Opinion
Penal Code section 1385, subdivision (a)
1
authorizes a trial court to “order an action to be dismissed” if the dismissal is “in furtherance of justice.” Our case law has construed section 1385 to permit a court to dismiss individual counts in accusatory pleadings
(People v. Polk
(1964)
In this case, we must decide whether a trial court may rely on section 1385 to do something other than dismiss the charges or allegations in a criminal action—i.e., whether a trial court may invoke section 1385 to *1135 disregard “sentencing factors.” 3 Here, the trial court relied on petitioner’s prior serious felony conviction and resulting prison term to deem him ineligible for mandatory probation and drug treatment under the Substance Abuse and Crime Prevention Act of 2000 (Proposition 36). Proposition 36, which was adopted by the voters in the November 2000 election, mandates probation and drug treatment for certain nonviolent drug offenders but excludes from the program other offenders—such as petitioner—who have previously committed serious or violent felonies and have not remained free of prison custody for five years. (§ 1210.1, subd. (b)(1).) The Court of Appeal held that the trial court had the power under section 1385 to disregard petitioner’s criminal history, even though petitioner’s ineligibility was not a charge or allegation in the information that could be dismissed, and remanded for the trial court to reconsider its sentence. We reverse, and hold instead that trial courts may not use section 1385 to disregard “sentencing factors” that are not themselves required to be a charge or allegation in an indictment or information.
Background
The Los Angeles County District Attorney charged petitioner with possession of methamphetamine and alleged a prior “strike,” arising from his 1995 conviction for assault with a deadly weapon (§ 245, subd. (a)(1)), as well as a prior prison term enhancement (§ 667.5, subd. (b)), arising from the same conviction. Petitioner pleaded not guilty and filed separate requests to have the trial court dismiss the “strike” allegation, so as to avoid the “Three Strikes” law, and to disregard “the prior or count being used to disqualify [him] from Proposition 36.”
At a hearing, petitioner conceded that he was ineligible for mandatory drug treatment under Proposition 36, in that he had been convicted of a serious felony and had failed to remain free of custody for the five years preceding his nonviolent drug possession offense. He urged the court to invoke section 1385 to transform his eligibility. When the court agreed to dismiss the alleged strike but found that the fact of the prior conviction and resulting prison term rendered him “ineligible in this court’s opinion for Proposition] 36 treatment,” petitioner entered a plea of no contest. The court sentenced petitioner to the low term of 16 months and awarded credits of 189 days.
*1136 Petitioner filed a notice of appeal and, very shortly thereafter, also filed a petition for writ of habeas corpus in the Court of Appeal, seeking a declaration that trial courts, by invoking section 1385, may disregard the eligibility factors enacted as part of Proposition 36. The Court of Appeal issued an order to show cause and, in a published opinion, held that trial courts could rely on section 1385 to disregard “historical facts” in determining a defendant’s eligibility under Proposition 36. Based on its belief that the trial court had been unaware of this discretion, the Court of Appeal granted the writ and ordered the trial court to reconsider petitioner’s sentence.
Discussion
Proposition 36 outlines an alternative sentencing scheme for those convicted of certain narcotics offenses. In effect, it acts as an exception to the punishment specified in an individual narcotics offense.
Section 1210.1, subdivision (a), which was added to the Penal Code by Proposition 36, provides that “any person convicted of a nonviolent drug possession offense shall receive probation. As a condition of probation the court shall require participation in and completion of an appropriate drug treatment program. ... A court may not impose incarceration as an additional condition of probation.” Petitioner’s current offense, possession of methamphetamine in violation of Health and Safety Code section 11377, subdivision (a), qualifies as a nonviolent drug possession offense. (Pen. Code, § 1210, subd. (a).)
The mandate of probation and treatment, however, does not apply to five defined classes of defendants:
“(1) Any defendant who previously has been convicted of one or more serious or violent felonies in violation of subdivision (c) of Section 667.5 or Section 1192.7, unless the nonviolent drug possession offense occurred after a period of five years in which the defendant remained free of both prison custody and the commission of an offense that results in (A) a felony conviction other than a nonviolent drug possession offense, or (B) a misdemeanor conviction involving physical injury or the threat of physical injury to another person.
“(2) Any defendant who, in addition to one or more nonviolent drug possession offenses, has been convicted in the same proceeding of a misdemeanor not related to the use of drugs or any felony.
