Legality and Other Requirements for Sentencing / Légalité et autres exigences en matière de condamnation

Acknowledgments xx
Remerciements xxii

Part I Introduction
1ière Partie Introduction

Legality of sentencing and the need for a catalogue of principles 3
Piet Hein van Kempen, Maartje Krabbe, José Luis Guzmán Dalbora and Francisco Molina Jerez
1 Introduction to this volume 3
1.1 Definitions 4
1.2 Outline of this volume 5
1.2.1 Thematic chapters 5
1.2.2 National chapters 6
1.2.3 Present chapter 7
2 The principle of legality, the rule of law and sentencing 7
2.1 The principle of legality as a codified norm 8
2.2 The principle of legality as an inspirational norm 9
3 Limited foreseeability of actual sentencing and execution of sentences 11
3.1 The law is never perfectly clear 11
3.2 Consistency and individualization 12
3.3 Differences or lacking in understanding 13
3.4 Society, politicians, and the media 13
4 The legality principle as an aspiration for consistent individualization 14
5 A catalogue of principles for sentencing and execution of sentences 15
5.1 Principle of proportionality 15
5.2 Principle of guilt or culpability 16
5.3 Principle of equality 17
5.4 Principle of fairness or reasonableness 19
5.5 Principle of individualization 20
5.6 Principle of necessity and principle against unnecessary harm 22
5.7 Principle of the effect of the punishment and principle of rehabilitation 22
5.8 Reasoning for sentences 23
5.9 Further principles, requirements, and limits 24
6 Databases, guidelines, mandatory sentences, and other limits to judicial discretion 24
7 Concluding remarks 26

Légalité des peines et nécessité d’un catalogue de principes 29
Piet Hein van Kempen, Maartje Krabbe, José Luis Guzmán Dalbora et Francisco Molina Jerez
1 Introduction à ce volume 29
1.1 Définitions 30
1.2 Aperçu du présent volume 31
1.2.1 Chapitres thématiques 31
1.2.2 Les sections nationales 33
1.2.3 Présent chapitre 33
2 Le principe de légalité, l’État de droit et la condamnation 34
2.1 Le principe de légalité en tant que norme codifiée 35
2.2 Le principe de légalité comme norme d’inspiration 36
3 Prévisibilité limitée de la condamnation et de l’exécution effectives des peines 38
3.1 La loi n’est jamais parfaitement claire 38
3.2 Cohérence et individualisation 39
3.3 Différences ou manque de compréhension 40
3.4 Société, hommes politiques et médias 40
4 Le principe de légalité comme aspiration à une individualisation cohérente 41
5 Un catalogue de principes pour le prononcé et l’exécution des peines 42
5.1 Principe de proportionnalité 42
5.2 Principe de culpabilité 44
5.3 Principe d’égalité 45
5.4 Principe d’équité ou de vraisemblance 46
5.5 Principe d’individualisation 48
5.6 Principe de nécessité et principe contre les dommages inutiles 49
5.7 Principe de l’effet de la peine et principe de la réhabilitation 50
5.8 Raisonnement pour les peines 51
5.9 Autres principes, exigences et limites 52
6 Bases de données, lignes directrices, peines obligatoires et autres limites au pouvoir discrétionnaire des juges 52
7 Remarques finales 55

