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Books in the Series
Anderson, Schum & Twining: Analysis of Evidence
Ashworth: Sentencing and Criminal Justice
Barton & Douglas: Law and Parenthood
Bell: French Legal Cultures
Bercusson: European Labour Law
Birkinshaw: European Public Law
Birkinshaw: Freedom of Information: The Law, the Practice and the Ideal
Cane: Atiyah’s Accidents, Compensation and the Law
Clarke & Kohler: Property Law
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De Sousa Santos: Toward a New Legal Common Sense
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Fortin: Children’s Rights and the Developing Law
Glover-Thomas: Reconstructing Mental Health Law and Policy
Gobert & Punch: Rethinking Corporate Crime
Harlow & Rawlings: Law and Administration: Text and Materials
Harris: An Introduction to Law
Harris: Remedies in Contract and Tort
Harvey: Seeking Asylum in the UK: Problems and Prospects
Hervey&McHale: Health Law and the European Union
Lacey & Wells: Reconstructing Criminal Law
Lewis: Choice and the Legal Order: Rising above Politics
Likosky: Transnational Legal Processes
Maughan & Webb: Lawyering Skills and the Legal Process
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Norrie: Crime, Reason and History
O’Dair: Legal Ethics
Oliver: Common Values and the Public–Private Divide
Oliver&Drewry:The Law and Parliament
Picciotto: International Business Taxation
Reed: Internet Law: Text and Materials
Richardson: Law, Process and Custody
Roberts & Palmer: Dispute Processes: ADR and the Primary Forms of Decision Making
Scott & Black: Cranston’s Consumers and the Law
Seneviratne: Ombudsmen: Public Services and Administrative Justice
Stapleton: Product Liability
Tur pin: British Government and the Constitution: Text, Cases and Materials
Twining: Globalisation and Legal Theory
Twining: Rethinking Evidence
Twining & Miers: HowtodoThings with Rules
Ward: ACritical Introduction to European Law
Ward: Shakespeare and Legal Imagination
Zander: Cases and Materials on the English Legal System
Zander: The Law-Making Process
Sentencing and
Criminal Justice
Fourth edition
Andrew Ashworth
Vinerian Professor of English Law,
University of Oxford
cambridge university press
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo
Cambridge University Press
The Edinburgh Building, Cambridge cb2 2ru,UK
First published in print format
isbn-13 978-0-521-67405-8
isbn-13 978-0-511-13466-1
© Andrew Ashworth 2005
2005
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relevant collective licensing agreements, no reproduction of any part may take place
without the written permission of Cambridge University Press.
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Contents
Preface page x
Table of statutes xi
Tab l e o f cases xvi
1Anintroduction to English sentencing
1
1.1 Courts and crimes 1
1.2 The available sentences 2
1.3 The general statistical background 8
1.4 The criminal process 22
1.5 The formal sources of sentencing decisions 31
1.6 Informal influences on sentencing practice 41
2 Sentencing and the constitution
50
2.1 The separation of powers in sentencing 50
2.2 The Sentencing Advisory Panel and the Sentencing
Guidelines Council 54
2.3 The judiciary, the executive and sentencing policy 58
2.4 The Judicial Studies Board 61
2.5 The position of the magistracy 62
2.6 Conclusions 66
3 Sentencing aims, principles and policies
67
3.1 The aims of the criminal justice system 67
3.2 Justifying state punishment 70
3.3 The rationales of sentencing 72
3.4 Some principles and policies 91
3.5 Sentencing rationales and English criminal justice 98
4 Elements of proportionality
102
4.1 The proportionality principle 102
4.2 Opinions about offence-seriousness 104
vii
viii Contents
4.3 Developing parameters of ordinal proportionality 106
4.4 Offence-seriousness in practice 114
4.5 Individual culpability 142
4.6 Proportionality, human rights and European law 147
4.7 Proportionality and offence-seriousness 148
5 Aggravation and mitigation
151
5.1 Some preliminary problems of principle 151
5.2 Aggravation as increased seriousness 153
5.3 Mitigation as diminished seriousness 160
5.4 Personal mitigation 163
5.5 Mitigation and aggravation in practice 178
5.6 Aggravation and mitigation in theory 180
6 Persistence, prevention and prediction
182
6.1 Historical introduction 182
