable doubt that the victim was, at the time of the offence, under the age of 18’.
[17]The amendments to pt 2 of the Sentencing Act 1991, and other baseline sentencing provisions, were effected by the Sentencing Amendment (Baseline Sentences) Act 2014, which commenced on 2 November 2014. Under s 155(2) of the Sentencing Act 1991, the amendments ‘only apply to the sentencing of an offender on or after the commencement of that Part for an offence alleged to have been committed on or after that commencement’.
The Director has appealed against the sentence on the ground of manifest inadequacy. The notice of appeal contends that the inadequacy was the result of two errors of law in the judge’s application of the baseline provisions, namely, that he:
(a) failed to treat the baseline sentence ‘as a guidepost’ in the imposition of sentence on charge 6; and
(b) engaged in a ‘two-stage sentencing process’.
As already indicated, the statutory provisions are incapable of implementation. It is therefore unnecessary to consider either of the Director’s complaints about the way in which the judge endeavoured to apply the provisions. There being no other challenge to the sentence imposed, the appeal must be dismissed.
Baseline sentencing provisions
The statutory regime for sentencing for a baseline offence was created by the Sentencing Amendment (Baseline Sentences) Act 2014. The ‘baseline’ provisions thus added to the Sentencing Act 1991 apply to any ‘baseline offence’ committed on or after 2 November 2014.
By virtue of s 3(1), baseline offence ‘means an offence for which an Act specifies a baseline sentence’; and baseline sentence, ’in relation to an offence, means the period specified by an Act as the baseline sentence for the offence’. The new s 5(2)(ab) requires the sentencing court to have regard to ‘the baseline sentence for the offence’.
So far as relevant, s 5A of the Act provides:
5A Sentencing for a baseline offence
(1)If the Act that creates an offence, or prescribes the maximum penalty for an offence, specifies a period as the baseline sentence for the offence, then—
(a)the offence is a baseline offence; and
(b)the period specified as the baseline sentence for the offence is the sentence that the Parliament intends to be the median sentence for sentences imposed for that offence in accordance with this section.
(2)Sentencing practices must give effect to the intention set out in subsection (1)(b).
(3)In sentencing an offender for a baseline offence, a court—
(a)must do so in a manner that is compatible with Parliament’s intention as set out in subsection (1)(b); and
(b)for the purpose of doing so, must disregard any provision of this Part (including the requirement to have regard to current sentencing practices) if not to do so would be incompatible with that intention; and
(c)subject to paragraph (b), is required or permitted to take into account any matters that a court is required or permitted to take into account in sentencing an offender.
Note
Matters that the court is required or permitted to take into account may, depending on the circumstances of the case, include the entering of a plea of guilty or the presence of any other mitigating factor or of any aggravating factor. Taking those matters into account contributes to the court's consideration of what is an appropriate sentence to impose in the case before it compared with a case for which the median sentence would be appropriate. The outcome of that consideration will determine whether the sentence imposed should be equal to, or the degree to which it should be greater or lesser than, the baseline sentence.
(4)A court that sentences an offender for a baseline offence must at the time of doing so state the reasons for imposing that sentence including its reasons for it being equal to or greater or lesser than (as the case requires) the baseline sentence for the offence.
(5)In imposing a total effective sentence in respect of 2 or more sentences, one or more of which is for a baseline offence, a court must sentence in accordance with this section for any baseline offence included in the total effective sentence.
(6)A reference in this section to a baseline offence includes being involved in the commission of a baseline offence.[18]
…
[18]Emphasis added.
The key provisions are s 5A(1)(b), which declares Parliament’s intention (‘the statement of intention’), and s 5A(3)(a), which requires the court when sentencing an offender for a baseline offence to ‘do so in a manner that is compatible with Parliament’s intention’ (‘the compatibility directive’). We deal first with the statement of intention.
The statement of intention
Parliament’s intention is expressly stated in s 5A(1)(b), as follows. Where (as here) the offence for which sentence is to be imposed is a baseline offence, then
the period specified as the baseline sentence for the offence is the sentence that the Parliament intends to be the median sentence for sentences imposed for that offence in accordance with this section.
No definition of ‘median’ is provided. Although the word has other technical meanings, in both anatomy and geometry,[19] it is common ground that when used in these provisions the word ‘median’ is to be given the technical meaning attributed to it in the discipline of statistics.[20]
[19]Lesley Brown (ed), The New Shorter Oxford English Dictionary (Clarendon Press, 3rd ed, 1993) vol 1, 1729.
[20]Cf Marine Power Australia Pty Ltd v Comptroller-General of Customs (1989) 89 ALR 561, 572.
The Australian Bureau of Statistics has published the following explanation of the median as a statistical tool:
The median is a measure of central tendency
A measure of central tendency (also referred to as measures of centre or central location) is a summary measure that attempts to describe a whole set of data with a single value that represents the middle or centre of its distribution.
There are three main measures of central tendency: the mode, the median and the mean. Each of these measures describes a different indication of the typical or central value in the distribution.
The median is the middle value in distribution when the values are arranged in ascending or descending order. The median divides the distribution in half (there are 50 per cent of observations on either side of the median value).
In a distribution with an odd number of observations, the median value is the middle value. In a distribution with an even number of observations, the median value is the mean (average) of the two middle values.
Advantage of the median:
The median is less affected by outliers and skewed data than the mean, and is usually the preferred measure of central tendency when the distribution is not symmetrical.[21]
[21]Australian Bureau of Statistics, Statistical Language – Measures of Central Tendency, (3 July 2013) < type="1">
The median is thus the middle point of a set of numbers, in which half of the numbers are above the median and half are below. The median of a numerical set may be contrasted with the mean (or average), which is the total of a set of numbers divided by the number of items in the set. Parliament’s intention as expressed in s 5A(1)(b) must therefore be taken to be that, for a particular baseline offence, the period specified as the baseline sentence for that offence is to become (at some unstated future time) the numerical value separating the higher half of sentences for that offence from the lower half.
Over the last decade, sentencing courts have become increasingly familiar with the concept of a median as a way of presenting statistics. Since its establishment in 2004, the Sentencing Advisory Council has at regular intervals published sets of statistics — known as ‘Sentencing Snapshots’ — for the purpose of illustrating sentencing trends in the higher courts of Victoria. Each such Snapshot tabulates sentencing outcomes for a particular offence over a five-year period. By collecting together all of the sentences imposed for that offence over that period, the Council is able to identify the median sentence in the series.
Relevantly for present purposes, the Council has published successive Sentencing Snapshots for the offence of incest in February 2008, June 2010, August 2012 and, most recently, in August 2014. A more limited set of statistics was published in August 2015. The following extract from the 2014 Snapshot illustrates how the concept of the median is used by the Council:
Principal sentence of imprisonment
A total of 137 people received a principal sentence of imprisonment for incest between 2008–09 and 2012–13.
Figure 5 shows the number of people sentenced to imprisonment for incest between 2008–09 and 2012–13 by the length of imprisonment term. Imprisonment terms ranged from 3 months to 12 years (8 years when appeals are considered), while the median length of imprisonment was 4 years and 9 months (meaning that half of the imprisonment terms were shorter than 4 years and 9 months and half were longer).[22]
The most common range of imprisonment length imposed was 5 to less than 6 years (36 people).
[22]Emphasis added.
The median sentence, then, is the statistical end-product of the series of sentences for the relevant offence over the specified period. The number of sentences included in any given series will, of course, vary according to the number of persons sentenced for that offence in the years making up the selected period and the number of incest offences committed by individual offenders. When a person is sentenced on multiple incest charges, the sentence on each charge becomes part of the series.
A comparison of the successive Snapshots[23] for the offence of incest reveals significant variations, both in the number of sentences making up the series and in the median value itself, as follows:
[23]The Sentencing Advisory Council separately provided the information on the number of offences in each period.
Incest sentences
Year Period Number of persons
sentenced
Number of offences Median 2008 2002–03 to 2006–07 132 604 4y 2010 2004–05 to 2008–09 167 702 4y 2012 2006–07 to 2010–11 172 892 4y 5m 2014 2008–09 to 2012–13 145 652 4y 9m 2015 2009–10 to 2013–14 134 628 5y
The nature of a median — as a statistical product — means that the median sentence for an offence is unknown, and unknowable, until the end of the relevant counting period. Thus, at any given time, a sentencing judge imposing sentence for incest has no way of knowing what the median will be at the end of the counting period. Nor, more particularly, does the judge know whether the sentence about to be imposed will affect the median figure which is eventually arrived at. That sentence will, of course, be part of the statistical series but — depending on the number and distribution of sentences in the period — may have no effect on the median.
Importantly — as both the Criminal Bar Association and the respondent pointed out — the median sentence is not a measure of offence seriousness, and has never been so regarded for the purposes of sentencing. In other words, the median does not necessarily fall at a known point on the spectrum of culpability; where it falls will be determined only by the number of sentences in the series. As has already been explained, the median is an accidental or contingent statistic, wholly dependent on the particular composition of the statistical series for the specified period. Thus, the median sentence will be higher, or lower, depending on whether the preponderance of offending in the particular period was more or less serious.
As the Director conceded, it would therefore be a misconception to view the median sentence as representing the sentence which would be imposed for an offence of ‘mid-range seriousness’. It follows that it would also be wrong to consider that the median can be used as a guidepost to sentence an offender for a mid-range culpability offence. This reveals why a legislative specification of a median is so different from the setting of a new maximum. By contrast with the maximum, which is reserved for the worst instance of offending for a particular offence, the median is not reserved for offending of mid-range seriousness.
‘… to be the median sentence’
The baseline offence here being incest, Parliament’s intention as expressed in general terms in s 5A(1)(b) can be reformulated in specific terms applicable to the present case, as follows:
10 years is the sentence that the Parliament intends to be the median sentence for sentences imposed for incest in accordance with this section.
