[2016] UKSC 62
On appeal from: [2014] EWCA Crim 1197
JUDGMENT
R v Docherty (Appellant)
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before
Lord Neuberger, President Lord Mance Lord Reed Lord Carnwath Lord Hughes
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JUDGMENT GIVEN ON |
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14 December 2016 |
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Heard on 3 and 4 May 2016 |
Appellant |
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Respondent |
Kirsty Brimelow QC |
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John McGuinness QC |
Philip Rule |
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Simon Heptonstall |
(Instructed by EBR Attridge, Solicitors) |
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(Instructed by Crown Prosecution Service Appeals and Review Unit) |
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Intervener (Secretary of State for Justice |
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David Perry QC |
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Melanie Cumberland |
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(Instructed by The Government Legal Department) |
LORD HUGHES: (with whom Lord Neuberger, Lord Mance, Lord Reed and Lord Carnwath agree)
Summary
(a) because the new scheme was less severe than the earlier one, and therefore to apply the earlier was unlawful as contrary to an international principle of "lex mitior", which is binding on the English court via article 7 of the European Convention on Human Rights ("ECHR"), as explained by the Strasbourg court in Scoppola v Italy (No 2) (2010) 51 EHRR 12 (" Scoppola"); or
(b) because the purpose of LASPO was to remove IPP from the armoury of sentencing, and therefore transitional provisions which preserved it to any extent were outside the authority given by that statute; or
(c) because to impose an IPP on him, but not on a person convicted after the LASPO commencement date, amounted to unlawful discrimination against him, contrary to article 14 of the ECHR, read with article 5.
The facts
The change in the law
9. IPP was a new form of sentence. The judge was required to specify a minimum period before which there could be no eligibility for parole. In effect he had to identify what the hypothetical determinate sentence for the offence would have been if "commensurate", that is calculated purely by reference to the gravity of the offence and the responsibility of the offender, without consideration of future risk. Then the judge had to specify half that term as the period before parole was possible (half, because the hypothetical prisoner sentenced to a determinate sentence would, under the CJA 2003, serve half his term in prison and the second half on licence). After the specified minimum period had been served, the IPP prisoner was eligible for release providing that the Parole Board was satisfied that it was no longer necessary for the protection of the public that he be detained. These release provisions were for most practical purposes the same as (although not quite identical to) those which applied and still apply to life sentences: see R v Lang [2005] EWCA Crim 2864; [2006] 2 Cr App R (S) 3, at para 8. But IPP was available, if the offender met the statutory test of serious danger to the public, for those specified offences which did not otherwise carry life imprisonment as well as for those which did.
11. As is now well documented, there ensued considerable difficulty in the administration of IPP sentences. As originally framed, the CJA 2003 created a presumption of dangerousness and made the sentence mandatory. This led to a large number of IPP sentences being passed, including many for offences which did not otherwise carry life imprisonment. Some IPP sentences, passed according to the statutory rules, had quite short specified minimum periods. All those thus sentenced had to be treated in prison in the same way as those sentenced to life imprisonment, because the test for release was the same. There were far too many IPP prisoners for the rehabilitative systems of the prisons to cope with. This resulted in decisions both domestically and in the Strasbourg court that the duty to provide reasonable facility to the prisoner to reform himself and to demonstrate that he was no longer a public danger was too often not discharged: see James, Lee and Wells v United Kingdom (2013) 56 EHRR 12, R (James, Lee and Wells) v Secretary of State for Justice [2009] UKHL 22; [2010] 1 AC 553, and R (Kaiyam) v Secretary of State for Justice [2014] UKSC 66; [2015] AC 1344. The prison administration of life prisoners was distorted. From 2008, modifications were made by the Criminal Justice and Immigration Act of that year to the conditions for imposing an IPP sentence, which reduced the numbers. But in due course the decision was made to abolish altogether that form of sentence for the future, and this was accomplished by Parliament in LASPO. By section 123 of LASPO the sections of the CJA 2003 providing for both IPP and the 2003 model of extended sentence (and for their equivalents for those under 18) were repealed.
