People v. AndreottiPeople v. Andreotti
Opinion
May a trial court defer entry of judgment for a child molester, absent the People’s consent? No. Contrary to defendant’s view, a statute precluding judges from doing so does not violate the separation of powers doctrine.
The People charged defendant with eight counts of child molestation, alleging substantial sexual conduct as to one count. (
The Penal Code provides for pretrial diversion or deferred entry of judgment for a number of types of offenders. (E.g., §§ 1000 [certain drug offenses], 1000.12 [child abuse and neglect], 1001.60 [bad check diversion].) Generally, a case which is diverted is either not filed at all, or is suspended, pending the accused’s completion or failure to complete a rehabilitation program tailored to the particular problem. Generally, a case which is deferred is a case which has been filed, in which the defendant pleads guilty, but entry of judgment is postponed pending the criminal’s completion or failure to complete a tailored rehabilitation program. (Cf. § 1000.5 [permitting drug court programs which do not require a guilty plea].) The Damoclean pressure provided by the plea gives the criminal a strong incentive to comply with the program.
“(a) It is the intent of the Legislature that nothing in this chapter deprive a prosecuting attorney of the ability to prosecute any person who is suspected of committing any crime in which a minor is a victim of an act of molestation, abuse, or neglect to the fullest extent of the law, if the prosecuting attorney so chooses.
“(b) Except as provided in subdivision (c), in lieu of prosecuting a person suspected of committing any crime, involving a minor victim, of an act of abuse or neglect, the prosecuting attorney may refer that person to the county department in charge of public social services or the probation department for counseling or psychological treatment and such other services as the department deems necessary. The prosecuting attorney shall seek the advice of the county department in charge of public social services or the probation department in determining whether or not to make the referral.
“(c)(1) In lieu of trial, the prosecuting attorney may make a motion to the trial court to defer entry of judgment with respect to any crime charged in which a minor is a victim of an act of molestation or sexual abuse, provided that the defendant pleads guilty to all crimes and enhancements charged. Upon that motion and defendant’s plea of guilty to all charges and enhancements, the court may defer entry of judgment, contingent upon the defendant’s referral to, and completion of, a treatment program approved by the prosecuting attorney. Upon the defendant’s successful completion of the treatment program, and upon the positive recommendation of the treatment program authority and the motion of the prosecuting attorney, but no sooner than five years from the date of the defendant’s referral to the treatment program, the court shall dismiss the charge or charges against the defendant.
“(2) Upon any failure of treatment under the program described in paragraph (1), the prosecuting attorney may make a motion to the court for entry of judgment and the court shall, upon a finding of failure of treatment based on a preponderance of evidence, enter judgment upon the defendant’s pleas and admissions, and schedule a sentencing hearing as otherwise provided in this code.
“(3) The office of the prosecuting attorney shall promulgate eligibility standards for deferred entry of judgment and treatment of defendants described in paragraph (1), which shall include, but not be limited to [listing criteria, such as best interests of the victim, no prior offenses, etc.]. [^] . . . ra
“(4) Deferred entry of judgment shall be granted upon the following terms [listing conditions, including counseling, abstention from substance abuse, etc.].” (§ 1000.12.)
As stated, the trial court found defendant eligible and “suitable” for deferral, and defendant presumably would have pleaded guilty to all charges and met all other conditions of this section, had the People offered him that choice.
Although the Legislature intended that this provision could not be used to “deprive a prosecuting attorney of the ability to prosecute any person . . . if the prosecuting attorney so chooses” (§ 1000.12, subd. (a)), defendant maintains that because of the separation of powers doctrine the Legislature could not constitutionally prevent a trial court from invoking this provision even where, as here, the People wish to prosecute a defendant in the normal way. The People do not argue that this explicit legislative intent precludes a court from rewriting the statute so as to enable a trial court to impose its view of the case on the People, thus we need not
The California Supreme Court has recently emphasized the independence of the prosecutor, by endorsing a dissent by the late Justice Frank K. Richardson and abolishing a rule which had allowed a defendant to request instruction on uncharged offenses not embraced by the charged offenses: “Justice Richardson urged, among other things, that a rule allowing the defendant to obtain instructions on lesser uncharged and unincluded offenses interferes impermissibly ‘with . . . the prosecutor’s discretionary function to select the offenses of which the defendant may be charged and convicted.’ ” (People v. Birks (1998)
Here, of course, the nature of the charges is not at issue. The reasoning of Birks, however, leads us to conclude that the trial court properly declined to grant defendant’s request for deferred entry of judgment absent a motion by the district attorney.
Although the cases are not always easy to reconcile, two companion cases by the California Supreme Court generally plumb the line between judicial power to dispose of charges and prosecutorial power to select and press charges. On Tai Ho, supra,
However, the former statute purported to allow the People to veto a trial court’s decision at this second stage. (Former § 1000.2; Stats. 1972, ch. 1255, § 17, p. 2470 [“The defendant’s case shall not be diverted unless the district attorney concurs with the court’s determination”].) In On Tai Ho, the California Supreme Court found this prosecutorial veto over the trial court’s decision transgressed the separation of powers doctrine. The court rejected the view that the decision to divert was solely an executive decision, as follows: “The People contend that the decision to divert is merely an extension of the charging process, and hence remains within the traditional zone of the district attorney’s discretion. As we explained in Esteybar [v. Municipal Court (1971)
Critical to the decision in On Tai Ho was the fact the trial court had to make a factual finding of the defendant’s suitability (after the “preliminary screening” and probation report, and after a hearing). (On Tai Ho, supra, 11 Cal.3d at pp. 66-67.) To allow the People to set the trial court’s finding at naught would emasculate the judicial power.