Or, expressed more simply:
Parliament intends a sentence of 10 years’ imprisonment to be the median sentence for sentences imposed for incest in accordance with this section.
This may be contrasted with a statement of intention with respect to the maximum penalty for an offence — for example, manslaughter — to the effect that
Parliament intends a sentence of 20 years’ imprisonment to be the maximum sentence for the offence of manslaughter.
That was the intention which the legislature expressed through the 1997 amendment of s 5 of the Crimes Act 1958, which changed the maximum penalty for manslaughter from 15 to 20 years’ imprisonment. In that case, Parliament’s intention had to be — and was able to be — effectuated immediately. That is, from the date of the amendment, 20 years became the maximum penalty for the offence, operative immediately as a sentencing ‘yardstick’.[24]
[24]Markarian v The Queen (2005) 228 CLR 357, 372 [31] (‘Markarian’); see R v AB [No 2] (2008) 18 VR 391, 402–404 [37]–[41].
A statement of intention with respect to a median sentence is quite different. For the reasons already given, Parliament cannot declare something to be the median. The median does not exist — and will not exist — except as a statistical product, calculated at some time in the future, once the period chosen for the collection of statistics has ended.
This being so, the phrase ‘to be the median sentence’ in para 5A(1)(b) must be taken to mean ‘to become the median sentence’ at some future time. As already explained, that will occur when a sufficient series of sentencing decisions has been assembled of which the median is 10 years.
That is how the sentencing judge interpreted the statement of intention. In his Honour’s view, the Court was required
to treat the series [from which a median would be calculated] as all sentences to which the provisions apply, being an infinite set containing known sentences (of which this will be the first) and future, as yet undetermined, sentences.[25]
His Honour considered that this interpretation was consistent with the literal meaning of the words of the section, and with
the notion of the median in this context [as] concerned with a longer term cohort of sentences.[26]
[25]R v [Walters] [2015] VSC 372 (Lasry J) Appendix 1, [81] (emphasis in original).
[26]Ibid [83].
His Honour continued:
[This] interpretation finds support in the broader context of the provisions. Section 5A(2) requires that sentencing practices give effect to Parliament’s intention. Sentencing practice is a notion concerned with multiple sentences over time. Section 5A(3) requires the individual sentencing judge to sentence in a manner compatible with Parliament’s intention, rather than requiring the individual sentence to maintain a specific median at all times. Finally, support for the latter interpretation is found in the second reading speech of the Attorney General which included the following statement:
This requires sentencing practices to change so that, over time, for sentences to which the baseline sentence applies, half the sentences imposed for the offence should be less than this figure, and half should be greater.
… I therefore proceed on the basis that Parliament’s intention is that the baseline sentence is to form, after a period of time, the median sentence for the cohort of sentences to which the baseline sentencing provisions apply and will apply, meaning that half of those sentences will be at or above the baseline and half will be at or below the baseline figure.[27]
[27]Ibid [84]–[85] (emphasis in original) (citations omitted).
On the appeal, as at first instance, the Director accepted that the judge had correctly interpreted the legislative direction that 10 years is ‘to be the median sentence’. More particularly, the Director’s submissions in this Court accepted — correctly, in our view — that the baseline provisions gave no indication of the period over which the intention with respect to the median was to be realised. Parliament’s intention was therefore to be understood as being that, at some indefinite time in the future, there will have been created a statistical series of sentences for incest of which the median will by then be 10 years.
We now turn to consider the compatibility directive.
‘… in a manner compatible with Parliament’s intention’
As noted earlier, the sentencing judge must, when imposing sentence for a baseline offence, do so ‘in a manner compatible with Parliament’s intention’ as stated in s 5A(1)(b). Several unusual features may be noted about this legislative command.
First, while it is not unusual for an Act to require its provisions to be interpreted consistently with stated purposes or objects,[28] it is most unusual for Parliament to include an explicit statement of its own intention, and to give that statement operative (as distinct from interpretive) force.[29] Secondly, the imposition of an unqualified statutory duty upon a court to act ‘compatibly with’ such a statement is without precedent in Victorian law.[30]
[28]See, eg, Liquor Control Act 1968 s 3; Kordister v Director of LiquorLicensing (2012) 39 VR 92, 136 [182].
[29]See and compare Occupational Health and Safety Act 2004 s 2(2); Jury Directions Act 2015 s 5(5).
[30]See and compare Charter of Human Rights and Responsibilities s 32(1) (‘the Charter’).
Thirdly, and most significantly, there is no precedent in Australian sentencing law — or, so far as we are aware, in the sentencing law of any comparable jurisdiction — for a sentencing judge being obliged, in imposing sentence on a particular offender for particular offending, to do so by reference to the intended statistical product of a series of sentences, being a series of indefinite length and indeterminate content.
It may be that a judge could be said to be acting ‘compatibly with’ the statement of intention simply by imposing a sentence which would become part of the statistical series from which the intended median will eventually emerge. The Director conceded that it would be impossible for a judge to anticipate how the median might change in the future, once other judges had passed sentences for incest which were then added to the statistical series. That concession was plainly correct.
What, then, is to be made of the compatibility directive? The task of the Court is to seek to discern from the provisions how the legislature intended that the individual judge would comply with the statutory duty thus imposed. But the provisions are silent on this critical matter. They provide no guidance of any kind as to what a sentencing judge must do in order to impose sentence ‘in a manner compatible with’ the statement of intention. The Director frankly conceded that this was so. In the same way, the provisions give no content to the new obligation in s 5(2)(ab) to ‘have regard to’ the baseline sentence.
The silence of the provisions on this matter is especially significant because the combination of s 5A(2) and s 5A(3)(b) gives primacy to the intention that the period specified as the baseline sentence is to be the median sentence for the relevant offence. The requirement in s 5A(2) — that sentencing practices must give effect to that intention — is reinforced by the direction in s 5A(3)(b) to disregard other governing principles of sentencing in pt 2 of the Act ‘if not to do so would be incompatible’ with the statement of intention. (Those principles include, for example, that regard must be paid to the nature and gravity of the offence (s 5(2)(c)); the offender’s culpability and degree of responsibility for the offence (s 5(2)(d); the impact of the offence on any victim of the offence (s 5(2)(daa)); whether the offender pleaded guilty to the offence (s 5(2))(e)); and the presence of any aggravating or mitigating factor concerning the offender or of any other relevant circumstances (s 5(2)(g)).)
The statement of what is to be the baseline sentence is not simply another ‘yardstick’ for sentencing, nor does it purport to be. It is not a sentencing principle to be taken into account as one amongst many orthodox sentencing principles. Instead, the statement of intention in s 5A(1)(b) (reinforced by s 5A(2) and s 5A(3)(b)) elevates the need to sentence compatibly with the intended future median to be the primary or dominant sentencing principle. In those circumstances, the need for the Parliament to specify a coherent and practical mechanism was imperative, and the absence of a legislative mechanism for achievement of the intended median is all the more significant.
Reference should be made here to the Note to s 5A(3) (‘the Note’). Although the full text of relevant parts of s 5A is set out above, it is convenient to set out the text of the Note once more:[31]
[31]Emphasis added.
Note
Matters that the court is required or permitted to take into account may, depending on the circumstances of the case, include the entering of a plea of guilty or the presence of any other mitigating factor or of any aggravating factor. Taking those matters into account contributes to the court’s consideration of what is an appropriate sentence to impose in the case before it compared with a case for which the median sentence would be appropriate. The outcome of that consideration will determine whether the sentence imposed should be equal to, or the degree to which it should be greater or lesser than, the baseline sentence.
Read literally, the Note would seem to contemplate that a judge would:
·identify the relevant features of ‘a case for which the median sentence would be appropriate’ (‘the median case’);
·compare the case before the Court with the median case; and
·depending on whether the case before the Court was adjudged to be ‘better’ or ‘worse’ than, or ‘the same as’, the median case, impose a sentence above, or below, or equal to, the baseline sentence.
When dealing with the status of the Note, the sentencing judge correctly stated as follows:[32]
A plain reading of the note suggests a two-stage sentencing process.
The note forms part of the Act (see Interpretation of Legislation Act 1984 s 36(3A)) and therefore informs the application of the provisions. However, it remains an explanatory note and not a directive as to the task the court is to undertake. Read in context, it seeks to elaborate on the operation of s 5A(3)(c) regarding the matters the court is required or permitted to take into account and nothing more.
[32]Emphasis added.
On appeal, the Director eschewed reliance on the Note as giving any content to the judge’s obligation to sentence ‘compatibly with’ the statement of intention. He was, with respect, quite correct to do so. The relevant rules of statutory interpretation are clear. Although a note such as this forms part of the Act,[33] it is subordinate to the substantive provisions, of which it is merely explanatory or illustrative.
[33]Interpretation of Legislation Act 1984 s 36(3A).
In some circumstances, a note such as this may be used as an aid to the construction of the substantive provision to which it relates. Thus, if two interpretations are open on the text of the substantive provision, a note might assist in determining which of the two interpretations was to be preferred. As observed earlier, however, if there is conflict between the substantive provision and the note, the note must give way.[34] And, if the substantive provision fails to deal with a particular matter, nothing in the note can make good the deficiency.
[34]See fn 13 above.
In this case, two separate obstacles stood in the way of placing any reliance on the Note. First, it purported to ‘explain’ a methodology which s 5A(3) itself did not create. Secondly, the methodology in the Note purported to treat the median sentence as a starting-point, whereas Parliament’s stated intention was that it be an end-point.