(i) A life sentence, where that is the statutory maximum for the offence committed, if the court is of the opinion that there is a significant risk to members of the public of serious harm occasioned by the commission by the defendant of further offences specified in Schedule 15 and the gravity of the offence(s) is such as to call for such a sentence - section 225(2); this part of the scheme is unaltered from the 2003 regime. (There might be cases where a discretionary life sentence is justified for an offence outside Schedule 15 if its gravity and the danger presented by the defendant are sufficient - see the discussion in R v Saunders [2013] EWCA Crim 1027; [2014] Cr App R (S) 258, para 11 - it is not necessary to discuss this possibility in the present case).
(ii) A new obligatory life sentence, unless its imposition would be unjust in the circumstances, if the defendant is now convicted for a second time of one of a defined group of violent or sexual offences (Schedule 15B), where both the previous and current offences have been met by, or would call for, determinate terms of ten years or more, or their equivalent - section 224A. This is entirely new. If the conditions are met, it may, even if not frequently owing to the levels of determinate term required, lead to the passing of a life sentence for offences which otherwise have a statutory maximum well below life imprisonment - examples include several forms of sexual offence, contrary to sections 9-12 and 48-50 of the Sexual Offences Act 2003, and offences of child pornography contrary to section 1 of the Protection of Children Act 1978, all of which are listed in Schedule 15B.
(iii) A new form of extended sentence under section 226A. Although the expression is not used in the statute, the Ministry of Justice appears to have adopted the label "Extended Determinate Sentence" ("EDS") for this latest model of extended sentence, and this is certainly a convenient means of distinguishing it from its predecessors. For similar reasons the CJA 2003 model of extended sentence, as amended in 2008 and now abolished by LASPO, has had bestowed on it the label "EPP" (extended sentence for public protection). The new EDS is discretionary and, like the former EPP, consists of a commensurate determinate term plus an additional period of licence beyond the usual licence for the remainder of the custodial term which follows early release. The superficial similarity of the two conceals, however, significant differences between them.
13. EPP (as amended from 2008 onwards) and EDS share the following features.
(a) The basic condition for the imposition of both is that the defendant is being dealt with for a "specified" offence, which means one contained in Schedule 15 to the CJA 2003 (section 224), and that he presents a significant risk to the public of serious harm through the commission of further such offences;
(b) Both are constructed of custodial term and extension of licence period;
(c) In both cases the total of those two periods must fall within the statutory maximum for the offence;
(d) For both, the custodial term is measured by what would be the commensurate determinate term if an extended sentence were not being passed;
(e) It is a condition for the imposition of both that the custodial term is four years or more or that there is a qualifying previous conviction (though not identical in each case: see para 14(ii) below);
(f) For both, the extension periods have a maximum of five years for violent offences and eight years for sexual offences; and
(g) For both, the criterion by which the length of the extension period is to be fixed is the period (within the maximum) required for the purpose of protecting the public from serious harm occasioned by the commission of further specified offences.
14. But there are significant differences between the two.
(i) EPP could be imposed only for an offence committed after the commencement of the CJA 2003 (4 April 2005), but EDS is expressly made available by section 226A(1) for an offence whenever committed. EDS but not EPP is thus available when sentencing so-called historic cases, especially those of sexual abuse, which are often uncovered many years after the event.
(ii) EPP was available only (unless the custodial term would be at least four years) where the defendant has previously been convicted of an offence listed in Schedule 15A to the CJA 2003, but EDS is available when he has previously been convicted of one listed in Schedule 15B. Those two lists are not the same, and neither is the same as Schedule 15. The EDS list in Schedule 15B is appreciably wider and covers many offences for which EPP was not available. These include many sexual offences (sections 7, 9, 10, 11, 14, 15, 25, 26, 48 and 49 Sexual Offences Act 2003), a number of terrorist offences, of which there are none in the EPP list in Schedule 15A, the very common offence of possessing (etc) indecent photographs of children contrary to section 1 Protection of Children Act 1978 and an entirely new category of offence consisting of abolished offences which amounted to the same as listed ones (no doubt inserted because of point (i) above); moreover two of the sexual offences which are listed in both Schedules (sections 4 and 47 Sexual Offences Act 2003) are, for the purposes of EPP, confined to cases where the defendant would be eligible for life imprisonment, but that restriction is removed from the EDS list in Schedule 15B. In short, EPP and EDS are not available for the same offences.