6.2 Three approaches to punishing persistence 184
6.3 Previous convictions and the Criminal Justice Act 2003 191
6.4 The problem of ‘professional’ criminals 201
6.5 Persistent petty offenders 202
6.6 The prevention of ‘anti-social behaviour’ 203
6.7 Minimum sentences and selective incapacitation 206
6.8 ‘Dangerous offenders’ and the 2003 Act 210
6.9 Conclusion 217
7 Equality before the law
219
7.1 The principle and its challengers 219
7.2 Race 221
7.3 Gender 224
7.4 Employment status 227
7.5 Financial circumstances 230
7.6 Social status 233
7.7 Equality, parsimony and risk 234
8 Multiple offenders
239
8.1 Charging the multiple offender 240
8.2 Concurrent or consecutive? 242
8.3 Effect of the statutory principle 247
8.4 Consecutive sentences and the totality principle 248
8.5 Multiple offenders and proportionality 254
9 Custodial sentencing
255
9.1 The state of the prisons 255
Contents ix
9.2 The use of imprisonment 260
9.3 Principles for the use of custodial sentences 265
9.4 The custody threshold and short custodial sentences 271
9.5 Custodial sentences of twelve months and longer: release
on licence 281
9.6 Demographic features of the prison population 285
9.7 Conclusions 291
10 Non-custodial sentencing
293
10.1 A brief history 293
10.2 The absolute discharge 295
10.3 Conditional discharges and bind-overs 296
10.4 Compensation orders 298
10.5 Fines 302
10.6 The generic community sentence 312
10.7 Deferment of sentence 326
10.8 Conclusions 327
11 Procedural issues and ancillary orders
332
11.1 The sentencing framework of the 2003 Act 332
11.2 Ancillary orders 333
11.3 The obligation to give reasons for sentence 340
11.4 The factual basis for sentencing 342
11.5 Police antecedents statements 346
11.6 The role of the prosecution 347
11.7 Pre-sentence reports 348
11.8 Defence speech in mitigation 350
11.9 The role of the victim 352
12 Special sentencing powers
359
12.1 Young offenders 359
12.2 Young adult offenders 368
12.3 Mentally disordered offenders 370
13 Conclusions
380
13.1 The responsibility of sentencing 380
13.2 The new penal ladder 382
13.3 Delivering change: the guideline system 384
13.4 Risk, public protection and trifurcation 385
13.5 Proportionality and social justice 387
13.6 Political courage and criminal justice 388
References 390
Index 409
Preface
In the five years since the third edition, the brisk pace of change in sentencing set
in the 1990s has continued with vigour. Most significant is the Criminal Justice Act
2003. Over half of its 339 sections and 30 of its 38 schedules relate to sentencing.
Notall of those provisions are yet in force – at the time of writing, it appears that the
new sentence of custody plus and the raising of the magistrates’ courts’ sentencing
limit from 6 to 12 months will not be brought in until autumn 2006. Several chap-
ters have needed extensive rewriting in order to reflect the provisions of the 2003
Act. Attention has also been paid to other significant changes in sentencing – the
continued rise in the prison population to over 75,000; the continued increase in
reliance on the National Probation Service for risk management and rehabilitation
in the community; the extension of social control through the anti-social behaviour
order and the many other preventive orders and the concomitant blurring of bound-
aries, rights and responsibilities that this entails; the development of the guideline
movement in sentencing, and the unexpected return of the Court of Appeal to the
practice of laying down guidelines or ‘guidance’; and many other changes.
Iceased to gather material for this edition at the end of March 2005, but room
has been found for a few subsequent developments. I am grateful for the term’s
sabbatical leave granted by the University of Oxford to enable me to push forward
with this project, and also to the Law Faculty at the University of Tasmania for its
warm welcome and generous support during my visit in January–February 2005.
Ireceived helpful suggestions about the book from a number of colleagues, and my
special thanks go to Elaine Player for commenting on a draft of Chapter 9 and to
Julian Roberts for commenting on a draft of Chapter 6.And,aboveall,Ioweagreat
debt to Von, whose support for me throughout this project was unwavering even
though I had to spend much more time than anticipated at my desk.