Part II Themes
2ième Partie Thèmes

The right to be protected against disproportionate sentencing 59
Human rights requirements as regards the sentencing process and the enforcement of sentences – the need for a step forward to ‘hard law’ about sentencing systems
P.A.M. Mevis
1 Introduction: human rights in sentencing and in enforcement respectively: a difference in the degree of representation in international regulations 59
2 Some relevant developments 61
2.1 In the European Union (a basis for) involvement in sanctions law and the system of sanctions in the member states is emerging 61
2.2 A changed criminal law climate: diminishing importance of sanction limitations; is the sky the limit? 63
2.3 Sentencing influence of the EU: ‘minimal sentence maxima’ 65
2.4 The importance of Jeschek’s ‘objection’ by complicit courts 67
3 Interim conclusion: the need for a ‘protocol’ as a step forward 68
4 Elements of a ‘protocol’ 69
4.1 Codification of a prohibition against disproportionate sentencing 70
4.2 Indication of the object of sentencing as a reference point for sentencing and its upper limit? 76
4.3 Codification of three principles as reference points of departure concerning sentencing in the protocol 78
4.4 Demands on the set-up of the system of sanctions in national law 80
4.5 Two specific cases: life sentence and long fixed-term prison sentence 83
4.5.1 Life imprisonment: no ‘case against’, but effective review and stricter terms for application 83
4.5.2 The long fixed-term prison sentence: a maximum to the ‘race to the top’ as a point of departure 90
4.6 Interim conclusion 94
5 Human rights and enforcement 95
6 Enforcement: compliance as a condition for international cooperation in criminal cases 100
7 Conclusion 101

Judicial discretion in sentencing in general: the judiciary’s independent position and its responsibility for fairness 103
Yvette Tinsley
1 Introduction 103
2 Judicial independence, judicial discretion and the rule of law 103
3 Independent of the interests of those who made the law? 106
4 Independent of the interests of those who apply the law 111
5 Independent of the interests of those to whom the law is applied and independent of the time at which it is applied 114
6 Conclusion 115

Judicial discretion within a framework: between determinate and indeterminate sentencing 117
Rita Haverkamp and Johannes Kaspar
1 Introduction 117
2 Historical background 118
3 Sentencing systems 120
4 Purposes of punishment 129
5 Disparity in sentencing 131
6 Practical consequences of crime policies 134
7 Guidance by national constitutional, supranational and international law 135
8 Conclusion 136

Administrative discretion in the execution of sentences 137
Uju Agomoh
1 Introduction 137
2 Fundamentals of a fair sentencing system 138
2.1 Individualized justice 138
2.2 Consistency 139
3 Judicial control of administrative discretion 141
4 Administrative discretion and class analysis 143
4.1 Petty offences 144
4.2 Poverty 144
4.3 Discussion 145
5 Administrative discretion and impact on the prisons/correctional centers designated capacities 149
6 Administrative discretion, threats and opportunities reducing prison congestion, and improving rehabilitation and fairness 157
7 Conclusion 158

Part III National Reports
3ième Partie Rapports nationaux

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and enforcement of sentences in the Argentine Republic 163
Roberto Patricio Ortenzi and Alejo García Basalo
1 Introduction 163
2 The principle of legality in constitutional and human rights law 165
3 Judicial discretion and procedural rights 171
4 Judicial discretion in sentencing: position of the independent judge and responsibility for fairness 174
5 Sentencing by non-judicial entities 177
6 Administrative discretion in the enforcement of sentences 178
6.1 Consequences of the lack of internal policies for prison facilities 179
6.2 Consequences of the lack of regulations on the capacity of prison facilities 179
6.3 Lack of regional prison facilities 180
6.4 Lack of prison inspectorate board 181
7 Conclusion 181

The principle of legality and the rule of law on criminal penalties in Chile 183
Francisco Molina Jerez, Jaime Náquira Riveros and José Luis Guzmán Dalbora
1 Introduction 183
2 The principle of legality and the rule of law on criminal matters 185
3 Standards in the light of human rights with regards to the process of sentence and the enforcement of sentences 189
4 Judicial discretion in the sentence in general: position of the autonomous judge and responsibility for equality 189
5 Judicial discretion within a framework 190
6 Sentences pronounced by non-judicial entities. 191
7 Administrative discretion in the enforcement of penalties 192
8 Conclusion 194