(iii) An EDS extension period must be for at least one year (for offences committed after the commencement of amendments brought about by the Offender Rehabilitation Act 2014 on 1 February 2015), but there was no minimum length for an EPP extension period.
(iv) Within the sentence imposed, there are very significant differences in the rules for early release. For EPP (as amended in 2008) release was automatic at half the custodial term. By new section 246A, the rules for EDS are that there can be no early release before two-thirds of the custodial term has been served, and if either the offence was a Schedule 15B offence or the custodial term was ten years or more, (and, after 13 April 2015, in all cases: section 4 of the Criminal Justice and Courts Act 2015) there can be early release only on the recommendation of the Parole Board. Thus an EDS prisoner must serve two-thirds in prison and may have to serve the whole of the custodial term imposed by the court.
16. One example of this proposition is afforded by the guideline decision of the Court of Appeal (Criminal Division) in Attorney General's Reference No 27 of 2013 (Burinskas) [2014] EWCA Crim 334; [2014] 1 WLR 4209. This makes it clear that courts may well have to consider life sentences in future (where the offence carries such a sentence) in cases where previously the necessity to do so did not in practice arise because an IPP sentence was virtually indistinguishable from it: see in particular paras 15 to 18 and the example provided by the different statutory context of R v DP [2013] EWCA Crim 1143, discussed in Burinskas at 21. In both Burinskas and the earlier case of Saunders successive Lords Chief Justice were at pains to emphasise that EDS cannot be regarded simply as a replacement for IPP.
LASPO: commencement and transitional provisions
17. The general rule of English law, not confined to the criminal law, is that a statute is prospective rather than retrospective in effect unless it distinctly says otherwise: see for example the discussion in a very different context in Wilson v First County Trust Ltd (No 2) [2003] UKHL 40; [2004] 1 AC 816 at 19, 98, 152 and 186. The presumption against retrospective operation applies equally to repeals. Section 16 of the Interpretation Act 1978, re-enacting a provision which was formerly contained in section 38 of the Interpretation Act 1889, provides:
"(1) where an Act repeals an enactment, the repeal does not, unless the contrary intention appears, -
...
(b) affect the previous operation of the enactment repealed or anything duly done or suffered under that enactment;
(c) affect any right, privilege, obligation or liability acquired, accrued or incurred under that enactment;
(d) affect any penalty, forfeiture or punishment incurred in respect of any offence committed against that enactment;
(e) affect any investigation, legal proceeding or remedy in respect of any such right, privilege, obligation, liability, penalty, forfeiture or punishment;
and any such investigation, legal proceeding or remedy may be instituted, continued or enforced, and any such penalty, forfeiture or punishment may be imposed, as if the repealing Act had not been passed."
"226A Extended sentence for certain violent or sexual offences: persons 18 or over
(1) This section applies where -
(a) a person aged 18 or over is convicted of a specified offence (whether the offence was committed before or after this section comes into force) ..." [emphasis supplied]
The new section 226A may be contrasted with the new section 224A (which creates the new obligatory life sentence). The latter says:
"224A Life sentence for second listed offence
(1) This section applies where -
(a) a person aged 18 or over is convicted of an offence listed in Part 1 of Schedule 15B,
(b) the offence was committed after this section comes into force, and ..." [emphasis supplied]
The obvious reason for the difference is to be found in article 7 ECHR (see below) or an analogous principle well established in English legislative practice. Section 224A (new obligatory life) creates for some offenders (those whose offence does not otherwise carry a maximum of life imprisonment) a sentence which may be heavier than was available under the old CJA 2003 regime, since life is, technically at least, heavier than IPP. By contrast, section 226A (EDS) does not, for although the mechanics of EDS operate more severely on offenders than those of EPP did, still EDS is not more severe than was available under the old regime; in particular it is not more severe than IPP or (where the offence carries it) life. Moreover, the release conditions applied to a sentence are not part of the "penalty" for the purposes of article 7: R (Uttley) v Secretary of State for the Home Department [2004] 1 WLR 2278 and Uttley v UK in Strasbourg, Application No 36946/03, [2005] ECHR 955, and see para 47 below. This is thus an example of invariable English practice conforming to article 7 ECHR.
