Lead Opinion
Opinion
Penal Code section 1385, subdivision (a) provides in relevant part: “The judge . . . may, either of his or her own motion or upon the application of the prosecuting attorney, and in furtherance of justice, order an action to be dismissed.”
A century of judicial decision, looking to the Legislature’s intent in enacting Penal Code section 1385, has construed its provisions to be “mandatory,” so that an order of dismissal is ineffective in the absence of a written statement of reasons entered upon the minutes. Despite the multitude of decisions adopting this construction, defendants contend section 1385 actually means something else. They invite us to adopt an interpretation that will preserve an order of dismissal entered without a written statement of reasons entered upon the minutes if the appellate court is able to discern the trial court’s reasoning from some other portion of the record. Defendants’ construction has some appeal, particularly where, as here, the trial court’s reasons unambiguously appear in the transcript of the oral proceedings. Nonetheless, that the settled meaning of section 1385 in some instances renders compliance with its mandate inefficient does not justify the conclusion that the Legislature that enacted it intended something different, particularly when valid reasons existed and continue to exist for the long-standing interpretation. We also reject defendants’ argument that the district attorney waived the error by failing to inspect the written record after the hearing to ensure that the trial court had complied with section 1385’s requirements.
We therefore affirm the judgment of the Court of Appeal reversing the orders of dismissal. However, because the Court of Appeal made no further order, defendants currently stand convicted of all charges and enhancements, a result at odds with both the trial court’s evident intent and defendants’ understanding that their admission of guilt would lead to dismissal of the enhancements. We therefore remand the matter to the Court of Appeal with directions to allow the trial court either to correct the error by again ordering dismissal, setting forth its reasons in an order entered upon the minutes, or to reconsider its decision and take appropriate action including, if necessary, proceeding as if the order had not been entered in the first instance.
On July 8, 2004, defendant Thomas Bonnetta was a passenger in a car stopped by a deputy sheriff. Behind Bonnetta’s seat, the deputy found two cans of lye, a substance used in manufacturing methamphetamine. After learning Bonnetta was on parole, the deputy conducted a parole search of a residence Bonnetta shared with defendant Michael Claude Wilen. That search and a later one conducted pursuant to a warrant led to the discovery of materials, equipment, and documents suggesting defendants were involved in an ongoing operation for the manufacture and sale of methamphetamine. One of the items seized was a five-gallon jug filled with a bilayered liquid that when tested indicated the presence of methamphetamine. Bonnetta told investigating officers he was “pulling pills,” a reference to the act of “pulling” pseudoephedrine from cold medication.
Bonnetta and Wilen were jointly charged with manufacturing methamphetamine (Health & Saf. Code, § 11379.6, subd. (a)), possessing components to manufacture methamphetamine (id., § 11383, former subd. (c)(1)), possessing specified chemicals with the intent to manufacture methamphetamine (id., § 11383, former subd. (g)), and possessing methamphetamine for sale (id., § 11378). Wilen was charged additionally with separate counts of possessing components to manufacture methamphetamine and possessing laboratory glassware or apparatus with an intent to manufacture methamphetamine (id., §§ 11383, former subd. (g), 11104.5).
The information also included numerous allegations that, if found true, would support or require enhancements to any terms of imprisonment imposed upon judgments convicting defendants of the charged offenses. It was alleged the substance defendants used in manufacturing methamphetamine exceeded three gallons of liquid by volume or one pound of solid substances by weight, an allegation that if true supports a three-year enhancement under Health and Safety Code section 11379.8, subdivision (a)(1). It was alleged Bonnetta had suffered a number of prior drug-related convictions, each supporting a three-year enhancement under Health and Safety Code section 11370.2, subdivision (c). It was alleged that two of those convictions, and an additional conviction for being a felon in possession of a firearm, were felonies for which Bonnetta had served a term in prison, so that one-year enhancements for each conviction were required by Penal Code section 667.5, subdivision (b). And it was alleged Wilen had suffered one prior drug-related felony conviction supporting Health and Safety Code section 11370.2’s three-year enhancement and had suffered seven prior convictions for purposes of one-year enhancements required by Penal Code section 667.5, subdivision (b).