But even if the Note could have been relied on, it would not have provided any meaningful guidance to a sentencing judge. As already mentioned, the Note appears to contemplate that the sentencing court would compare the case before it ‘with a case for which the median sentence would be appropriate’. As the Director properly conceded, this is a concept wholly unknown to sentencing law. No sentencing judge would ever characterise the case before the court as one ‘for which the median sentence would be appropriate’. Put simply, the nature of the median — as the contingent by-product of a set of numbers — means that to speak of the median sentence as being ‘appropriate’ for particular criminal conduct is unintelligible in this sphere of discourse.
Having disavowed reliance on the Note, the Director was constrained to concede that there was ‘no mechanism set out in s 5A in respect of … how the mechanics of [this scheme] are going to work’. He also conceded — correctly, in our view — that it was impermissible for a court to construct a mechanism which, in the court’s view, might serve to effect the statutory purpose.
The Director maintained, nevertheless, that the 10-year period specified as the baseline sentence for incest was intended to become ‘the guide post or yardstick’ which the sentencing judge should ‘steer by’. It followed, so the Director submitted, that the sentencing judge should have treated the 10-year period as a starting-point. Put another way, the judge was bound to impose a sentence which bore some proportionate relationship with the 10-year baseline, that being the sentence to be imposed for ‘a median case’.
These submissions rested, as the Director readily acknowledged, not on the statutory provisions themselves but on what the Attorney-General had said in the second reading speech for the amending Bill, as follows:[35]
[35]Victoria, Parliamentary Debates, Legislative Assembly, 3 April 2014, 1276–7 (Robert Clark, Attorney-General) (emphasis added).
Traditionally, it has been Parliament’s role to define a criminal offence, and to set the maximum penalty for that offence. The maximum penalty indicates the sentence that can be imposed for the very worst instance of a crime, and is also intended to set the relative severity of crimes. However, the maximum penalty itself is rarely imposed.
Below the maximum, the sentencing court imposes a penalty that it considers appropriate, by reference to a range of aggravating and mitigating factors specific to each case, and by reference to cases that have gone before, in accordance with current sentencing practices.
Other than setting the maximum penalty, Parliament at present has little say as to what sentences the common or mid-range instances of any particular crime should receive.
…
The baseline sentencing reform changes this. Through this bill, the Parliament is asked to set baseline sentences for six serious crimes that will serve as a guidepost for judges whenever they impose a sentence for those crimes.
The baseline sentence is the figure that Parliament expects will become the median sentence for that offence. This requires sentencing practices to change so that, over time, for sentences to which baseline sentencing applies, half the sentences imposed for the offence should be less than this figure, and half should be greater.
Thus, the sorts of instance of the offence concerned that have in the past incurred a sentence of median length — that is, at the midpoint of relevant sentences imposed for that offence — should in future receive a sentence equal to the baseline sentence.
In other words, the bill requires courts to increase sentences for the sorts of cases that incur a midpoint sentence from the current median sentence length to the sentence length specified as the baseline sentence. Sentences for cases that deserve to incur a higher or lower sentence than the median will then be set having regard to the median sentence length required by the baseline sentence.
This bill sets baseline sentences that are unashamedly higher than the current median sentences. This will serve to influence the entire range of sentences imposed for each baseline offence so that most sentences imposed for baseline offences under this bill will move higher to a greater or lesser extent as a result of the change to sentencing practices that the bill requires.
To the extent that current sentencing practices are inconsistent with the baseline sentence, the court must depart from current sentencing practices and give effect to Parliament’s intention. Acting compatibly with the Parliament’s intention that the baseline sentence should be the median sentence is to prevail over consistency with existing sentencing practices.
The bill does not seek to specify what factors involved in a particular instance of an offence should result in a sentence greater or lower than the median. This is something that will continue to be determined in accordance with existing sentencing principles. Judges will be able to have regard to the sorts of instances of the offence that have incurred a median sentence and then determine whether the instance of offending before the court is deserving of a greater or lesser sentence than instances of offending that have incurred a median sentence. However, the individual sentence imposed must be consistent with the baseline sentence being the figure that Parliament expects will become the median sentence for that offence, and the court will be required to state its reasons as to why a sentence imposed for a baseline offence is equal to or greater or lesser than the baseline sentence.
It is expected that judges may draw on their experience in sentencing for that offence and may seek submissions from counsel as to where the instance of offending before them stands in relation to an instance that would incur a median sentence. Judges may also have regard to sentencing data and other materials relating to the relevant offence published by the Sentencing Advisory Council, the Judicial College of Victoria or other sources to ascertain instances of offending that have incurred a median sentence. It is the government’s intention that relevant statistical records will continue to be updated and that statistics will be prepared and published on a basis consistent with section 5B as proposed to be inserted by the bill.
…
As the Director properly conceded, however, extrinsic materials cannot be relied on to fill a gap in the statute itself. Parliament’s intention must be discerned from the words actually used in the legislation. As the High Court observed in Alcan (NT) Alumina Pty Ltd v Commissioner of Territory Revenue:[36]
The task of statutory construction must begin with a consideration of the text itself. Historical considerations and extrinsic materials cannot be relied on to displace the clear meaning of the text. The language which has actually been employed in the text of legislation is the surest guide to legislative intention. The meaning of the text may require consideration of the context, which includes the general purpose and policy of a provision, in particular the mischief it is seeking to remedy.
[36](2009) 239 CLR 27, 46–7 [47] (Hayne, Heydon, Crennan and Kiefel JJ) (citations omitted).
Contrary to the Minister’s statement to Parliament, the legislation does not
require courts to increase sentences for the sorts of cases that incur a mid-point sentence …
As we have explained, the statutory provisions say no such thing. Nor could any such requirement be said to arise as a matter of necessary implication.[37] In any event, for the reasons we give below, there is a fallacy in assuming that a court can identify ‘the sort of case’ that should incur a mid-point sentence given that, as the Director conceded, the statistical mid-point does not necessarily reflect mid-level seriousness of offending.
[37]Cf Norton v Long [1968] VR 221, 223–4.
In summary, then, while it is possible to give a meaning to the statement of intention, it is impossible to give meaningful content to the obligation to impose sentences ‘compatibly with’ that intention. Stating that Parliament intends a certain statistical outcome to be achieved, at some indefinite time in the future, gives no guidance to a sentencing judge as to how to impose a sentence for a particular offence.
The baseline provisions are therefore incapable of being given any practical operation. As we have explained, that is the consequence of the legislature having expressed its intention not by reference to a starting-point taken from sentencing law, but by reference to an end-point taken from the field of statistics.[38]
[38]See Wong v The Queen (2001) 207 CLR 584, 608 [66] (‘Wong’).
It should be emphasised that this is no mere technicality. What these reasons have demonstrated is that the problem is a fundamental one. Parliament’s stated intention cannot be given effect to because the provisions contain no mechanism for its implementation and it is beyond the function of the Court to devise one.
As has also been made clear, this conclusion follows from the application of established rules of interpretation. Whenever Parliament legislates, it does so in the knowledge that the task of interpretation will be governed by such rules. These are not obscure rules known only to technical specialists. On the contrary, as the High Court has emphasised, statutory interpretation is ‘an expression of the constitutional relationship between the arms of government with respect to the making, interpretation and application of laws’.[39] It is ‘by the application of rules of interpretation accepted by all arms of government’ that the court determines how a statute is to be construed.[40]
[39]Zheng v Cai (2009) 239 CLR 446, 455–6 [28] (‘Zheng’). See also Public Service Association of South Australia v Industrial Relations Commission (SA) (2012) 249 CLR 398, 423 [64]; Lacey v Attorney-General (Qld) (2011) 242 CLR 573, 592 [43].
[40]Zheng (2009) 239 CLR 446, 455–6 [28]. See also Plaintiff S10/2011 v Minister [2012] 246 CLR 636, 666 [97].
Altering the common law
One important rule of interpretation to which reference has not yet been made is the presumption against the alteration of common law doctrines. The classic statement of the presumption was that of O’Connor J in Potter v Minahan,[41] where his Honour said (quoting from Maxwell on Statutes):
It is in the last degree improbable that the legislature would overthrow fundamental principles, infringe rights, or depart from the general system of law without expressing its intention with irresistible clearness; and to give any such effect to general words, simply because they have that meaning in their widest, or usual, or natural sense, would be to give them a meaning in which they were not really used.[42]
[41](1908) 7 CLR 277, 304.
[42]See Bropho v State of Western Australia (1990) 171 CLR 1, 18.
As Gleeson CJ said in Electrolux Home Products Pty Ltd v Australian Workers’ Union,[43] in terms often quoted with approval,[44] this principle:
is not merely a common sense guide to what a Parliament in a liberal democracy is likely to have intended; it is a working hypothesis, the existence of which is known both to Parliament and the courts, upon which statutory language will be interpreted.
[43](2004) 221 CLR 309, 329 [21].
[44]See Australian Education Union v General Manager of Fair Work Australia (2012) 246 CLR 117, [30]; Lee v NSW Crime Commission (2013) 251 CLR 196, 309 [312] (‘Lee’); North Australian Aboriginal Justice Agency Ltd v Northern Territory of Australia [2015] HCA 41, [11].
The sentencing method propounded by the Attorney-General — had it been enacted — would have ‘overthrown fundamental principles’ of sentencing law. As appears from the second reading speech, the Attorney-General envisaged that the sentencing judge would take the baseline sentence for the relevant offence as the starting point for sentencing. (As we have already pointed out, by contrast with the second reading speech the statutory provisions themselves treat the baseline sentence as the end-point, not a starting-point). The judge would then
have regard to the sorts of instances of the offence that have incurred a median sentence [in the past] and then determine whether the instance of offending before the Court is deserving of a greater or lesser sentence than instances of offending that have incurred a median sentence.[45]
[45]See [56] above.