“(3) Any defendant who: [If] (A) While using a firearm, unlawfully possesses any amount of (i) a substance containing either cocaine base, *1137 cocaine, heroin, methamphetamine, or (ii) a liquid, nonliquid, plant substance, or hand-rolled cigarette, containing phencyclidine. ffl] (B) While using a firearm, is unlawfully under the influence of cocaine base, cocaine, heroin, methamphetamine, or phencyclidine.
“(4) Any defendant who refuses drug treatment as a condition of probation.
“(5) Any defendant who (A) has two separate convictions for nonviolent drug possession offenses, (B) has participated in two separate courses of drug treatment pursuant to subdivision (a), and (C) is found by the court, by clear and convincing evidence, to be unamenable to any and all forms of available drug treatment. Notwithstanding any other provision of law, the trial court shall sentence such defendants to 30 days in jail.” (§ 1210.1, subd. (b)0
Petitioner concedes that he is statutorily ineligible for the benefits of Proposition 36. He was convicted of assault with a deadly weapon in 1995 and was not released from prison until 1998, less than three years before he committed his current drug offense. But the Court of Appeal, reasoning that he could become eligible if the trial court were to disregard these historical facts, held that section 1385 could give him what the electorate did not. We disagree with the Court of Appeal.
“The
only
action that may be dismissed under Penal Code section 1385, subdivision (a), is a criminal action or a part thereof.”
(People
v.
Hernandez, supra,
*1138
It also would be inconsistent with our description of the
effect
of a section 1385 dismissal. As we have repeatedly emphasized, dismissal of a prior conviction allegation under section 1385 “is not the equivalent of a determination that defendant did not in fact suffer the conviction.”
(People v. Burke, supra,
Petitioner concedes that dismissal of a prior conviction allegation does not ordinarily eliminate the fact of the conviction but, quoting
People
v.
Burke,
contends that the underlying fact may only be “considered . . . with
later
convictions.” Thus, in petitioner’s view, once the trial court has dismissed the “strike” allegation, the fact of the prior conviction can be used only in
subsequent
proceedings. Petitioner misreads
Burke.
As we explained in
People v. Garcia, supra,
Our conclusion that section 1385 may be used to dismiss sentencing allegations—but not sentencing factors—finds additional support in the law governing deferred entry of judgment, which is analogous to Proposition 36.
(People v. Superior Court (On Tai Ho)
(1974)
As in section 1210.1, nothing in the deferred-entry-of-judgment statutes requires that the defendant’s ineligibility be alleged in the information or indictment. In
Sledge
v.
Superior Court
(1974)
We therefore hold that a trial court’s power to dismiss an “action” under section 1385 extends only to charges or allegations and not to uncharged sentencing factors, such as those that are relevant to the decision to grant or deny probation (e.g., Cal. Rules of Court, rule 4.414(b)(1)) or to select among the aggravated, middle, or mitigated terms (e.g., id., rule 4.421(b)(1)). Section 1210.1, like the deferred-entry-of-judgment statutes, does not require that the basis for a defendant’s ineligibility be alleged in the accusatory pleading. In the absence of a charge or allegation, there is nothing to order dismissed under section 1385. The Court of Appeal thus erred in finding uncharged historical facts could be disregarded under section 1385.
Anticipating our holding regarding the scope of section 1385, petitioner urges us to find an implied pleading and proof requirement in section 1210.1. “Once a defendant’s ineligibility is alleged,” he reasons, “it can then be dismissed under section 1385, rendering the defendant eligible for Proposition 36.”
*1140
There is authority for finding an implied pleading and proof requirement in criminal statutes. In
People v. Lo Cicero
(1969)
However, this case differs from
Lo Cicero
in one key respect: petitioner’s prior conviction and the resulting prison term did not eliminate his opportunity to be granted probation. Although petitioner was ineligible for probation under the terms of section 1210.1, he
was
eligible for probation under section 1203, subdivision (e).
5
Thus, unlike
Lo Cicero,
this is not a case where the prior conviction absolutely denied a defendant the opportunity for probation. Rather, this case more closely resembles
People v. Dorsch
(1992)
We agree with
Dorsch.
(See generally
People
v.
Wiley
(1995) 9 CalAth 580, 586-587 [
Petitioner’s final argument is that if a pleading requirement is not implied as a matter of statutory construction, it should be compelled as a matter of due process. We note, at the outset, that petitioner has not identified any case holding that a defendant is entitled as a matter of due process to notice in the accusatory pleading of his ineligibility for less restrictive alternate punishments. And, although there has been a flurry of recent cases outlining the scope of due process at sentencing, none supports the birthing of a pleading requirement here. Indeed, those cases prove just the opposite.
