Recognising foreign convictions during the sentencing phase: Turning a blind eye to equality?
| Author | Nele Audenaert,Wendy De Bondt |
| DOI | http://doi.org/10.1177/20322844221122200 |
| Published date | 01 September 2022 |
| Date | 01 September 2022 |
Article
NewJournalofEuropeanCriminalLaw
2022,Vol.13(3)294–313
©TheAuthor(s)2022
Articlereuseguidelines:
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DOI:10.1177/20322844221122200
journals.sagepub.com/home/nje
Recognisingforeignconvictions
duringthesentencingphase:
Turningablindeyetoequality?
NeleAudenaertandWendyDeBondt
GhentUniversity,Gent,Belgium
Abstract
Theinternationalvalidityofconvictionscanhardlybecalledanewtopic,certainlynotwithin
aEuropeanUnioncontext.WithintheEU,mutualrecognitionofforeignconvictionshasbeen
acceptedasaleadingprinciple.Therefore,italreadygainedconsiderableattention,bothoftheEU
legislatorandoflegalscholars.However,analysisrevealsthatmutualrecognitionofforeign
convictionshasonlybeenanchoredpartiallyinthecurrentEUlegalframework.Whereasforeign
convictionsarerelevantindifferentphasesofthecriminalprocedure,mutualrecognitioninone
particularphaselacksadequateanchoring.Therecognitionofaforeignconvictionshasbeendealt
withinrelationto‘theprosecutionphase’and‘theexecutingphase’,buthasbeenlargelyleftto
MemberStatediscretionfor‘thesentencingphase’thatcomesinbetweenthosephases.Asaresult,
someMemberStateshaveoptedforsentencinglawswhichpartiallyorevencompletelydisregard
theexistenceofrelevantforeignconvictions,whereasotherMemberStateshaveoptedfor
sentencinglawswhich–inthespiritofmutualrecognition–treatforeignconvictionsasifitwere
nationalconvictions.Thiscontributionwillarguethataninfringementoftheequalityprincipleis
possiblyatstake–notsomuchbetweenthesetwotypesofMemberStates,butwithinMember
Statesthatpartiallyorcompletelydisregardforeignconvictionsduringsentencing.Itdoessowith
specificreferencetothecaselawofboththeCourtofJusticeoftheEuropeanUnionandthe
EuropeanCourtofHumanRights.
Keywords
Mutualrecognition,foreignpriorconviction,sentencing,equality,multioffenders,caselawanalysis
Correspondingauthors:
WendyDeBondt,GhentUniversity,Universiteitstraat4,Gent,9000,Belgium.
Email:Wendy.DeBondt@Ugent.be
NeleAudenaert,GhentUniversity,Universiteitstraat4,9000Ghent,Nele.
Email:Audenaert@Ugent.be
Introduction:Thegapinthemutualrecognitionframework
Theintroductionofthefreemovementprincipleencouragedpeopletomovearoundwithinthe
EuropeanUnion.ItalsomeantthatpeoplewhohadbeenconvictedinoneMemberStatecould
travelandcouldbecaughtandprosecutedelsewhereintheEuropeanUnionforothercrimes
committed.Indoingso,questionsarosewithrespecttothepositionofforeignpriorconvictionsin
thecourseofanewcriminalproceeding.ItexposedthenecessitytoelaborateontheEU’sposition
withrespecttotheinternationalvalidityofforeignconvictions.Beforetheformalintroductionof
mutualrecognitionasanoverarchingleadingprinciple,theissuewasalreadyaddressed,beit
fragmentarily.ThedevelopmentofthisEUpolicylinereallygotairbornewiththeEuropean
recognitionofthenebisinidem-principle.Art.54CISAanchoredtherulethatapersonwhosetrial
hasbeenfinallydisposedofinoneContractingParty,maynotbeprosecutedinanotherContracting
Partyforthesameacts.
1
Indoingso,theimpactofforeignpriorconvictionsfounditswayintothe
EUlegislativeframework.
Upontheintroductionofmutualrecognitionasanoverarchingleadingprinciple–shaping
judicialcooperationintheEU–ahelicopterviewwastakenontheimpactofforeignprior
convictionsandtheeffectofthatviewcouldbefeltthroughoutthecriminalprocedure.Fromthat
pointforward,gradually,mutualrecognitionofforeignconvictionsbroadenedinscope.Instrument
uponinstrumentwasadoptedinwhichMemberStatescommittedthemselvestorecognisingforeign
convictionsduringboth‘theprosecutionphase’and‘theexecutionphase’ofacriminalprocedure.
2
Witheverynewinstrumentadopted,thelackofattentionfor‘thesentencingphase’becamemore
andmoreapparent,notwithstandingitbeingclearthatpriorconvictionsmayalsohavesignificant
bearingonsentencing.
Finally,in2008,theEUadoptedtheCouncilFrameworkDecision2008/675/JHAentitled
“takingaccountofconvictionsintheMemberStatesoftheEuropeanUnioninthecourseofnew
criminalproceedings”
3
(hereafter:FDPriorConvictions).ThisFrameworkDecisionstipulatesthat
–asaprinciplerequirement–foreignpriorconvictions–providedofcoursetheyarehandeddown
inanotherEUMemberState–shouldbetakenintoaccountintheentirecourseofanewcriminal
procedure.Toclarifythemeaningthereof,theFrameworkDecisionexplainsthatthisrequiresEU
MemberStatestoattachthesameoratleastequivalentlegaleffectstoaforeignconvictionwhen
comparedtoanationalconviction.Indoingso,theFrameworkDecisioneffectivelyintroducesthe
so-called“equivalenceprinciple”.WithinanEUcontext,aforeignpriorconvictionshouldhavean
effectthatisequivalenttotheeffectanationalpriorconvictionwouldhave.Differentlyput,the
origin–or“nationality”ifyouwant–oftheconvictionoughttobecomeobsolete.Indoingsothe
generalequalityprinciplehadbeen“translated”andhadbeenmadeapplicableina“cross-border”
sentencingcontext,i.e.asentencingcontextinwhichforeignpriorconvictionsareinvolved.
Ofcourse,thepoliticalcompromiseenshrinedinthetextoftheFrameworkDecisionincluded
someexceptionstothisrequirement.Apparently,notallMemberStatesfeltcomfortablewiththe
potentialimpactofimplementingthisequivalenceprinciplewithoutanyexception.Tothatend
Article3(5)FDPriorConvictionswasintroduced.PursuanttothisArticle,EUMemberStatesare
1.Art54CISAfurtherreads:“…providedthat,ifapenaltyhasbeenimposed,ithasbeenenforced,isactuallyintheprocess
ofbeingenforcedorcannolongerbeenforcedunderthelawsofthesentencingContractingParty”.
2.NeleAudenaertandWendyDeBondt,‘SettingtheScene:WhyStudyMulti-Offenders?’inNeleAudenaertandWendy
DeBondt(eds),ProsecutingandPunishingMulti-OffendersintheEU(Gompel&Svacina2021).
3.CouncilFrameworkDecision2008/675/JHAontakingaccountofconvictionsintheMemberStatesoftheEuropean
Unioninthecourseofnewcriminalproceedings[2008]OJL220/32.
AudenaertandDeBondt295
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