"Saving provision in relation to persons convicted before 3 December 2012.
6. The coming into force of the following provisions of the Act is of no effect in relation to a person convicted before 3 December 2012 -
(a) section 123 (abolition of certain sentences for dangerous offenders);
... [equivalent provisions for offenders under 18 and for those subject to armed service law]"
"The Government took the view from an early stage that IPPs must be replaced, and we have brought forward proposals in the Bill to do so. Once those provisions are commenced, no further IPPs can be imposed, even for previous offending. That is a major step forward. We are now concerned with those who have or will receive an IPP sentence prior to abolition ..." (Committee stage: House of Lords Debates 9 February 2012 at col 443, emphasis added)
This passage is, however, of no legitimate help in construing section 226A(1). The minister was not considering the clause which became that section, nor any question of commencement date. He was responding to pleas by various members of the House to incorporate extra provisions converting past IPP sentences into some other form. Understandably, in rejecting retrospective conversion, he drew attention to the prospective nature of the abolition of IPP. His words do not come near to meeting the conditions in which a ministerial statement can be invoked as an aid to statutory construction under Pepper v Hart [1993] AC 593.
(i) if offence, conviction and sentence are all before 3 December 2012 the old regime applies; Life, IPP and EPP are available;
(ii) if offence and conviction were before 3 December 2012, but sentence comes after that date, there are available: life, IPP and EPP but not section 224A obligatory life nor EDS; this is the appellant's category;
(iii) if the offence was before 3 December 2012, but both conviction and sentence come after that date, neither IPP nor EPP, nor section 224A obligatory life are available; but life and EDS are;
(iv) if offence (and therefore conviction and sentence) all come after 3 December 2012, the old regime of IPP and EPP is not available, and all three elements of the new are, thus life, section 224A obligatory life, and EDS.
In addition of course, for all categories, a determinate sentence and non-custodial sentences are or were available.
27. In summary, the timetable so far as is relevant to the present issues, was:
LASPO Royal Assent: 1 May 2012 (but commencement to be prescribed by Order)
Offences: 12 July 2012
Conviction (guilty plea entered): 13 November 2012
Commencement Order made: 17 November 2012
Commencement date: 3 December 2012
Sentence passed: 20 December 2012.
28. The appellant's argument in the present case essentially accepts that article 6(a) and section 226A(1)(a) were designed to go together. His case is, however, that it was unlawful for the Commencement Order to preserve IPP and EPP for those convicted before 3 December 2012. Article 6(a), he says, should be struck down. His first and principal basis for that argument is article 7 ECHR as interpreted by the Strasbourg court in Scoppola v Italy (No 2) (2010) 51 EHRR 12, to which it is now necessary to turn.
Article 7: "lex gravior" and "lex mitior"
29. Article 7(1) ECHR provides:
"No punishment without law
(1) No one shall be held guilty of any criminal offence on account of any act or omission which did not constitute a criminal offence under national or international law at the time when it was committed. Nor shall a heavier penalty be imposed than the one that was applicable at the time the criminal offence was committed."
The language follows closely that of article 11(2) of the Universal Declaration of Human Rights, adopted by the General Assembly of the United Nations in 1948. As pointed out by the minority judgment at O-111 in Scoppola (see below), it reflects a "fundamental" principle of criminal law:
"Nullum crimen nulla poena sine praevia lege poenali: no one is to be convicted or punished without a pre-existing criminal law in force."
The second sentence of article 7(1) gives effect to the so-called "lex gravior" principle (no heavier penalty).
"If, subsequent to the commission of the offence, provision is made by law for the imposition of a lighter penalty, the offender shall benefit thereby."
"... expresses a choice that reflects the development of a social process in the context of criminal law. It circumscribes the scope of criminal law by preserving benefits accruing to defendants as a result of substantive laws subsequent to the commission of the offence and applicable while the case was pending."