Andrew Ashworth
All Souls College, Oxford
May 2005
x
Table of statutes
Anti-Social Behaviour Act 2003 206
Anti-Terrorism, Crime and Security
Act 2001
s. 39 154
Children Act 1989 365
Children and Young Persons Act 1933
s. 44 74
Children and Young Persons Act 1969
359
Company Directors Disqualification
Act 1986 336
Courts Act 2003 62, 303, 312
s. 36 312
ss. 95–97 312
Crime and Disorder Act 1998 7, 25, 32,
89, 153–5, 361
s. 1 203
s. 1(11) 297
ss. 8–10 365
s. 28 154
s. 29 153
s. 30 153
s. 31 153
s. 32 153
s. 37 7, 74
s. 37(1)–(2) 361
s. 41 361
s. 61 294
s. 65 362
s. 65(1) 362
s. 66 362
s. 66(2)(b) 362
s. 66(4) 297
s. 80 33, 54
s. 80(3) 38
s. 81 54
Crime (Sentences) Act 1997 32, 52, 60,
66, 81, 98, 207, 211, 281
s. 3 207
s. 4 134, 208
s. 45 376
Criminal Damage Act 1971 51
Criminal Injuries Compensation Act
1995 298
Criminal Justice Act 1948 183
Criminal Justice Act 1967 183
Criminal Justice Act 1972 293, 298
Criminal Justice Act 1982 293, 298, 360
Criminal Justice Act 1988 334
s. 36 40
s. 104 298
Criminal Justice Act 1991 2, 73, 74, 95,
98, 99, 102, 133, 183, 214, 281,
293, 294, 298, 303, 304, 305, 312,
313, 322, 348, 360
s. 1(2)(a) 271
s. 2(2)(a) 100
s. 2(2)(b) 183
s. 4 290, 377
s. 6 322
s. 29(2) 153
s. 95(1)(b) 224
Criminal Justice Act 1993 98, 193, 294,
305
xi
xii Table of statutes
Criminal Justice Act 2003 2, 4, 6, 25,
27, 32, 33, 35, 38, 39, 46, 57, 62,
63, 66, 81, 95, 97, 99, 103, 111,
122, 148, 151, 153, 172, 191–201,
207–13, 217, 230, 234, 247, 281–5,
288, 292, 293, 295, 297, 303, 314,
315, 350, 352, 362, 365, 367, 374,
384, 385
part 12 368
Chapter 5 210
s. 23 25
s. 31(3) 214
s. 142 74, 99, 102, 138–9, 221, 323
s. 142(1) 74
s. 142(1)(d) 80
s. 142(2)(a) 362
s. 143 74
s. 143(1) 74, 99, 102, 103, 198
s. 143(2) 75, 191, 195, 196, 197, 198,
199, 202, 203, 205, 214, 217, 315
s. 143(2)(a) 197
s. 143(2)(b) 197
s. 143(3) 153, 246
s. 144 27, 29, 164
s. 144(1) 163, 164
s. 144(2) 163, 164, 207
s. 145 96
s. 145(2) 153
s. 146 96, 155
s. 146(3) 155
s. 147(1) 99
s. 148 4
s. 148(1) 99, 103, 247, 313, 314
s. 148(2) 321–2, 324
s. 148(2)(a) 322
s. 148(2)(b) 322
s. 151 203, 314, 323
s. 152(2) 5, 99, 103, 203, 247, 271,
272, 274, 277, 280, 309, 313
s. 153(2) 5, 6, 99, 100, 103, 247, 283
s. 154 279
s. 156 349
s. 157 290, 377
s. 157(2) 290, 377
s. 161 322
s. 162 307
s. 163 309
s. 164 4
s. 164(1) 307
s. 164(2) 306, 310
s. 164(3) 306, 310
s. 164(4) 307, 309, 310
s. 166 151, 179, 248
s. 166(1) 160
s. 166(5) 290, 377
s. 167(9) 55
s. 169 54
s. 170 34, 41, 54
s. 170(2) 34
s. 170(5) 34
s. 170(5)(c) 96
s. 170(8) 34
s. 170(9) 34
s. 171 33
s. 171(1) 34
s. 171(4) 34
s. 172 57, 341
s. 172(1) 34
s. 174 352
s. 174(1) 341
s. 174(2) 151, 341, 342
s. 174(2)(a) 34, 37, 341
s. 174(2)(d) 164
s. 174(2)(e) 181
s. 177 315
s. 177(3)(b) 318
s. 177(4) 318
s. 177(6) 324
s. 178 325
s. 179 325
s. 181 5, 114
s. 181(3)(b) 279
s. 182 5
s. 183 5, 277
s. 189 5, 275
s. 190 275
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