The Minister evidently contemplated that the judge would decide whether the case before the court was:
(c) similar to ‘the sorts of instances of the offence that have incurred a median sentence’ (‘median instances’), in which case the new median (the baseline sentence) must be imposed;
(d) ‘deserving of’ a greater sentence than the median instances, in which case the sentence to be imposed must be greater than the baseline sentence (while bearing some proportionate relationship to it); or
(e) ‘deserving of’ a lesser sentence than the median instances, in which case the sentence imposed must be less than the baseline sentence (while bearing some proportionate relationship to it).
Such an approach to sentencing — had it been enacted — would have displaced established common law sentencing principles:
(f) by requiring a process of ‘two-stage sentencing’, that is, by requiring the judge to start with a particular sentence (the baseline) and then, by a process of ‘increments and decrements’ referable to aggravating and mitigating factors, arrive at the sentence to be imposed;[46] and
(g) by requiring the judge to make comparisons between cases on the basis of ‘numerical or mathematical equivalence’.[47]
The Minister’s approach would also have seriously distorted the application of the principle of proportionality, and the related principle of totality, which are fundamental aspects of just punishment.[48]
[46]Wong (2001) 207 CLR 584, 611 [74]–[76]; Markarian (2005) 228 CLR 357, 375 [39].
[47]Hili v The Queen (2010) 242 CLR 520, 527 [18], 535 [48]–[49] (‘Hili’).
[48]See Boulton v The Queen [2014] VSCA 342; Azzopardi v The Queen (2011) 35 VR 43, 60-61 [58]–[62].
Thus, had Parliament sought to enact provisions establishing such a methodology, the intention to displace or subvert these fundamental common law principles would need to have been expressed with unambiguous clarity.[49] Finally, it must be pointed out that, even if the legislation had included provisions giving effect to the Attorney-General’s aspirations, the putative methodology would still have been unworkable. The point may be explained simply, as follows.
[49]See DPP v Galloway [2014] VSCA 272; Lee (2013) 251 CLR 196, 310 [314].
The ‘median case’ fallacy
As we pointed out earlier, the notion of ‘a case for which the median sentence would be appropriate’ is unintelligible as a sentencing concept. Similar difficulties attach to the Attorney-General’s suggestion that a sentencing judge would impose a sentence above, or below, the new median (the baseline sentence) by comparing the case before the court with ‘the sorts of instances of the offence that have incurred a median sentence’ in the past. This appears to reflect the assumption, shown to be erroneous above, that the median sentence is reserved for offending of mid-level seriousness.
As appears from the table set out above, the statistics collected by the Sentencing Advisory Council showed that the median sentence for incest over the most recent period reviewed (2009–10 to 2013–14) was five years. The Council’s further work revealed that a sentence of five years had been imposed on 89 incest charges, committed by 36 offenders, over that period. Of those 36 cases, sentencing reasons had been obtained for 13.
The Director prepared for the judge a table summarising the features of the offending, and of the offender, in each of those 13 cases. We have reviewed those 13 cases, and the sentencing reasons provided. Unsurprisingly, the circumstances of the offending and the personal histories of the offenders are so diverse and various that the only common features of significance are that the offender was sentenced on one or more charges of incest and that, on at least one of those charges, the offender was sentenced to five years’ imprisonment. The latter is, of course, the feature of ‘numerical equivalence’ to which we have referred.
The fallacy of the suggested approach is that it begins with the statistical end-point — the median calculated at the end of the five-year period — and then looks back at the cases in which the median sentence was imposed during that period. The assumption appears to be that an examination of those ‘numerically equivalent’ cases will reveal some common characteristics which can be said to define ‘the median case’, to which other cases can then be compared.
That assumption rests on a fundamental misapprehension. It is a tenet of sentencing law that the sentence imposed in a particular case reflects the judge’s evaluation of the full range of factors bearing on the nature and circumstances of the offending and the personal circumstances and past history of the offender. The mere fact that two offenders received the same sentence for the same offence provides little or no information as to whether the cases are in any way comparable.
As the High Court has pointed out, what matters is not that the same sentence was imposed but why, in each case, the particular sentence was arrived at.[50] In the case of incest, for example, a sentence of five years’ imprisonment might have been imposed on a first offender whose offending was extremely serious, and the same sentence might have been imposed — for quite different reasons — on a repeat offender for offending which was much less serious.
[50]Wong (2001) 207 CLR 584, 606 [59]; Hili (2010) 242 CLR 520, 537 [54]–[55].
Examination of the sentencing reasons in the 13 cases bears this out. Put simply, there is little or no commonality between the cases. As would be expected, there is enormous variation from one case to the next, both in the nature and
circumstances of the offending and in the personal circumstances of the offender. It would have been a very burdensome task for the sentencing judge to have reviewed all of those sets of reasons and — for the reasons given — he would have derived no relevant assistance from doing so.
Of course, as the Director pointed out, sentencing decisions are informed by reference to comparable cases. They stand as ‘a yardstick against which to examine a proposed sentence’.[51] But, for a previous sentencing decision to be of any assistance, it will ordinarily need to involve offending of comparable seriousness.[52] And, as we have pointed out, the fact that the sentence imposed in a particular case turned out, at the end of the statistical series, to be the median sentence for the period is no indication of the seriousness of the offending in that case.
[51]Hili (2010) 242 CLR 520, 537 [54]; Barbaro v The Queen (2014) 253 CLR 58, 74 [41].
[52]Anderson v The Queen [2013] VSCA 138 [22].
As indicated above, in our view the appeal should be dismissed.
WHELAN JA:
On 2 November 2014 significant new provisions of the Sentencing Act 1991 (‘the Act’) came into operation.
The key new provisions are s 5A and s 5(2)(ab). Relevantly, s 5A reads:
5A Sentencing for a baseline offence
(1)If the Act that creates an offence, or prescribes the maximum penalty for an offence, specifies a period as the baseline sentence for the offence, then—
(a) the offence is a baseline offence; and
(b)the period specified as the baseline sentence for the offence is the sentence that the Parliament intends to be the median sentence for sentences imposed for that offence in accordance with this section.
(2)Sentencing practices must give effect to the intention set out in subsection (1)(b).
(3) In sentencing an offender for a baseline offence, a court—
(a)must do so in a manner that is compatible with Parliament’s intention as set out in subsection (1)(b); and
(b)for the purpose of doing so, must disregard any provision of this Part (including the requirement to have regard to current sentencing practices) if not to do so would be incompatible with that intention; and
(c)subject to paragraph (b), is required or permitted to take into account any matters that a court is required or permitted to take into account in sentencing an offender.
Note
Matters that the court is required or permitted to take into account may, depending on the circumstances of the case, include the entering of a plea of guilty or the presence of any other mitigating factor or of any aggravating factor. Taking those matters into account contributes to the court’s consideration of what is an appropriate sentence to impose in the case before it compared with a case for which the median sentence would be appropriate. The outcome of that consideration will determine whether the sentence imposed should be equal to, or the degree to which it should be greater or lesser than, the baseline sentence.
Section 5(2) of the Act was amended so as to read (with the amendment underlined):
(2) In sentencing an offender a court must have regard to—
(a) the maximum penalty prescribed for the offence; and
(ab) the baseline sentence for the offence; and
(b) current sentencing practices; and
(c) the nature and gravity of the offence; and
(d)the offender’s culpability and degree of responsibility for the offence; and …
Incest where the victim is below 18 years is a baseline offence. The baseline sentence is 10 years.[53]
[53]Crimes Act 1958 s 44(1A).
On 12 June 2015 the respondent pleaded guilty to an indictment containing six charges, four of which were incest. The victim was under 18 years. The new provisions applied to one of the four incest charges (charge 6). In relation to that charge the sentencing judge stated that the new provisions required him to:
·have regard to the baseline sentence for incest being 10 years’ imprisonment (s 5(2)(ab));
·engage in a sentencing practice which gives effect to Parliament’s intention that 10 years’ imprisonment be the median sentence imposed for incest (s 5A); and
·sentence in a manner compatible with Parliament’s intention that 10 years’ imprisonment be the median sentence imposed for incest (s 5A).[54]
[54]R v [Walters] [2015] VSC 372, [74] (‘Sentencing Reasons’).
The sentencing judge, however, imposed a sentence on charge 6 which was unaffected by the new provisions. This was because he concluded that the new provisions did not affect sentences in cases which are properly characterised as ‘falling below the median’.[55] The appellant contends this was an error.
[55]Ibid [149].
Before turning to the judge’s reasons and the matters raised on the appeal, it is necessary to describe what the concept of a ‘median’ is in the context of sentencing, to address some of the relevant principles of sentencing law which are potentially altered by the new provisions, and to address some authorities on other legislative provisions which have altered or affected those principles.