The difference between the two principles is underlined by the fact that whereas lex gravior prohibits applying to a case a rule which was not the law when the acts under judgment were committed, lex mitior, when it operates, actually requires such a rule to be applied.
33. Notwithstanding these international developments, in 1978, in X v Germany Application No 7900/77, the European Commission of Human Rights declared inadmissible a claim that article 7 guaranteed the right to a more lenient penalty provided for in a law subsequent to the offence. It rejected an argument that article 7 should be treated as containing the principle derived from the equivalent article of the ICCPR. The Court reached the same conclusion on the same arguments in Petit v UK Application No 35574/97, [2000] ECHR 714, 5 December 2000 and Zaprianov v Bulgaria Application No 41171/98, [2003] ECHR 730, 6 March 2003. As recorded in the dissenting judgment in Scoppola at O-117, the court held categorically in Zaprianov that "Article 7 does not guarantee the right to have a subsequent and favourable change in the law applicable to an earlier offence."
34. In 2005 the subject was considered by the Court of Justice of the European Communities in the case of Berlusconi, (Joined Cases C-387/02, C-391/02 and C-403/02) [2005] ECR I-3565, in the context of Italian laws on the publication of annual company accounts. Charges had been laid alleging the deliberate falsification of accounts. The offences were alleged to have taken place at a time in the 1980s or 1990s when the prescribed punishment on conviction was one to five years. By an Italian presidential decree of 2002 the penalty was very greatly reduced; the minimum disappeared and a maximum of 18 months was imposed. There were also alterations to the definitions of the offences, and to the limitation periods, which were very favourable to the defendants, to the extent that it might not be possible to prosecute at all. The Tribunale in Milan had felt able to describe the new penalties as "derisory". The issue referred to the CJEU was whether the new, much more lenient, rules failed to meet the requirements of the relevant European Directives on the subject, under which penalties had to be "appropriate" in the sense of providing effective sanction and dissuasion. The Italian Criminal Code contained an express lex mitior provision: if the law in force when an offence was committed differed from later law, the applicable law was that which was more favourable to the accused. Lex mitior was raised by the defendants as a barrier to any decision that the new regime failed to comply with European law. The short answer of Advocate General Kokott (paras AG162 and 165) was that it was no such barrier; the principle is based upon fairness and it cannot prevail against the obligation of the state under the Directives to provide effective penalties. The court, however, declined (at para 71) to answer that question because it held (paras 72-73) that a Directive cannot be relied upon directly against an individual to increase the penalty to which he is liable.
"... since the X v Federal Republic of Germany decision a consensus has gradually emerged in Europe and internationally around the view that application of a criminal law providing for a more lenient penalty, even one enacted after the commission of the offence, has become a fundamental principle of criminal law. It is also significant that the legislation of the respondent state had recognised that principle since 1930."
At paras 103 and 105, the Court cited as evidence of such a consensus the ICCPR, the American Convention on Human Rights, the Charter of Fundamental Rights of the European Union, the statute of the International Criminal Court, the practice of the Court for former Yugoslavia and the French Cour de Cassation, and it referred to the decision of the CJEU in Berlusconi.
"108. In the court's opinion, it is consistent with the principle of the rule of law, of which article 7 forms an essential part, to expect a trial court to apply to each punishable act the penalty which the legislator considers appropriate. Inflicting a heavier penalty for the sole reason that it was prescribed at the time of the commission of the offence would mean applying to the defendant's detriment the rules governing the succession of criminal laws in time. In addition, it would amount to disregarding any legislative change favourable to the accused which might have come in before the conviction and continuing to impose penalties which the state - and the community it represents - now consider excessive ..."