Human-rights movement and constitutional principles in Finnish criminal justice 195
Tapio Lappi-Seppälä and Ilkka Rautio
1 Introduction: A peak in the past 195
1.1 Against coercive care, abuse of power and the overuse of imprisonment (1960-70s) 195
1.2 “Constitutionalization” and the emergency of fundamental and human rights (1990-2000s) 196
2 The principle of legality and/or the rule of law as regards criminal punishments 197
3 Human rights requirements as regards the sentencing process and the enforcement of sentences 198
3.1 Sentencing 198
3.1.1 Human rights-based requirements to criminal sanctions 198
3.1.2 Human rights-based requirements to the sentencing process 199
3.2 Enforcement 201
3.2.1 Human rights and prison law 201
3.2.2 Enforcement principles and fundamental rights 202
3.2.3 Securing the rule of law and human rights in enforcement 204
4 Judicial discretion in sentencing 207
4.1 Sentencing guidance and sources of sentencing law 207
4.2 Sentencing principles and norms 209
4.2.1 Structuring the sentencing decision 209
4.2.2 Sentencing principles 210
4.3 Maintaining the independence of courts in relation to legislative powers, administration and public opinion in practical cases 212
4.4 Guarantees of independence in sentencing 213
5 Sentencing by non-judicial entities 214
5.1 Authorities entitled to impose administrative sanctions 215
5.2 Provisions governing the imposition of sanctions compared to the imposition of criminal penalties 215
5.3 Advantages and disadvantages of administrative penalties 216
6 Administrative discretion in the execution of sentences 217
6.1 Human rights orientation in enforcement 217
6.2 Curbing the scope of discretion 218
6.3 Discretion in deciding on conditional release 219
7 Conclusion 220

Legality, non-arbitrariness, and judicial and administrative discretion in sentencing and enforcement of sentences in the German system 223
Rita Haverkamp and Johannes Kaspar
1 Introduction 223
2 The principle of legality and/or the rule of law as regards criminal punishments 225
3 Human rights requirements as regards the sentencing process, and the enforcement of sentences (with the exception of the human right principle of legality) 227
4 Judicial discretion in sentencing in general: the position of the independent judge, and responsibility for fairness 229
5 Judicial discretion within a framework 231
5.1 Sentencing rules in the General Part of the Criminal Code 231
5.2 Sentencing rules in the Special Part of the Criminal Code 233
6 Sentencing by non-judicial entities 235
7 Administrative discretion in the enforcement and execution of sentences 238
8 Conclusion 243

Judicial discretion in sentencing and enforcement of sentences in Greece 247
Effi Lambropoulou and Olga Tsolka
1 Introduction 247
2 Principles and rules concerning sentencing 248
2.1 The General Principles 248
2.2 Special sentencing guidelines 250
2.2.1 Grounds for increasing punishment 250
2.2.2 Grounds for mitigating punishment 251
3 Other human rights requirements in the sentencing process and the enforcement of sentences 253
3.1 The pillars 253
3.2 Fairness in criminal trial procedures 254
4 Judicial independence and discretion in sentencing 257
4.1 Judge’s independence 257
4.2 Inter-judicial independence 260
4.3 Critical issues and open questions about judicial independence 261
5 Administrative discretion in the execution of sentences 263
6 Conclusions 264

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and enforcement of sentences: the case of Ireland 267
Mary Rogan, Vivian Geiran and Úna ní Raifeartaigh
1 Introduction 267
2 The principle of legality and the rule of law in Irish sentencing practice 268
3 Human rights requirements in the sentencing process and the enforcement of sentences 269
4 Judicial discretion in sentencing in general: the position of the independent judge and responsibility for fairness 273
5 Judicial discretion within a framework: guidelines, mandatory and presumptive sentencing 276
6 Sentencing by non-judicial entities 280
7 Administrative discretion in the execution of sentences 280
8 Conclusion 284

Judicial and administrative discretion in sentencing and enforcement of sentences in Italy 285
Franco Della Casa and Massimo Ruaro
1 Introduction 285
2 The principle of legality and the rule of law as regards criminal punishments 287
3 Human rights requirements as regards sentencing process and enforcement of sentences 290
4 Judicial discretion in sentencing in general: independence of judges and responsibility for fairness 295
5 Judicial discretion within a framework: guidelines, mandatory sentencing rules, foreclosured access to community sanctions 299
6 Sentencing by non-judicial entities 302
7 Administrative discretion in the execution of sentences 304
8 Conclusions 306