As the prosecutor had foreseen, the court reached the agreed-upon terms by striking most of the enhancements. The court struck the allegations concerning the quantity of the substance in the jug found at defendants’ residence, stating that after reviewing the preliminary hearing testimony it could not find beyond a reasonable doubt the prosecutor would be able to prove the jug contained more than three gallons of liquid by volume or one pound of solid substances by weight. The court imposed a three-year term for a drug-related conviction suffered by Bonnetta in 2000, but struck all of Bonnetta’s other drug-related enhancements, explaining they were old and remote or that it was striking them in the interest of justice, to achieve parity in sentencing, and to facilitate the speedy resolution of the matter. The court imposed a one-year term for one of Wilen’s prior convictions, but struck all the other allegations of prior convictions, explaining they were remote. The court’s decision was reduced to an order entered upon the minutes, but the written order did not set forth any of the court’s reasons for striking the enhancements.
The People appealed, contending the trial court had abused its discretion by striking the enhancements and that the orders were ineffective because the court had not set forth its reasons for the dismissals in an order entered upon the minutes. The Court of Appeal agreed and reversed the orders striking the additional terms of imprisonment required or authorized by the enhancement allegations.
DISCUSSION
I.
Penal Code sections 1385 and 1386, enacted in 1872, codify California’s rejection of the English rule of nolle prosequi, under which the prosecutor alone had authority to discontinue a prosecution, in favor of granting sole
The cases have long held a dismissal without a written statement of reasons is invalid and of no effect regardless of the reviewing court’s belief that the reasons for the dismissal can be discerned from other portions of the record. Thus, 100 years ago, in People v. Disperati (1909)
Numerous cases have taken the same view, emphasizing that the public declaration inherent in a written order is a purposeful restraint, that Penal Code section 1385’s requirements are not directory and may not be disregarded, and that a reporter’s transcript showing the trial court’s motivation is not enough; the minutes must reflect the reason. (E.g., People v. Superior Court (Pipkin) (1997)
The Court of Appeal, although reversing the dismissals here under the compulsion of stare decisis, urged the adoption of a new rule allowing a reviewing court to examine the transcripts of the oral proceedings for a trial court’s reasons for its decision to dismiss, so that a court’s failure to comply with the letter of Penal Code section 1385 might be deemed harmless error under article VI, section 13 of the California Constitution. In support, defendants point out that the constitutional provision was added in 1911, postdating the enactment of section 1385 and the Disperati court’s construction of the statute’s requirement of a statement of reasons.
There is little reason, however, to suppose the court in People v. Disperati, supra, 11 Cal.App. 469, would have reached a different conclusion had California’s Constitution at that time included the harmless error standard. The court condemned the practice of failing to state reasons, warning of the abuse that “is likely to follow” and speaking of the “invasion of the authority of a co-ordinate branch of the government.” (Disperati, at p. 477.) Such language is wholly inconsistent with the concept of harmless error. Moreover, while Disperati was decided two years before the harmless error standard was added to the state’s Constitution, the vast majority of the decisions holding Penal Code section 1385’s requirement to be mandatory came later, still emphasizing that the harm was not that some injustice had taken place in the action under review, but that the practice could lead to abuse. As we said in People v. Orin, supra,
While the Legislature has amended Penal Code section 1385 on several occasions, it has never altered the language requiring that the reasons
Nevertheless, because the Legislature has not expressly endorsed the judicial construction of Penal Code section 1385, theoretically we are not precluded from reversing course; we could conclude that despite the venerability of the judicial construction and the Legislature’s acquiescence, the Legislature when enacting section 1385 intended its requirements to be merely directory. But that California in 1911 adopted the doctrine of harmless error does not make out a compelling case for reconsidering the Legislature’s intent in 1909. The task of the courts is to determine what the Legislature intended at the time it enacted a statute, not to speculate on what the Legislature might have done had it enacted the statute at a later time when other factors were present. In short, we are not persuaded the historic construction of Penal Code section 1385 was wrong. If the Legislature thinks otherwise, it may amend the section to conform to its view of whether the section’s requirement should be mandatory.
Having concluded Penal Code section 1385 states a mandatory requirement, we have no reason to consider whether a violation of its provisions might be deemed harmless. Nonetheless, in response to the argument that there is no logical reason to hold invalid a dismissal if the trial court had discretion to grant it, we find it useful again to note that the purpose of the requirement is to allow review of the trial court’s reasons for ordering dismissal. “[W]e are dealing not with a pure question of law but with the exercise of a trial court’s discretion. It would be incongruous for an appellate court, reviewing such order, to rely on reasons not cited by the trial court. Otherwise, we might uphold a discretionary order on grounds never considered by, or, worse yet, rejected by the trial court. And, if the appellate court is free to scour the record for other reasons to support the dismissal, or accept
II.
Defendants also argue the district attorney waived the error by failing to remind the court of the necessity of a written order and later failing to take corrective action. They cite People v. Scott (1994)
III.