The role of the ‘median’ in sentencing prior to the baseline amendments
The median is the middle number in a given sequence of numbers. Half the numbers in the set are below the median and half are above it. For some years sentencing statistics compiled by the Sentencing Advisory Council have included calculations of the median sentence. In the last five years this Court has referred to the median when addressing sentence appeals on approximately 60 occasions.[56] In many of these cases the Court has emphasised the limitations upon the role that statistics can usefully play in the determination of sentences.[57] Judges of the High Court have observed that the statistical analysis of sentences is ‘fraught with danger’.[58] Very recently, judges of the High Court have observed that the value of sentencing statistics varies between offences, and that sometimes no meaningful pattern can be discerned because the number of sentences in the applicable set is too small.[59]
[56]Simpson v The Queen [2015] VSCA 210; Latina v The Queen [2015] VSCA 102; Lakkis v The Queen [2015] VSCA 208; Scammell v The Queen [2015] VSCA 206; Sadrani v The Queen [2015] VSCA 202; Meade v The Queen [2015] VSCA 171; Raveche v The Queen [2015] VSCA 99; DPP v Torun [2015] VSCA 15; Bass (a pseudonym) v The Queen [2014] VSCA 350; Xypolitos v The Queen [2014] VSCA 339; Murrell v The Queen [2014] VSCA 337; Singh v The Queen [2014] VSCA 250; Pham v The Queen [2014] VSCA 204; Bernath v The Queen [2014] VSCA 195; Pilgrim v The Queen [2014] VSCA 191; Blair (a pseudonym) v The Queen [2014] VSCA 175; Stensholt v The Queen [2014] VSCA 171; McPhee v The Queen [2014] VSCA 156; Leddin v The Queen [2014] VSCA 155; Saner v The Queen [2014] VSCA 134; Tasevski v The Queen [2014] VSCA 135; Dao v The Queen [2014] VSCA 93; Secombe v The Queen [2014] VSCA 28; Cummins (a pseudonym) v The Queen (2013) 40 VR 319; Gadd v The Queen [2012] VSCA 267; Dankovic v The Queen [2012] VSCA 255; DM v The Queen [2012] VSCA 227; Zammit v The Queen [2012] VSCA 216; M A v The Queen [2012] VSCA 214; Chol v The Queen [2012] VSCA 204; El-Waly v The Queen [2012] VSCA 184; DPP v Hill [2012] VSCA 144; Abdifar v The Queen [2012] VSCA 66; Marku v The Queen [2012] VSCA 51; Hogarth v The Queen (2012) 37 VR 658; Middendorp v The Queen (2012) 35 VR 193; DPP v Werry (2012) 37 VR 524; Blackler v The Queen [2012] VSCA 16; Violatzi v The Queen [2011] VSCA 424; Rolls v The Queen (2011) 34 VR 80; Tamamovich v The Queen [2011] VSCA 330; McDonough v The Queen [2011] VSCA 310; Sarvak v The Queen [2011] VSCA 300; Dutton v The Queen [2011] VSCA 287; DPP v Johnson (2011) 35 VR 25; DPP v Nationwide Towing and Transport Pty Ltd [2011] VSCA 291; Mok v The Queen [2011] VSCA 247; Rintoull v The Queen [2011] VSCA 245; Russell v The Queen [2011] VSCA 147; Faj v The Queen [2011] VSCA 137; Pettiford v The Queen [2011] VSCA 96; Trowsdale v The Queen [2011] VSCA 81; Adams v The Queen [2011] VSCA 77; DPP v Wightley [2011] VSCA 74; Spiteri v The Queen [2011] VSCA 33; Mok v The Queen [2011] VSCA 38; FD v The Queen [2011] VSCA 8; Likiardopoulos v The Queen (2010) 30 VR 654; Gray v The Queen [2010] VSCA 312; Cay v The Queen (2010) 29 VR 560; Sharkey v The Queen [2010] VSCA 273.
[57]See, eg, DM v The Queen [2012] VSCA 227 [40]; M A v The Queen [2012] VSCA 214 [80]; Chol v The Queen [2012] VSCA 204 [36]; DPP v Hill [2012] VSCA 144 [47]; Abdifar v The Queen [2012] VSCA 66 [51]; Middendorp v The Queen (2012) 35 VR 193, 205 [38]; Tamamovich v The Queen [2011] VSCA 330 [43] .
[58]Wong v The Queen (2001) 207 CLR 584, 608 [66] (Gaudron, Gummow and Hayne JJ) (‘Wong’).
[59]R v Pham [2015] HCA 39 [49] (Bell and Gageler JJ) (‘Pham’).
In DPP v Maynard this Court (Ashley, Redlich and Kellam JJA) said:
Statistics do no more than establish minimum and maximum sentences and the average and median sentences imposed over a particular, and necessarily arbitrary period. Indeed, there is a danger that undue reliance upon the average or median sentence imposed during a particular period will distract the sentencing judge from the particular circumstances of the case in hand and has the capacity to distort sentencing in particularly serious cases towards the average or median figure. The statistics cited provide guidance in only a limited way to the sentence that should have been imposed in this case. By themselves, statistics do not establish a sentencing practice.[60]
[60][2009] VSCA 129 [35]. Cited with approval in Ashdown v The Queen (2011) 37 VR 341, 394 [151(31)]; Bowen v The Queen [2011] VSCA 67 [71]; R v Towle [2009] VSCA 280 [110]; DPP v Moses [2009] VSCA 274 [29]; R v Tran [2009] VSCA 252 [25]; R v Danh [2009] VSCA 251 [25]; DPP v Terrick (2009) 24 VR 457, 475 [74].
Similar concerns have been expressed by this Court on many other occasions.[61]
[61]In addition to the above, see eg: Hards v TheQueen [2013] VSCA 119 [26]; Violatzi v The Queen [2011] VSCA 424 [25]; DPP v Aparo [2011] VSCA 207 [28]–[33]; Russell v The Queen [2011] VSCA 147 [4], [42] and [61]; DPP v Dowie [2009] VSCA 154 [25].
According to the approach which has been adopted in this Court, consideration of the median is not irrelevant. It can be of assistance, but the assistance is necessarily limited. It may be a ‘rough cross check’.[62] A clustering of sentences around a low median may demonstrate that current sentencing practice has departed from the proper parameters set by the maximum penalty.[63]
[62]Russell v The Queen [2011] VSCA 147 [61] (Kaye AJA as he then was).
[63]Hogarth v The Queen (2012) 37 VR 658, 673 [58] (Maxwell P, Neave JA and Coghlan AJA).
The legislation’s use of the concept of a ‘median’ is the use of a concept well-known to sentencing courts. But it is a concept which has been used by the courts with care and with a recognition of its significant limitations.
The legislation in issue in this appeal seeks to elevate the concept of ‘the median sentence’ to a role very significantly different to that which the concept has previously played.
Instinctive synthesis
The process by which sentencing is undertaken in Victoria is referred to as ‘instinctive synthesis’. In Markarian v The Queen (‘Markarian’) McHugh J described it as follows:
By instinctive synthesis, I mean the method of sentencing by which the judge identifies all the factors that are relevant to the sentence, discusses their significance and then makes a value judgment as to what is the appropriate sentence given all the factors of the case. Only at the end of the process does the judge determine the sentence.[64]
[64](2005) 228 CLR 357, 378 [51]. See also Wongv The Queen (2001) 207 CLR 584, 611 [75] (Gaudron, Gummow and Hayne JJ) cited with approval by the majority in Markarian: (2005) 228 CLR 357, 374 [37] (Gleeson CJ, Gummow, Hayne and Callinan JJ).
The process of ‘instinctive synthesis’ is to be contrasted with what is referred to as ‘two-tier sentencing’. McHugh J described this as being where the judge first fixes on a sentence determined by ‘the objective circumstances’ of the case and then increases or reduces the hypothetical sentence incrementally by reference to other factors.[65]
[65]Markarian (2005) 228 CLR 357, 377–8 [51].
There may be much to be said for Kirby J’s view, expressed in Markarian, that much of the debate between those who favour instinctive synthesis and those who favour a ‘two-stage approach’ is a matter of semantics.[66] But after Markarian it is clear that instinctive synthesis is the correct approach. This does not mean that the sentencer is precluded from proceeding sequentially or from making specific numerical or proportional allowances, or from quantifying those allowances.[67] Nor does it mean that the sentencing conclusion is to be devoid of a transparent path of reasoning.[68]
[66]Ibid 405 [132].
[67]Ibid 370 [24] (Gleeson CJ, Gummow, Hayne and Callinan JJ).
[68]Ibid 373 [36] (Gleeson CJ, Gummow, Hayne and Callinan JJ).
One consequence of the instinctive synthesis approach to sentencing is that appellate courts cannot proscribe outcomes by reference to particular identified considerations. To do so erroneously distorts the sentencing process.[69]
[69]Wong (2001) 207 CLR 584, 608 [65] and 612 [76] (Gaudron, Gummow and Hayne JJ).
Appellate courts cannot proscribe outcomes in this manner, but the legislature can.[70] McHugh J in Markarian explained that legislative provisions are amongst the matters which ‘confine the scope’ in which instinctive synthesis operates.[71]
[70]Markarian (2005) 228 CLR 357, 371 [27] and 373 [35]–[36] (Gleeson, Gummow, Hayne and Callinan JJ) and [84] (McHugh J).
[71]Ibid 390 [84].
Inconsistency, systematic fairness and role of the maximum
In the field of sentencing, inconsistency itself constitutes a form of injustice. Sentencing must be ‘systematically fair’. In Wong v The Queen (‘Wong’) Gleeson CJ said:
The administration of criminal justice works as a system; not merely as a multiplicity of unconnected single instances. It should be systematically fair, and that involves, amongst other things, reasonable consistency.[72]
[72](2001) 207 CLR 584, 591 [6] very recently cited and endorsed in Pham [2015] HCA 39 [24] (French CJ, Keane and Nettle JJ).
Systematic fairness and reasonable consistency require both that like cases should be treated alike and that different cases should be treated differently.[73] But systematic fairness is not synonymous with numerical equivalence and is incapable of mathematical expression.[74]
[73]Pham [2015] HCA 39 [28] (French CJ, Keane and Nettle JJ).
[74]Ibid.
The requirement for systematic fairness and consistency interacts with the role of the maximum penalty for an offence.