One line of cases, exemplified by
Apprendi, supra,
The other line of cases, exemplified by
McMillan v. Pennsylvania
(1986)
477
U.S. 79 [
*1143
Nothing in
People v. Mancebo
(2002)
Thus, due process does not require the prosecutor to charge in the information the fact of a defendant’s ineligibility for mandatory probation and drug treatment under section 1210.1. “ ‘Where the law permits the heaviest punishment, on a scale laid down, to be inflicted, and has merely committed to the judge the authority to interpose its mercy and inflict a punishment of a lighter grade, no rights of the accused are violated though in the indictment there is no mention of mitigating circumstances.’”
(Harris, supra,
In the absence of a charge or allegation concerning petitioner’s ineligibility under subdivision (b) of section 1210.1, there was nothing for a court, acting under section 1385, to dismiss that could render petitioner eligible for mandatory probation and treatment under Proposition 36. The Court of Appeal erred in supposing otherwise.
Finally, we believe our holding best accords with the ballot summary, argument, and analysis of Proposition 36 distributed to voters for the
*1144
November 7, 2000, General Election.
7
Proponents of the measure assured voters that “Proposition 36 is
strictly limited’'’
and that individuals, such as petitioner, “previously convicted of violent or serious felonies . . .
will not be eligible
for the treatment program unless they’ve served their time and have committed no felony crimes for five years. If convicted of a non-drug crime along with drug possession, they’re
not eligible.
If they’re convicted of selling drugs, they’re
not eligible.”
(Ballot Pamp., Gen. Elec. (Nov. 7, 2000) argument in favor of Prop. 36, p. 26, italics added; see also
id.,
analysis of Prop. 36 by Legis. Analyst, pp. 23-24.) “Thus, the measure expressly excludes from the probation and drug treatment program violent and serious criminals unless certain very circumscribed conditions are met.”
(People v. Superior Court (Turner)
(2002)
Petitioner has no one but himself to blame for his predicament. Even nonviolent drug offenders who have previously committed serious or violent felonies may be eligible for Proposition 36 probation and treatment if, during the relevant five-year period, they have remained free of prison custody and have not committed certain other felonies or misdemeanors. (§ 1210.1, subd. (b)(1).) Indeed, this petitioner was originally sentenced to probation for his 1995 conviction for assault with a deadly weapon. Had he successfully completed probation (and thereby avoided prison), he would have satisfied the terms of Proposition 36. That petitioner instead chose to violate probation in that earlier case, was only then sentenced to prison, and now has committed a new offense less than five years after his release, places him in the narrow category of persons the voters have deemed ineligible for this special benefit. We perceive no unfairness in enforcing the eligibility criteria as written.
Disposition
The judgment of the Court of Appeal is reversed.
George, C. J., Kennard, J., Werdegar, J., Chin, J., Brown, J., and Moreno, J., concurred.
Notes
All further statutory references are to the Penal Code unless otherwise noted.
We use the term “strike” to describe “a prior felony conviction that qualifies a defendant for the increased punishment specified in the Three Strikes law.”
{People v. Fuhrman
(1997)
A “sentencing factor” is “a circumstance, which may be either aggravating or mitigating in character, that supports a specific sentence
within the range
authorized by the jury’s finding that the defendant is guilty of a particular offense.”
(Apprendi v. New Jersey
(2000)
This distinction accords with the text of section 1385, which authorizes a court to order an action to be dismissed—not to order that particular facts be disregarded.
Petitioner also could have received drug treatment as a condition of probation. (Health & Saf. Code, § 11373, subd. (a).)
petitioner argues that Dorsch was wrongly decided in that it ignored section 969, the final sentence of which states: “If more than one previous conviction is charged, the date of the judgment upon each conviction may be stated, and all known previous convictions, whether in this State or elsewhere, must be charged.” Petitioner is mistaken. Section 969 does not itself articulate a duty to charge prior convictions but simply specifies, once a duty to charge a prior conviction is imposed by some other law, that all such priors be charged. (See §§ 969a, 969.5.)
We hereby grant the People’s request for judicial notice of the ballot pamphlet materials relating to Proposition 36.
(People v. Superior Court (Romero), supra,