"... The court notes that the obligation to apply , from among several criminal laws, the one whose provisions are the most favourable to the accused is a clarification of the rules on the succession of criminal laws, which is in accord with another essential element of article 7, namely the foreseeability of penalties." [emphasis supplied]
In para 109 it said:
"109. In the light of the foregoing considerations, the court takes the view that it is necessary to depart from the case-law established by the Commission in the case of X v Federal Republic of Germany and affirm that article 7(1) of the Convention guarantees not only the principle of non-retrospectiveness of more stringent criminal laws but also, and implicitly, the principle of retrospectiveness of the more lenient criminal law. That principle is embodied in the rule that where there are differences between the criminal law in force at the time of the commission of the offence and subsequent criminal laws enacted before a final judgment is rendered, the courts must apply the law whose provisions are most favourable to the defendant." [emphasis supplied]
And in para 119 it said of Scoppola himself:
"It follows that the applicant was given a heavier sentence than the one prescribed by the law which, of all the laws in force during the period between the commission of the offence and delivery of the final judgment, was most favourable to him." [emphasis supplied]
Lex mitior: English practice
(a) if the maximum sentence has been increased by statute since the offence was committed, the English court cannot sentence beyond the maximum which applied at the time of the offence, because that is the sentence to which the defendant was at that time exposed (lex gravior);
(b) if the maximum sentence has been reduced by statute since the offence was committed, the English court will sentence within the now current maximum; in R v Shaw [1996] 2 Cr App R (S) 278 the statute reducing the maximum sentence (for theft) was held as a matter of construction to apply to past as well as to future offences, but in R v H (J) (Practice Note) [2011] EWCA Crim 2753; [2012] 1 WLR 1416, a guideline case dealing principally with the sentencing of cases of historic sexual abuse, Lord Judge CJ stated the general approach at para 47(b):
"Similarly, if maximum sentences have been reduced, as in some instances, for example theft, they have, the more severe attitude to the offence in earlier years, even if it could be established, should not apply."
(c) if sentencing practice as to the assessment of the gravity of an offence has moved downwards since the offence was committed, the court should sentence according to the now current view, and if it did not do so the sentence would be vulnerable to reduction by the Court of Appeal on the grounds that it was manifestly excessive;
(d) if a new sentencing option which is arguably less severe is added by statute or otherwise to the menu of available sentences after the commission of the offence but before the defendant falls to be sentenced, that new option will be available to the court in his case, unless the statute expressly otherwise directs; in the Canadian case of The Queen v Johnson 2003 SC 46 the menu of sentencing options for those presenting a future risk had had added to it a new, and for some offenders a possibly less severe, option of post custody supervision in the community; this was applied to the defendant although his offence had been committed before the change in the law; if such circumstances were to occur in England the result would be the same.
(e) appeals against sentence to the Court of Appeal are not conducted as exercises in re-hearing ab initio, as is the rule in some other countries; on appeal a sentence is examined to see whether it either erred in law or principle or was manifestly excessive, and those questions are determined by reference to the law and practice obtaining at the time that the sentence was passed by the trial judge: see R v Graham [1999] 2 Cr App R (S) 312 and R v Boakye [2012] EWCA Crim 838 discussed at para 53 below; accordingly the situation which arose in Scoppola out of a change in the law between sentence and appeal could not raise a similar difficulty here;
(f) moreover, except in very limited cases the Court of Appeal has no power to increase a sentence on appeal (Criminal Appeal Act 1968 section 11(3)); in the exceptional case where it can do so on the application of the Attorney General, its power is limited to putting itself in the position of the trial judge and asking whether on the rules then applying he passed an unduly lenient sentence; for this reason also if the circumstances of Scoppola were to occur in England there could be no question of the trial judge's 30 year sentence being replaced on appeal by a life sentence;
(g) similarly, in the separate case of sentences for minor offences which are appealable from the Magistrates' Court to the Crown Court, an appeal lies only at the suit of the defendant; although the Crown Court re-sentences ab initio and can thus pass a more severe sentence than did the magistrates, the practice, if such a step is contemplated, is to give notice of this risk to enable the defendant to abandon his appeal if he wishes; once again therefore the kind of sequence of events which obtained in Scoppola would not occur.