The maximum penalty operates as a legislative yardstick requiring a notional comparison between the worst possible case and the case before the court at the time.[75] In this context this Court observed in Hogarth v The Queen (‘Hogarth’) that while the maximum is reserved for the worst example of an offence likely to be encountered ‘it is to be expected that there would be a spread of cases across the statistical range’.[76] The Court quoted what Vincent J had said in Mallinder v The Queen:
[I]n circumstances where a maximum penalty is fixed by statute, and accordingly the relative seriousness with which proscribed behaviour may be viewed by the courts has been determined by the legislature, the sentence which is imposed in any given case must bear some relationship to the seriousness with which the class of offences is to be viewed generally, and to the relative seriousness of the actual conduct engaged in by the offender within the context of the kinds of behaviour encompassed by that class.[77]
[75]Markarian (2005) 228 CLR 357, 372 [30]–[31] (Gleeson, Gummow, Hayne and Callinan JJ).
[76](2012) 37 VR 658, 674 [60].
[77](1986) 23 A Crim R 179, 186.
Proportionality
One reason why a ‘two-tiered’ approach to sentencing has been rejected is because it is seen as irreconcilable with an important sentencing principle, proportionality.
The principle of proportionality requires the judge to make a judgment concerning the relationship of the penalty to the particular facts.[78] In Markarian McHugh J said:
[T]he ultimate control on the judicial sentencing discretion is the requirement that the sentence be proportionate to the gravity of the offence committed. In pursuit of other sentencing purposes, a judge may not impose a sentence that is greater than is warranted by the objective circumstances of the crime. Both proportionality and consistency commonly operate as final checks on a sentence proposed by a judge. They guard against hidden errors in the process, the kind later identified on appeal as manifest excess or leniency …[79]
[78]Markarian (2005) 228 CLR 357, 385 [69] (McHugh J).
[79]Ibid 389–90 [83].
But even the principle of proportionality can be altered or affected by statute. In Magaming v The Queen (‘Magaming’) the High Court considered the mandatory minimum sentences required to be imposed on certain ‘people smuggling’ offences by the Migration Act 1958 (Cth).[80] French CJ, Hayne, Crennan, Kiefel and Bell JJ referred to the principle of proportionality and then said:
If, as the appellant submitted, the sentence which the Act required the sentencing judge to impose on him was too ‘harsh’ when measured against some standard found outside the relevantly applicable statutory provisions, that conclusion does not entail invalidity of any of the impugned provisions.[81]
[80](2013) 252 CLR 381.
[81]Ibid 397–8 [52].
Keane J explained the matter more fully when he said:
My concern is with the appellant’s reliance on decisions of this Court which discuss proportionality in sentencing as authority to support that aspect of his argument. In this regard, the appellant cited Veen v The Queen [No 2], Wong v The Queen, Muldrock v The Queenand Markarian v The Queen.
The discussion of proportionality in sentencing in the decisions cited affords no support for the appellant’s argument. The discussion of proportionality in sentencing in those cases proceeds by reference to legislated yardsticks. Each yardstick fixed by the legislature provides a necessary datum point from which the discussion of proportionality in sentencing may proceed. As was said in Markarian v The Queen by Gleeson CJ, Gummow, Hayne and Callinan JJ: ‘Judges need sentencing yardsticks.’ The provision of those yardsticks is the province of the Parliament.
None of the decisions cited by the appellant offers any support for the notion that it is any part of the judicial function to ensure that the yardsticks legislated for various kinds of misconduct are ‘appropriately’ calibrated to some assumed range of moral culpability in offenders. The work of the legislature in laying down norms of conduct and attaching sanctions to breaches of those norms is anterior to the function of the judiciary. As was said in the Supreme Court of Canada in R v McDonnell: ‘[I]t is not for judges to create criminal offences, but rather for the legislature to enact such offences.’
The enactment of sentences by the legislature, whether as maxima or minima, involves the resolution of broad issues of policy by the exercise of legislative power. A sentence enacted by the legislature reflects policy-driven assessments of the desirability of the ends pursued by the legislation, and of the means by which those ends might be achieved. It is distinctly the province of the legislature to gauge the seriousness of what is seen as an undesirable activity affecting the peace, order and good government of the Commonwealth and the soundness of a view that condign punishment is called for to suppress that activity, and to determine whether a level of punishment should be enacted as a ceiling or a floor.
In laying down the norms of conduct which give effect to those assessments, the legislature may decide that an offence is so serious that consideration of the particular circumstances of the offence and the personal circumstances of the offender should not mitigate the minimum punishment thought to be appropriate to achieve the legislature’s objectives, whatever they may be.[82]
[82]Ibid 413–14 [102]–[106] (citations omitted).
New South Wales standard non-parole periods and Commonwealth mandatory minimum sentences
Legislative provisions which affect or alter sentencing principles have been considered by the High Court in decisions concerning legislated standard non-parole periods in New South Wales and mandatory minimum sentences proscribed for ‘people smuggling’ offences in the Migration Act. McHugh J referred to the New South Wales provisions in Markarian when he said:
In New South Wales there is also a statutory system of guideline judgments and standard minimum non-parole periods that give more specific guidance in common offences and operate as a starting point from which departure is intended to be the exception or at least require explanation. In recent times, both methods have been used to increase the prevailing median sentence for particular classes of offences. That does not mean that the judge must start with a specific number but knowledge of the median or the extent of the range guides the judicial ‘instinct’.[83]
[83](2005) 228 CLR 357, 389 [80].
The Crimes (Sentencing Procedure) Amendment (Standard Minimum Sentencing) Act 2002 (NSW) introduced into the Crimes (Sentencing Procedure) Act 1999 (NSW) ss 54A to 55D. Section 54A provided for certain standard non-parole periods in relation to designated offences. The section required that any applicable standard non-parole period:
[R]epresents the non-parole period for an offence in the Table to this Division that, taking into account only the objective factors affecting the relative seriousness of that offence, is in the middle of the range of seriousness.
Section 54B required the standard non-parole period to be taken into account and required that reasons be given for either a longer or a shorter period.
The High Court considered these provisions in Muldrock v The Queen (‘Muldrock’).[84] The Court (constituted by French CJ, Gummow, Hayne, Heydon, Crennan, Kiefel and Bell JJ) said:
Section 54B(2) and (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.
Nothing in the amendments introduced by the Amending Act requires or permits the court to engage in a two-stage approach to the sentencing of offenders for Div 1A offences, commencing with an assessment of whether the offence falls within the middle range of objective seriousness by comparison with an hypothesised offence answering that description and, in the event that it does, by inquiring if there are matters justifying a longer or shorter period.[85]
[84](2011) 244 CLR 120.
[85]Ibid 132 [27]-[28] (citations omitted).
The High Court observed that the provisions would have the effect of generally increasing the length of non-parole periods and then said:
This is the likely outcome of adding the court’s awareness of the standard non-parole period to the various considerations bearing on the determination of the appropriate sentence. It is not because the standard non-parole period is the starting point in sentencing for a mid-range offence after conviction.[86]
[86]Ibid [31].
In Magaming the High Court considered an argument that the minimum mandatory period of imprisonment required for ‘people smuggling’ offences was unconstitutional. Addressing the effect of the proscribed minimum terms, French CJ, Hayne, Crennan, Kiefel and Bell JJ said:
As the appellant rightly submitted, adjudging and punishing criminal guilt is an exclusively judicial function. In very many cases, sentencing an offender will require the exercise of a discretion about what form of punishment is to be imposed and how heavy a penalty should be imposed. But that discretion is not unbounded. Its exercise is always hedged about by both statutory requirements and applicable judge-made principles. Sentencing an offender must always be undertaken according to law.
·The Parliament’s intention is that the baseline sentence is to form, after an indeterminate period of time, the median sentence for the cohort of sentences to which the baseline sentencing provisions apply and will apply.
·In applying the legislation it is not appropriate to adopt the simplistic transposition of the historic median to the case at hand. But historic sentencing information may provide the empirical basis from which to commence an analysis of the future cohort of sentences, and it may constitute the best available information from which to form a view about what future patterns of sentencing will be. It was possible to undertake this exercise in the case before the sentencing judge. The data relied upon and its analysis was uncontroversial. This will not necessarily always be possible, and the statistical analysis will always require caution.
·The Court is not called upon to make a determination about whether the instant case falls at, above or below the historic median. The Court is not called upon to undertake any mathematical analysis.
·The Note does not assist.
·The provisions are consistent with the process of instinctive synthesis. The baseline sentence operates as a ‘guide’ to the exercise of the judicial discretion.
As the authorities reviewed demonstrate, legislative provisions may confine the scope within which instinctive synthesis is to operate and may require the imposition of a sentence which would otherwise be contrary to well-established sentencing principles. Indeed, legislative provisions may themselves alter the operation of long-standing sentencing principles, such as proportionality, by the introduction of an additional ‘yardstick’ or ‘datum point’ or ‘guidepost’. There is no need for legislated yardsticks, or guideposts, or datum points, to be ‘calibrated’ to any established or assumed range of moral culpability in offenders. The legislature can introduce provisions which move the length of sentences upwards by adding an additional consideration to the pre-existing considerations which bear on the determination of the appropriate sentence.
The decisions of the High Court, and of this Court, in relation to the standard non-parole period provisions in New South Wales and in relation to the Commonwealth mandatory minimum sentences reveal the way that legislation can operate in this way to act as a ‘guidepost’,[107] to ‘hedge about’ the sentencing discretion,[108] to add an additional ‘yardstick’,[109] and to ‘modify’ existing sentencing principles.[110]
[107]Muldrock (2011) 244 CLR 120, 132 [27].
[108]Magaming (2013) 252 CLR 381, 396 [47].
[109]Markarian (2005) 228 CLR 357, 372 [30]–[31].
[110]Al Haidari [2013] VSCA 149 [42].
It seems to me that in the baseline provisions the Parliament has added a new guidepost or yardstick which now confines the scope in which instinctive synthesis operates, which guides the sentencing discretion, and which modifies sentencing principles.