Judicial and administrative discretion in sentencing and enforcement of sentences in Japan 309
Takeshi Seto
1 Introduction 309
1.1 Basic character of the Japanese Penal Code 309
1.2 Introduction of the saiban-in system 310
1.3 Changes to the Penal Code 310
1.4 Sentencing tendency after the introduction of the saiban-in system 311
2 The principle of legality and/or the rule of law as regards criminal punishment 311
2.1 Proportionality 312
2.2 Sentencing database 313
2.3 Mitigating factors for the defendant 313
2.4 Sentencing procedure at trial and during judicial review of sentencing 314
2.5 Influence of the saiban-in system 315
3 Human rights and sentencing 316
3.1 Sentencing process 316
3.2 Enforcement of sentences 317
4 Judicial discretion in sentencing in general: position of the independent judge and responsibility for fairness 319
5 Sentencing by non-judicial entities 320
6 Administrative discretion in the execution of sentences 321
7 Conclusion 324

The rule of law, judicial and administrative discretion in sentencing and enforcement of sentences in Lithuania 325
Gintautas Sakalauskas
1 Introduction 325
2 The principle of legality and the rule of law as regards criminal punishments 326
3 Human rights requirements as regards the sentencing process and the enforcement of sentences 331
4 Judicial discretion in sentencing in general: position of the independent judge and responsibility for fairness 335
5 Judicial discretion within a framework 335
6 No sentencing by non-judicial entities – even reconciliation without mediation 340
7 Administrative discretion in the execution of sentences 341
7.1 Sentencing for disciplinary infractions in correctional facilities 341
7.2 Reform of release on parole 343
8 Conclusion 343

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and enforcement of sentences in the Netherlands 345
P.A.M. Mevis and P.C. Vegter
1 Introduction 345
2 The principle of legality and/or the rule of law as regards criminal punishments versus (wide) judicial discretion 346
2.1 Punishment/Criminal Code 346
2.1.1 Legality and codification 346
2.1.2 Types of sanctions: penalties and measures 347
2.1.3 Choice of sanctions and size of punishment 348
2.1.4 Suspended modalities 349
2.1.5 Judicial pardon 349
2.2 Principle of legality as regards enforcement of sentences 350
2.2.1 Legislature and legality 350
2.2.2 The courts and legality (1): extensive sentencing possibilities: balancing of interests 350
2.2.3 The courts and legality (2): judicial rulings during the enforcement 351
2.2.4 Enforcement and legality 352
2.3 Prohibition on retroactive force 354
3 Human rights requirements as regards the sentencing process and the enforcement of sentences (with exception of the human right principle of legality) 354
3.1 Sentencing process 354
3.1.1 Imposition of the sanction 354
3.1.2 Reasoning of the sanction 355
3.2 Enforcement of sanctions 358
3.2.1 Introduction 358
3.2.2 Further rules: general 358
3.2.3 Further rules: specific 360
3.2.4 Legal protection 360
3.2.5 Practice 362
4 Judicial discretion in sentencing in general: position of the independent judge and responsibility for fairness 363
5 Judicial discretion within a framework: guidelines, mandatory sentencing etc. 364
6 Sentencing by non-judicial entities 365
7 Administrative discretion in the execution of sentences 366
8 Conclusion 367

The application of the principle of legality to criminal punishments in New Zealand 369
Yvette Tinsley and Warren Young
1 Introduction 369
2 The sentencing framework 370
2.1 Legislative control and guidance 370
2.2 Sentencing case law 374
2.3 The sentencing process 376
2.4 Conclusion on the sentencing framework 378
3 Administration and enforcement of sentences 380
4 Other penal and preventive measures to address crime 382
4.1 Measures to address the risk of crime 383
4.1.1 Police Safety Orders 383
4.1.2 Public Protection Orders 384
4.2 Measures to provide more flexibility and put more emphasis on rehabilitation and restoration in the response to crime 386
4.2.1 Pre-charge warnings 386
4.2.2 Te Pae Oranga iwi community panels 387
4.2.3 Police pre-trial diversion 387
4.2.4 Therapeutic jurisprudence 388
5 Conclusion 390