The People, under authority of People v. Superior Court (Romero), supra,
Nonetheless, as the trial court’s order of dismissal is ineffective, the matter must be remanded at least for the purpose of allowing the trial court to correct the defect by setting forth its reasons in a written order entered upon the minutes. Alternatively, on remand the trial court may, but need not, revisit its earlier decision, as on reflection it might determine its reasoning was flawed or incomplete. Judicial economy is furthered by allowing the trial court to correct what, upon reconsideration and reflection, it perceives to have been an unwarranted dismissal, or to consider if a dismissal should be ordered for some new or different reason. In such cases, the court must also have the power to take action such as reconvening the sentencing hearing or allowing a defendant to withdraw a plea entered on the understanding a count or an enhancement would be dismissed. (See People v. Bradley (1998)
The cause is remanded to the Court of Appeal to enter judgment reversing the judgments of conviction and, in turn, remand the matter to the trial court for proceedings consistent with the views we have expressed herein.
George, C. J., Baxter, J., Chin, J., Moreno, J., and Corrigan, J., concurred.
Notes
Penal Code section 1385 reads in its entirety:
“(a) The judge or magistrate may, either of his or her own motion or upon the application of the prosecuting attorney, and in furtherance of justice, order an action to be dismissed. The*146 reasons for the dismissal must be set forth in an order entered upon the minutes. No dismissal shall be made for any cause which would be ground of demurrer to the accusatory pleading.
“(b) This section does not authorize a judge to strike any prior conviction of a serious felony for purposes of enhancement of a sentence under Section 667.
“(c)(1) If the court has the authority pursuant to subdivision (a) to strike or dismiss an enhancement, the court may instead strike the additional punishment for that enhancement in the furtherance of justice in compliance with subdivision (a).
“(2) This subdivision does not authorize the court to strike the additional punishment for any enhancement that cannot be stricken or dismissed pursuant to subdivision (a).”
Penal Code section 1386 provides: “The entry of a nolle prosequi is abolished, and neither the Attorney General nor the district attorney can discontinue or abandon a prosecution for a public offense, except as provided in Section 1385.”
See also People v. Hunt (1977)
A 1951 amendment substituted “prosecuting attorney” for “District Attorney,” authorized the dismissal of an “action” instead of an “action or indictment,” and added the sentence: “No dismissal shall be made for any cause which would be ground of demurrer to the accusatory pleading.” (Stats. 1951, ch. 1674, § 141, p. 3857.) A 1980 amendment substituted “judge or magistrate” for “court.” (Stats. 1980, ch. 938, § 7, p. 2968.) A 1986 amendment placed what had been the entire section into a subdivision (a) and added subdivision (b). (Stats. 1986, ch. 85, § 2, p. 211.) And a 2000 amendment added subdivision (c). (Stats. 2000, ch. 689, § 3.)
It nonetheless is true that a trial court’s failure to set forth its reasons for a dismissal on the written record will not lead to reversal when it implements a plea bargain between the district attorney and the defendant. As we recognized in People v. Orin, supra,
Dissenting Opinion
Penal Code section 1385, subdivision (a), requires that the reasons for a trial court’s dismissal of a criminal action “be set forth in an order entered upon the minutes.” (All further statutory references are to the Penal Code.) This court has said that this legislative directive is mandatory and that noncompliance results in an automatic reversal of the trial court’s judgment. (People v. Superior Court (Romero) (1996)
In this case, the Court of Appeal pointed out that strict adherence to this rule can be a waste of judicial time and resources, and it asked this court to reexamine the rule and to allow appellate courts to determine whether in a particular case noncompliance with section 1385 can be harmless error. My colleagues do not share those views. I do, as explained below.
I
Section 1385 was enacted by the Legislature in 1872. Back then, all but the most trivial of trial errors were presumed to be prejudicial, resulting in reversals of trial court judgments. (People v. Watson (1956)
Whatever legal justifications may have existed for this automatic reversal rule at the time of the Court of Appeal’s decision in People v. Disperati, supra,
The purposes for requiring a trial court to state its reasons for a dismissal are (1) to promote judicial accountability so as to protect the public interest in not allowing improper or corrupt dismissals (People v. Orin, supra,
II
Because of this court’s statements in People v. Superior Court (Romero), supra,
In neither of these two decisions was this conclusion critical to the outcome. At issue in People v. Superior Court (Romero), supra,
Under federal law, automatic or per se reversal of a judgment is required only for “structural error,” that is, error—such as the denial of counsel, the denial of a jury, or the lack of an impartial judge—that cannot be assessed in the context of other evidence in order to determine whether the error was prejudicial. (E.g., Arizona v. Fulminante (1991)