48. That it is the maximum sentence which matters to lex gravior is the approach which has been consistently adopted. In Coeme v Belgium [2000] ECHR 250, considering the lex gravior rule in article 7, the Strasbourg court held (at para 145) that article 7 required that it be shown that when the offender's act was done there was in force a legal provision making it punishable "and that the punishment imposed did not exceed the limits fixed by that provision." (emphasis supplied). That was the meaning of the expression "penalty ... applicable" in article 7. In R (Uttley) v Secretary of State for the Home Department [2004] 1 WLR 2278 the House of Lords applied the same approach. All the law lords expressly rejected the contention that that article is concerned with the penalty "which the court could in practice have been expected to impose". As Lord Rodger pointed out at para 42, that would involve "speculative excursions into the realm of the counterfactual". What matters is the maximum penalty permitted. The same approach was expressly adopted by the Strasbourg court when application was made to it in that same case: Uttley v UK Application 36946/03. This learning is confirmed in Scoppola. At para 95 the court held, citing Coeme:
"The court must therefore verify that at the time when an accused person performed the act which led to his being prosecuted and convicted there was in force a legal provision which made that act punishable, and that the punishment imposed did not exceed the limits fixed by that provision." [emphasis supplied]
And at para 98 it reiterated the rule that the court, like the Commission before it, draws a distinction between a measure that is in substance a penalty and a measure, such as one relating to the regime for early release, which concerns the execution or enforcement of the penalty.
49. In countries, unlike England, where sentencing laws prescribe a range between a minimum and a maximum, the raising of the minimum has an effect comparable to the raising of the maximum: both constrain the court by creating a more severe regime, thus engaging the rule against lex gravior. Such a situation came before the Strasbourg court in Maktouf v Bosnia & Herzegovina (2014) 58 EHRR 11. The effect of the change was to alter the range for the defendant Maktouf (an accomplice) from 1-15 to 5-20 years. For the defendant Damjanovich (a principal) the range was altered from 5-15 to 10-20. Maktouf was expressly sentenced to the new minimum of five years, but the court could not go below that figure as previously it could have done. Damjanovich was sentenced to 11 years, just one year above the new minimum, and the Court was satisfied that if the old range had been treated as governing the case he might well have received less. Accordingly there were breaches of the lex gravior rule in article 7, although it did not follow that lower sentences ought to have been imposed: that was a matter for the sentencing court. What the Strasbourg court appears to have been contemplating was the possibility that in order to maintain the differential between Damjanovicj and someone else who had committed the same offence but in a less grave manner, the court might have had to raise his sentence a little above the new minimum, thus to leave room below it for the less grave example of similar offending. It was not suggesting that the revision of the minimum prevented a contemporaneous assessment of the gravity of his offence. There was no reason why that assessment should not have been undertaken according to the practice at the time of sentencing, as it appears that it was, and as would occur in England. Thus the ECtHR was concerned with altered statutory constraints operating on the sentencing court, of which one, the new minimum, might have (but had not necessarily) prevented the court from sentencing as it otherwise would have done. Similar considerations might apply in the present case if IPP was not legitimately available to the judge (as to which see below). But there is nothing in this which is inconsistent with the English practice in relation to historic offences as explained in R v H (J), and no question of either the lex gravior or the lex mitior principles requiring the court to undertake the hypothetical exercise of imagining itself sentencing many years ago. That exercise would be both artificial and unjust.
Phased commencement and anticipation
53. The reality is that all changes in sentencing law or practice have to start somewhere. It is perfectly rational, indeed sensible, for a date to be fixed and for the sentencing of any offender which takes place after that date to be governed by the new rule/practice, whenever the offence was committed, in accordance with the usual English approach and subject only to avoiding lex gravior. That is the practice now adopted by the Sentencing Council when promulgating new guidelines. Such guidelines are issued on the explicit basis that they are to become applicable from a stated date, as soon after publication as it is practicable for courts and practitioners to be equipped with and digest copies. The new guidelines are made applicable to any sentence passed after that date, whenever the offence was committed. In 2012 a guideline for drug offences included the recommendation that the offences of some couriers from abroad, where they were vulnerable and exploited by others, ought not to be treated as quite so grave as other drug importation cases. The guideline was stated to operate for sentences from 27 February 2012, whenever the offence had been committed. It had been preceded in the usual way by a public consultation, in which this change, like others, had been canvassed as a possibility. A number of previously sentenced defendants who said they were in this category (although they were not) abstained from appealing their sentences until after the new guideline was published. Their offences and sentences had been between 2008 and 2011; all the appeals were very much beyond the time limit. In R v Boakye [2012] EWCA Crim 838 the Court of Appeal held that even if these cases had been within the new assessment of gravity, it was not possible retrospectively to re-visit unappealed sentences. That was to apply well established law: see R v Graham [1999] 2 Cr App R (S) 312, where the court had considered a reference to the court by the Criminal Cases Review Commission long after sentence and following a change in sentencing practice. Rose LJ had there said, at p 315:
"A defendant sentenced lawfully, in accordance with the prevailing tariff, and when all factors relevant to sentence were known to the sentencing judge, can, in our view, hardly be described as the victim of [a miscarriage of justice]. Secondly, an alteration in the statutory maxima or minima penalty between sentence and reference cannot, in our view, give rise to legitimate grievance. ..."