This procedural fact was absent in the companion case,
In Sledge, the court did observe that the “preliminary screening” determination was subject to review on appeal from a judgment of conviction. (Sledge, supra, 11 Cal.3d at pp. 75-76 and fns. 5, 6; see People v. Brackett (1994)
Defendant posits the following: To invoke the statute, he must plead guilty to all charges. Once he has done so, the disposition of those charges becomes a judicial function. (See, e.g., People v. Tenorio, supra,
While this theory has superficial appeal, we do not view the statute as does defendant.
First, the requirement that a defendant plead guilty to all charges no doubt originated because of or in deference to Proposition 8, section 7 of which prohibits plea bargaining in serious felony cases, including child molestation cases like this one. (
Defendant points out that some crimes covered by the diversion statute are not “serious felonies” under Proposition 8, viz., “any crime in which a minor is a victim of an act of molestation, abuse, or neglect”
Second, because of the limitations of Proposition 8, a prosecutor faced with a defendant who molested a child, but did so in extremely unusual circumstances such that he, the victim, and society would be best served by an alternative to prison or probation (both of which result, in the end, in lifetime registration as a sex offender under § 290), has limited flexibility.
Third, as the Attorney General argues, section 1000.12 provides a solution of sorts: A prosecutor can (without political or social obloquy) accept a defendant’s offer to plead guilty “to all crimes and enhancements charged” and move for deferred entry of judgment. (§ 1000.12, subd. (c)(1).)
Fourth, then, and only then, does the judge take over: “Upon that motion and defendant’s plea ... the court may defer entry of judgment[.]” (§ 1000.12, subd. (c)(1).) This is where the trial court must find facts and exercise discretion, i.e., judge the matter before the court.
If the People had some sort of veto over this decision by the trial court, then this statute would indeed fall under the weight of On Tai Ho, supra,
In contrast, a trial court can no more order deferral over the wishes of the People than it could accept a plea bargain to lesser charges over their wishes. (See People v. Orin (1975)
The prosecutorial power is, indeed, mighty. “It is true, of course, that a prosecutor’s exercise of discretion to charge a defendant with a felony rather than a misdemeanor when the facts of the case would support either charge will frequently have a variety of effects on the ultimate judicial disposition of the matter. A prosecutor’s charging decision may, for example, determine whether a defendant is convicted of an offense for which probation may not be granted, or for which a specific punishment is mandated. Those familiar consequences of the charging decision have, however, never been viewed as converting a prosecutor’s exercise of his traditional charging discretion into a violation of the separation-of-powers doctrine.” (Davis v. Municipal Court, supra,
We recognize the statute in this case does not provide a judicial check (even impliedly, or postconviction) on the People’s decision whether or not to invoke the
And rightly so: Because the statute in effect amounts to a sentence bargain, which the trial court may or may not endorse, judicial review over the People’s choice is no more appropriate here than over the People’s choice not to plea bargain (or sentence bargain) in ordinary cases.
To the extent defendant suggests we should construe the statute so as to permit a trial court to grant deferral over the People’s wishes, we decline the invitation. What he wants is to have this court rewrite the statute under cover of “interpretation.” It is the Legislature’s job to draft statutes expressing its intention. (People v. Knowles (1950)
We agree with defendant that, as stated by the California Supreme Court, “whether a power is judicial in nature depends not on the procedural posture of the case, but on the substance of the power and the effect of its exercise.” (On Tai Ho, supra,
The fact, as defendant points out, that the statute does not explicitly mention a “bargain” is not dispositive. We agree with the Attorney General it is akin to a bargain, so much so that it falls safely on the executive side of the line demarcated by the separation of powers provision. (
The trial court correctly viewed its job under the statute as the duty to approve or disapprove of a plea bargain: “The court only performs a relatively ministerial act to facilitate the agreement reached between the district attorney and the . . . defendant.” The trial court’s role, however, is not “ministerial” as such. The trial court does not rubberstamp any agreement submitted by the parties, but protects the public by ensuring the interests of justice are served by the agreement. (On Tai Ho, supra,
Defendant’s protracted references to legislative documents surrounding the passage of subdivision (c) of section 1000.12 avail him naught, because the statute speaks for itself: Defendant has not pointed to any ambiguity calling for exploration of so-called legislative “history.” (Hughes v. Board of Architectural Examiners (1998)
Defendant’s elaborate argument concluding a defendant may make a motion under section 1000.12, subdivision (c) collapses when subdivision (a) is considered: Allowing a defendant to move for deferral would transgress the explicit legislative purpose set forth in subdivision (a).
Defendant faults the People for failing to adopt appropriate guidelines after the 1994 amendment providing for deferral after the filing of charges. Even if defendant is correct that the Placer County District Attorney is not in compliance with the current version of the statute, that does not entitle him to the relief he seeks, i.e., a deferred entry of judgment. For the reasons stated above, defendant’s eligibility, vel non, does not entitle him to a deferral, where the People do not invoke such procedure.
Disposition
The judgment (order granting probation) is affirmed.
Raye, Acting P. J., and Hull, J., concurred.
A petition for a rehearing was denied September 26, 2001, and the opinion was modified to read as printed above. Appellant’s petition for review by the Supreme Court was denied December 12, 2001. Kennard, J., and Chin, J., were of the opinion that the petition should be granted.