It is true that the concept of the ‘median’ in the context of sentencing is beset with uncertainty and difficulty. By its very nature the median is dependent on other cases. The legislation sets no period for the determination of the median. The effect of any particular sentence on the future median is incapable of accurate prediction. In my view these characteristics indicate that Parliament does not intend this new consideration to be applied in a rigid manner, much less, in any mathematical way. That does not mean that it is impossible for Parliament’s intention to be taken into account and to be given effect. Indeed, the material before the sentencing judge here and his analysis of it in this case has demonstrated how that can be done. Of course, in the case before him, he had data which he considered to be reliable, and that may not always be the case. The High Court has very recently pointed out that sometimes the available statistics are meaningless.[111]
[111]Pham [2015] HCA 39 [49].
It is true that the median is unrelated to the seriousness of the offence and that it does not represent any known point in the range of culpability. The median is related to the eventual outcome taking all considerations into account rather than simply the objective seriousness of a particular offence. In that particular respect, it is like the maximum, which also represents the eventual conclusion taking all considerations into account. Of course, the baseline provisions are very different to provisions specifying a maximum penalty. Parliament determines the maximum penalty. These provisions express an intention and provide for that to be taken into account.
I do not consider that the absence of a ‘mechanism’ is fatal to the practical operation of the provisions. There are many matters of judgment which must be addressed in sentencing for which there is no prescribed ‘mechanism’.
Thus far, my conclusions accord, it seems to me, with those of the sentencing judge. I turn then to the question of whether he made an error when he determined that the baseline provisions would not affect his sentence on charge 6 because he considered it to be a below median case.
Analysis — specific error
In my opinion the Director was correct in submitting that the sentencing judge was in error.
The sentencing judge was correct when he said that once it is decided to impose a sentence beneath the median, as a matter of mathematics, any sentence under that median will not affect the median. But to approach the legislation that way cannot be correct in my view, as a matter of law. That approach is inconsistent with the legislation. The legislation provides that the sentencing judge must have regard to the baseline sentence (s 5(2)(ab)), adopt sentencing practices which give effect to the statutory intention (s 5A(1)(b) and (2)), and sentence in a manner compatible with that intention (s 5A(3)(a)), in every case, not just in those at or above the median. I do not accept that ignoring those considerations because that is consistent with the mathematics is correct.
In my view the sentencing judge’s approach is also contrary to the principle that sentencing should be a system in which sentences coherently relate to each other. Sentencing must be consistent, or ‘systematically fair’.[112] The introduction of a new consideration into the process of instinctive synthesis does not warrant a departure from the requirement of consistency. It does not warrant sentencing as unconnected single instances, or the creation of separate sentencing regimes for the one offence. Just as the maximum penalty operates as a yardstick affecting all sentences, the baseline provisions must also affect all sentences. Legislative provisions might at times lead to distortions, as has been suggested could occur with mandatory minimum sentences,[113] but distortions of that kind should exist only where they are unavoidable. Of course, the legislation itself now creates two regimes, in the sense that a different regime will apply to offences after 2 November 2014. But I do not accept that the legislation is to be interpreted as creating two separate, inconsistent and systematically unfair regimes for different offences to which the new legislation applies.
[112]Wong (2001) 207 CLR 584, 591 [6].
[113]Al Haidari [2013] VSCA 149 [42] citing Atherden v Western Australia [2010] WASCA 33 [43].
For certain crimes data will be available revealing a spread of cases across a statistical range. In Hogarth this Court said that was to be ‘expected’.[114] That was the position in the case before the sentencing judge. That may not always be the case. In this case it seems to me that the sentencing judge considered that he did have material before him which enabled him to make a judgment about the level at which this sentence should be by reference to Parliament’s legislated intention. He did make that judgment in reaching a conclusion that this sentence should be below Parliament’s intended median. But he did not do so when determining the sentence, not because he concluded it could not be done but because he concluded the legislation did not require it to be done once he had decided that this was a case where a sentence below the median was the correct one.
[114](2012) 37 VR 658, 674 [60].
As to whether what he did amounted to ‘two-stage sentencing’, I would only observe that it was not two-tier sentencing as described by McHugh J in Markarian. The relevant point is that in my view he proceeded in a manner which was impermissible by in effect establishing two separate and inconsistent sentencing regimes for the one offence and by failing to apply the legislation.
If the sentencing judge’s conclusion that the new provisions did not affect the sentencing principles to be applied with respect to sentences for cases falling below the median is rejected, the sentence to be imposed on charge 6 must be significantly increased. The sentencing judge recognised that, at least implicitly. Counsel for the respondent accepted that it would be difficult for him to defend the sentence on charge 6 if the sentencing judge’s approach were rejected, and he did not attempt to do so. Accordingly, in my view the appeal should be allowed.
Re-sentence
It is necessary to re-sentence the respondent on charge 6 and to re-consider the orders for concurrency and cumulation and the non-parole period. No complaint is made as to the sentences imposed on charges 1 to 5. They will remain unchanged. But because concurrency and cumulation and the non-parole period must be addressed it is necessary to briefly review all of the offending conduct.
The offending conduct
The respondent and his wife have nine children. The family lived together in outer suburban Melbourne. The victim of the offending is the third of the nine children. She turned 14 in 2012. The offending against her began in that year when she was either 13 or 14. It continued until the victim made complaints, initially to a male friend, in November 2014. Thus, the offending continued for approximately two years.
The offending began with the respondent touching the victim while they watched television together under a blanket. The respondent touched the victim on her breast under and over her clothes on several occasions. Charge 1 concerned one of those occasions. It was a representative charge. From the outset the victim displayed resistance by her actions. Charge 1 was a charge of indecent act with a child under 16 involving the touching of the victim’s breasts. The charge was representative of three incidents of that kind of offending.
The respondent ceased his offending for a time but then resumed. Charge 2 was a charge of indecent act with a child under 16 and involved touching the victim’s vagina. The charge was again a representative charge, this time of four instances of offending. Again, touching of this kind began whilst the respondent and the victim were watching television under a blanket. Again, the victim attempted to dissuade the respondent by her actions but he persisted. Charge 2 itself was constituted by an incident when he touched the victim’s vagina whilst lying next to her on her bed. The victim shared a bedroom with three of her sisters.
The respondent’s conduct escalated further and he began penetrating the victim’s vagina with his fingers. The first such occasion of penetration was charge 3. In his record of interview he said that he knew the victim did not want him to be doing what he was doing and did not like it but that she did not know how to stop him. After his offending he would ask her forgiveness and she would say that she did forgive him. At various times he made promises to her that he would stop.
Charge 3 was a charge of incest involving digital penetration.
The respondent’s offending escalated further. The prosecution summary of facts on plea describes the circumstances of charges 4, 5 and 6 as follows:
One time one of the other girls woke, crying. The accused jumped out of the complainant’s bed and put his robe on, so that he was dressed when his wife came to see what was going on. This was on 1 November 2014, after he had told her he would make it his life’s mission to stop. He had put a condom on before going into her bed. He got the complainant to lie on the floor and spread her legs, and then lay on top of her. He penetrated her vagina with his finger, as he usually did. [Charge 4] He managed to penetrate her vagina with his penis. The complainant said to him ‘you said you would make it your life’s mission’, but he did not stop. [Charge 5] On 3 November 2014 the complainant sent a message to her boyfriend telling him that her father had penetrated her vagina with his penis, wearing a condom.
In the morning of 15 November 2014 the accused went into the complainant’s bedroom to wake her up. He sat on her bed then got into her bed and touched her breasts and vagina, with his hands, penetrating her vagina. The complainant said to him, ‘Daddy, you promised’ but he persisted anyway, he told her he was sorry and could not stop. [Charge 6].[115]
[115]Citations omitted.
The victim reported at least some aspects of what had been occurring to a male friend of hers. As a consequence of that report the victim’s mother was alerted to what was happening. On the same day the respondent attended the local police station. He made full admissions. He told police of the circumstances constituting charges 3 and 4, which were matters that would not have come to light at all but for his admissions. In his record of interview the respondent, amongst other things, said the following (as set out in the prosecution summary):
He said that he did not tell the complainant not to tell anyone, and that he told her he would not deny it if she did. He also told her, however, that if she did tell anyone it would affect not only her and him, but the whole family, but it was a matter for her.
Sometimes the complainant would move her body to try to stop him touching her. When she did this he would become angry and say cruel things to her, which would cause her to cry. Sometimes when she resisted he would stop.[116]
[116]Citations omitted.
Sentencing remarks
The sentencing judge summarised the circumstances of the offending in greater detail than I have done. He referred to victim impact statements which had been filed by the respondent’s wife and one of the other children. As he observed, the respondent’s wife has suffered significantly as a result of the offending. The family has been fractured and the responsibilities on her have grown considerably. I adopt what was said in the sentencing remarks about the victim impact statements.
The sentencing judge observed that whilst there had been no violence or threats made these were very serious offences. He referred to the respondent’s conduct in making full admissions. He observed that both general and specific deterrence were significant.
The sentencing judge set out the respondent’s personal circumstances and referred to supportive references which had been tendered on the plea. Again, I adopt what the sentencing judge said about those matters.
The sentencing judge referred to the fact that the respondent suffers from Type 2 diabetes. In relation to the respondent’s mental health the sentencing judge said:
The state of your mental health can be summarised as a diagnosed anxiety disorder, major depressive disorder and dependent personality disorder. You do not have a major mental illness of a schizophrenic nature. Your pathology is described as acute and in need of assessment by a psychiatrist.
Those conclusions were made by the forensic psychologist Dr Dion Gee who reported on your condition in June 2015 and gave evidence during the plea. He said you had reasonable insight into your offending and wanted to better understand why you did what you did.