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and the enforcement of sentences in Norway 391
Asbjørn Strandbakken
1 Introduction 391
2 The principle of legality with respect to criminal sanctions 392
3 Human rights requirements in relation to the sentencing process and the enforcement of sentences 394
4 Judicial discretion in sentencing in general: the position of the independent judge and responsibility for fairness 396
5 Judicial discretion within a framework: guidelines, mandatory sentencing etc. 398
6 Sentencing by non-judicial entities 404
7 Administrative discretion in the execution of sentences 406
8 Conclusion 408

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and enforcement of sentences in Poland 409
Małgorzata Wąsek-Wiaderek and Adrian Zbiciak
1 Introduction 409
2 The principle of legality and/or the rule of law as regards criminal punishments 410
3 Human rights requirements as regards the sentencing process and the enforcement of sentences 412
4 Judicial discretion in sentencing in general: position of the independent judge and responsibility for fairness 414
5 Judicial discretion within a framework: guidelines, mandatory sentencing, etc. 419
5.1 Penalties, penal measures and other sanctions 420
5.2 Statutory limits of choice of sanction and its scope 420
5.3 Extraordinary mitigation/aggravation of penalty 422
5.4 Court’s discretion in applying penal measures 426
5.5 Statutory sentencing guidelines 427
6 Sentencing by non-judicial entities 429
7 Administrative discretion in the enforcement of sentences 430
8 Conclusions 432

Legality, non-arbitrariness and judicial and administrative discretion in sentencing and enforcement of sentences in Portugal 435
Anabela Miranda Rodrigues, Sónia Fidalgo and Celso Manata
1 Introduction 435
2 The principle of legality as regards criminal punishments 436
2.1 The principle of legality of criminal offences and penalties 436
2.2 An accusatorial procedural system recognizing the principle of instruction 437
2.3 Legality and discretion in sentencing 438
3 Human rights requirements as regards the sentencing process and the enforcement of sentences 441
3.1 The defendant as an active participant of the criminal procedure 441
3.2 Human rights requirements in the sentencing process 442
3.3 Human rights requirements in the enforcement of sentences 443
4 Position of the independent judge and responsibility for fairness 445
5 Judicial discretion within a framework 447
6 Sentencing by non-judicial entities 448
7 Administrative discretion in the execution of sentences 448
8 Conclusion 450

Judicial and administrative discretion in sentencing and enforcement of sentences in the Spanish legal system 453
José Luis Ramírez Ortiz and José Antonio Rodríguez Sáez
1 Introduction: the regulatory framework 453
2 The principle of legality in criminal sanctions 455
3 Relevant human rights at the time of sentencing and enforcement 459
4 Judicial discretion in general: the position of the independent and responsible judge to ensure the fairness of the decision 460
5 The framework of judicial discretion 466
6 Determination of the penalty by non-judicial entities 473
7 Administrative discretion in the enforcement of sentences 473
8 Conclusions 476

Judicial and administrative discretion in sentencing and enforcement of sentences in Switzerland 479
Stefan Trechsel
1 Introduction 479
2 The principle of legality and the rule of law as regards criminal punishment 479
2.1 The role of human rights in Swiss Law 479
2.2 The elements of ncsl 482
2.3 The elements of ncsl 483
2.3.1 The essential elements in sentencing 483
2.3.2 Intermediate results 486
3 Human rights requirements as regards the sentencing process and the enforcement of sentences 486
3.1 The sentencing process 487
3.2 The execution of sentences 487
3.2.1 Preliminary observations 487
3.2.2 Variations in the duration of imprisonment 487
3.2.3 Human rights relevant to the quality of prison life 488
4 The position of the independent judge 489
5 Judicial discretion within a framework: guidelines, mandatory sentencing, etcetera 489
6 Sentencing by non-judicial entities 490
7 Administrative discretion in the execution of sentences 490
8 Conclusion 491

The IPPF’s future follows from its 150-year-old history 493
L’avenir de la FIPP résulte de ses 150 ans d’histoire 499

About the International Penal and Penitentiary Foundation 505
À propos de la Fondation Internationale Pénale et Pénitentiaire 507