Conclusion: lex mitior
Application to the present case
58. But the new regime was not in force for his case. It was the subject of legitimate phased introduction. For the reasons set out in para 54 above, lex mitior does not entitle Docherty to anticipate the statutory commencement of LASPO. The case made on his behalf was, both in the Court of Appeal [2014] EWCA Crim 1197; [2014] 2 Cr App R 76, and before this court, that he ought to have been sentenced to EPP. That exposes the flaw in the argument, for it would seek to insist on the benefit of (accelerated) removal of one part of the old regime (IPP) whilst at the same time claiming the preservation of another part of it (EPP).
59. The Court of Appeal also upheld the sentence of IPP on an additional basis. It accepted that the principle of lex mitior should be followed, without needing to resolve the possible debate as to its extent. But it adverted to the fact that Docherty's offences were punishable by a maximum of life imprisonment. It correctly rejected the conclusion that that maximum was, by itself, enough to show that no question of lex mitior arose. It by no means follows that every case which would have been met by IPP will now be met by a life sentence: see for example the case of Smith dealt with in Burinskas at para 138 of the transcript at [2014] EWCA Crim 334. But the Court of Appeal went on to hold that the lex mitior principle did not apply if there was a reasonable possibility that, had IPP not been legitimately applicable, Docherty would have been sentenced to life. Since there was the real possibility that such a sentence would have been passed, that was held to constitute a further reason for dismissing the appeal.
Article 6(a) ultra vires?
61. The appellant's alternative argument is that once the decision had been made, for good reasons, to abandon IPP as a form of sentence, it was unlawful, as contrary to the clear purpose of LASPO, to preserve it for anyone who had yet to be sentenced after that Act was commenced. For that reason, he contends, article 6(a) of the Commencement Order, at least insofar as it preserved IPP, was not properly made within the purpose for which such an order can be made under the power given by LASPO. It offends the Padfield principle ( Padfield v Minister of Agriculture, Fisheries and Food [1968] AC 997).
Discrimination
63. The suggested discrimination is said to arise as between a defendant in the position of the appellant, and a defendant who committed an identical offence on a similar date, but who was convicted on 4 December 2012. It is certainly true that the effect of the Commencement Order is that IPP is available to be imposed in the case of the appellant but not in the case of that comparator. The appellant submits that this discriminates objectionably against him on grounds of "other status", namely either (i) his status as a convicted person prior to 3 December or (ii) his status as a prisoner who is subject to an indeterminate sentence. Assuming for the sake of argument that status as a prisoner subject to a particular regime can in some circumstances amount to sufficient status to bring article 14 into question ( Clift v UK [2010] ECHR 1106), it cannot do so if the suggested status is defined entirely by the alleged discrimination; that was not the case in Clift. For that reason, the second suggested status cannot suffice. As to the first, even if it be assumed in the appellant's favour that the mere date of conviction can amount to a sufficient status, which is doubtful, the differential in treatment is clearly justified. All changes in sentencing law have to start somewhere. It will inevitably be possible in every case of such a change to find a difference in treatment as between a defendant sentenced on the day before the change is effective and a defendant sentenced on the day after it. The difference of treatment is inherent in the change in the law. If it were to be objectionable discrimination, it would be impossible to change the law. There are any number of points which may be taken as triggering the change of regime. The point of conviction is clearly one, and the point of sentence is another. Neither is, by itself, irrational or unjustified.
Disposal