Dr Gee also suggested that your inevitable incarceration would affect you more heavily than a person in normal mental health and he explained that there are logistical difficulties with the provision of the kind of psychological support and treatment service that you need apart from dealing with your offending behaviour. At present such services would not be available to you. As a result of the recent disturbances in the prison system, it appears that the system is in ‘chaos’ and that situation is likely to remain for between three and six months. Dr Gee expects that you will withdraw and you will also be on a protection unit.
Your counsel relied on [these] matters as mitigating the sentence because of the likely severity of the sentence on you as opposed to the impact on a person without, what Mr Marsh [counsel for the respondent] described as, your complex and compromised psychological functioning. The prosecutor accepted that the legal principles that Mr Marsh relied on[117] are enlivened but that unlike other cases, your condition is not at the acute end of the scale. That contention was not in dispute
I accept Mr Marsh’s submission and take those matters which were described in detail in Dr Gee’s report and the evidence he gave into account. I also take into account the more difficult circumstance that you will face in serving your sentence as a protection prisoner.[118]
[117]R v Verdins (2007) 16 VR 269.
[118]Sentencing Reasons [43]–[47].
I adopt what the sentencing judge said about all of these matters.
The sentencing judge referred to the fact that the respondent had pleaded guilty at the earliest practical opportunity and that his remorse was illustrated not just by the guilty plea but by the full admissions he had voluntarily made and a willingness he had expressed to undertake treatment.
The sentencing judge referred to the fact that the respondent has no prior convictions. He concluded that the respondent’s prospects for rehabilitation were good.
The sentencing judge referred to the fact that upon the imposition of sentences of imprisonment for charges 1 and 2 the respondent would be sentenced on charges 3 to 6 as a serious sexual offender. He observed that the prosecutor did not submit that a disproportionate sentence should be imposed. He observed that the Act required that the terms of imprisonment on charges 3 to 6 be cumulative unless otherwise directed, which he indicated that he would do. The sentencing judge directed that the fact that the respondent was to be sentenced as a serious sexual offender be entered in the records of the Court.
The sentencing judge then referred to the conclusion he had reached in relation to the operation of the baseline provisions on charge 6, to which I have previously referred. He referred to the principle of totality and then sentenced the respondent as follows:
Charges
Offence
Maximum
Sentence
Cumulation
1 Indecent act with a child under 16
[s 47(1) of the Crimes Act1958]
10y 2y 4m 2 Indecent act with a child under 16 [s 47(1) of the Crimes Act1958] 10y 2y 4m 3 Incest [s 44(1) of the Crimes Act1958] 25y 4y 4m 4 Incest [s 44(1) of the Crimes Act 1958] 25y 4y 4m 5 Incest [s 44(1) of the Crimes Act 1958] 25y 5y Base 6 Incest [s 44(1) of the Crimes Act 1958] 25y 4y 6m 4m Total Effective Sentence 6y 8m Non-Parole Period 4y Pre-Sentence Detention Declaration 18 days Section 6AAA Statement: 8 years’ imprisonment with a non-parole period of 4 years and 10 months. Other relevant orders:
· Retention of forensic sample.
· Sentenced as a Serious Sexual Offender on charges 3 to 6.
· Reporting for life under the Sex Offenders Registration Act 2004.
Charge 6
As indicated, before the sentencing judge the Crown had produced material which sought to analyse and categorise historic sentences by reference to the historic median. In relation to that material the sentencing judge said:
The Crown have undertaken a broader approach in analysing cases receiving sentences at, above and below the historic median and have drawn from that analysis the following broad characterisations:
Above median sentences reflect
·No plea of guilty[[119]] cases without substantial mitigation
[119]This means there was no mitigating consideration by virtue of a guilty plea. In other words the offender had pleaded not guilty.
·Plea of guilty cases involving representative charges with significant aggravation
·Plea of guilty cases with very substantial aggravation
Median sentences reflect
·No plea of guilty cases with substantial mitigation (eg age mitigation for offender aged over 70 at sentence)
·Plea of guilty cases involving representative charges with no significant aggravation
·Plea of guilty cases involving single charges with moderate to significant aggravation
Below-median sentences reflect
·Plea of guilty cases with non-representative charges with no significant aggravation
·No plea of guilty cases with exceptional mitigation
·Plea of guilty cases with exception[al] mitigation.
Examining the broader pattern of historical cases, whilst doubtless an onerous task and one that may not always be possible, is a process from which a much better and more informative picture emerges for the sentencing court.
Whilst not accepting the approach the Director advocates for, Mr Marsh agreed with the above characterisation for the purposes of this case. The concurrence of views on this point makes the task of sentencing in this case substantially more straight forward [than] it would otherwise be. The predictions during public debate about how complex the sentencing process might become when these matters are not the subject of agreement seem to be well based. That is of particular concern for the time and resources of busy trial courts.[120]
[120]Sentencing Reasons [111]–[113] (citations omitted).
Turning specifically to charge 6, he said:
Mr Marsh submitted that the offending on charge 6 can properly be characterised as a plea of guilty to a non-representative charge with no significant aggravating features. Therefore, in accordance with the Crown analysis of historical cases, a sentence below the median is warranted.
The Director submitted that the offending as a whole falls at mid-range (whatever that means, respectfully,) but did not make any submission as to whether charge 6 should fall at above or below the median by reference to their analysis.
The following facts are uncontested and apparent from my sentencing remarks:
·The offender made full and frank admission within hours of the first contact with police and pleaded guilty at the earliest possible opportunity;
·There is significant evidence of remorse;
·The offender is of prior good character with no antecedents;
·The offender has good prospects of rehabilitation; and
·Imprisonment will weigh more heavily on the offender as a result of his mental illness when compared to an offender of normal health and is likely to have an adverse effect on his mental health.
Charge 6 is not a representative charge, nor does it involve the features of aggravation present in other cases such as the risk of pregnancy or physical assault. The offender did not use threats to prevent the disclosure of the offences by the victim or seek to blame the victim in any way for his offending. He did, in speaking to the victim, suggest that if she were to disclose the offending it would have consequences for the family and at various points sought to place upon the victim the responsibility to stop him by suggesting she remind him of his promise not to do it again. The offending continued over a period of 2 years and he did not find it within himself to stop and is therefore not in the same position as to mitigation as, for example, the offender in CD v The Queen.
The offence has had a significant impact on the victim, her mother, and the family. Whilst I accept the Defendant’s submission that there is no evidence to support the proposition that the offender ignored the victim’s attempts to stop him on individual occasions, by his own admission he continued to offend on subsequent occasions.
Taking all these matters into account, I am satisfied that the sentence on charge 6 should fall below the median sentence to be imposed for this offence under the baseline sentencing provisions. In reaching that conclusion I have been informed by the characterisation of historical cases outlined in the Prosecution submissions and accepted by Defence counsel. I consider they provide reasonable guidance to future cases. Whilst it would be open to argument that other factors may change the characteristics of the future cohort of cases, there is nothing at present to suggest any factor would lead to a conclusion other than the one I have arrived at in this case.[121]
[121]Sentencing Reasons [153]–[158] (citations omitted).
I adopt, with respect, everything said by the sentencing judge in the two long passages I have just quoted.
My conclusion is, like the sentencing judge and for the reasons he gave, that a sentence below the baseline sentence is the appropriate sentence here.
In deciding what sentence to impose on charge 6 I must have regard to the baseline sentence of 10 years. I must engage in a sentencing practice which gives effect to Parliament’s intention that 10 years’ imprisonment is to be the median sentence. I must sentence in a manner compatible with that intention.
As the sentencing judge explained, this necessarily involves assumption, prediction and speculation as to future patterns of offending and sentencing. The process is not one whereby the historic median can be simply transposed. But the historical data does provide an empirical basis for the judgment which must be made as to where this sentence should fit in the projected set of undetermined future sentences. At this early stage, it is necessary to be conservative in making this judgment.
The sentencing judge observed that he could do no more than seek to adopt an approach which most closely meets the requirements of the law on the basis of information available. I agree.
Considering all of the relevant matters, in my view the appropriate sentence on charge 6 is seven years’ imprisonment. That seems to me to be compatible with Parliament’s expressed intention, in that it reflects the sentencing judge’s conclusion, with which I agree, that the sentence should fall below the baseline sentence. The reasons why it should fall below the baseline sentence are the reasons given by the sentencing judge in the passages I have quoted. It is significantly above the historic median. In my judgment this is necessary to give effect to Parliament’s intention given that the historic median is five years’ imprisonment and the baseline sentence is 10 years. As indicated, at this early stage in the operation of the provisions it is necessary to be conservative.
Concurrency and cumulation
Turning then to the issues of concurrency and cumulation, the established principles of totality continue to apply. Save for charge 5, which was the base sentence, and for charge 6 itself, I adopt the conclusions as to cumulation and concurrency of the sentencing judge.
The sentence of seven years’ imprisonment on charge 6 should now be the base sentence.
Charge 5, which was the base sentence, was a very serious offence. It was constituted by penile penetration of the offender’s own teenage daughter. Having regard to totality, and in particular to the sentence I would impose on charge 6, I would direct under s 6E of the Act that one year of that sentence be cumulative on the sentence imposed on charge 6 and that otherwise that sentence be served concurrently.
On charges 1 and 2 I would direct cumulation of four months, and on charges 3 and 4 I would direct under s 6E of the Act that four months of each sentence be cumulative and that otherwise those sentences be served concurrently.
The total effective sentence I would impose would accordingly be nine years four months’ imprisonment. I would fix a non-parole period of six years, which is in excess of the 60% minimum required by s 11A(4)(c) of the Act.
I would confirm all the ancillary orders.
To the extent it is necessary to do so, and mindful of the inherent problems in a case of this kind where full disclosure and remorse are so significant, I would declare under s 6AAA of the Act that but for the plea of guilty I would have imposed a total effective sentence of 13 years with a non-parole period of 10 years.
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