Lead Opinion
Opinion
Is imposition of a sentencing enhancement for personal use of a firearm discretionary or mandatory when the underlying offense is assault
Procedural Background
Defendant was convicted of various offenses including assault with a firearm. (§ 245, subd. (a)(2).) The jury also found he personally used a firearm in the commission of the assault. (See § 12022.5, subd. (a)(1).) Based on this finding, the trial court imposed an additional, consecutive midterm sentence for the enhancement.
Defendant appealed contending imposition of a personal use enhancement is discretionary when the underlying felony is assault with a firearm. (§ 12022.5(d); see People v. Campbell, supra,
Following the rationale of People v. Hill, supra,
Discussion
At the time of defendant’s offense, section 12022.5, subdivision (a), provided that a sentencing enhancement “shall” be imposed for “any person
Defendant takes the position that “may” is permissive, relying principally on People v. Campbell, supra,
Contending section 12022.5(d) is mandatory, the Attorney General argues “may” does not always denote discretion and relies on People v. Hill, supra,
Well-established principles guide our resolution of this conflict. “The fundamental purpose of statutory construction is to ascertain the intent of the lawmakers so as to effectuate the purpose of the law. [Citations.] In order to dеtermine this intent, we begin by examining the language of the statute. [Citations.] But ‘[i]t is a settled principle of statutory interpretation that language of a statute should not be given a literal meaning if doing so would result in absurd consequences which the Legislature did not intend.’ [Citations.] Thus, ‘[t]he intent prevails over the letter, and the letter will, if possible, be so read as to conform to the spirit of the act.’ [Citation.] Finally, we do not construe statutes in isolation, but rather read every statute ‘with reference to the entire scheme of law of which it is part so that the whole may be harmonized and retain effectiveness.’ [Citation.]” (People v. Pieters (1991)
Although the “shall”/“may” dichotomy cited by defendant is a familiar interpretive device, it is not a fixed rule of statutory construction. (See 1A Sutherland, Statutory Construction (5th ed. 1993) pp. 763-769 [“shall” can be construed as either mandatory or directory as well as denote future operation]; Evans, Statutory Interpretation (1989) pp. 237-239 [“may” can be permissive or empowering].) Moreover, unlike some codes that expressly define “shall” as mandatory and “may” as permissive (see, e.g., Bus. & Prof. Code, § 19; Lab. Code, § 15; Prob. Code, § 12), the Penal Code provides only that “[w]ords and phrases must be construed according to the context and the approved usage of the language . . . .” (§ 7, subd. 16.)
“May” is a common grammatical term encompassing multiple meanings, including an expression of “ability” or “power” as well as “permission.” (Webster’s New World Dict. (3d college ed. 1988) p. 837.) Moreover, judicial authorities have construed “may” as both discretionary and mandatory. (See, e.g., In re Richard E. (1978)
In 1969, the Legislature enacted the first version of section 12022.5, which provided in relevant part: “Any person who uses a firearm in the commission or attempted commission of a robbery, assault with a deadly weapon, murder, rape, burglary, or kidnapping, upon conviction of such crime, shall, in addition to the punishment prescribed for the crime of which he has been convicted, be punished by imprisonment in the state prison for a period of not less than five years. ... [^D ... [^D This section shall apply even in those cases where the use of a weapon is an element of the offense.” (Stats. 1969, ch. 954, § 1, pp. 1900-1901.) By the latter provision, the Legislature “left no doubt” the additional term was mandated even when the enhancement overlapped an essential element of the underlying crime already more severely punished because it involved the use of a firearm. (People v. Chambers (1972)
When the Legislature enacted the Uniform Determinate Sentencing Act of 1976, it expanded application of section 12022.5 to all felonies, but required personal use. The final vеrsion of the amended statute read in its entirety: “Any person who personally uses a firearm in the commission or attempted commission of a felony shall, upon conviction of such felony or attempted felony, in addition and consecutive to the punishment prescribed for the fiplony or attempted felony of which he has been convicted, be punished by an additional term of two years, unless use of a firearm is an element of the offense of which he was convicted. [*][] The additional term provided by this section may be impоsed in cases of assault with a deadly weapon under Section 245.” (Stats. 1977, ch. 165, § 92, p. 678.) Under former section 1170.1, subdivision (g) (now § 1170.1, subd. (h)), the trial court retained discretion to strike a use enhancement when circumstances in mitigation warranted. (Stats. 1977, ch. 165, § 17, p. 650.)
When viewed from a historical perspective, it becomes clear subdivision (d) of section 12022.5 was written in relation to subdivision (a), rather than contradistinction. Unlike section 667.6, section 12022.5 was not originally subdivided with separately designated provisions addressing different aspects of a broader sentencing scheme. Instead, both subdivisions (a) and (d) of section 12022.5 were initially part of a unitary statute the Legislature intended to be read as a whole, not as individual words in isolation. So considered, “shall” and “may” are logically as well as syntactically linked by the intervening “unless” proviso, which determines their functiоnal interrelationship. Under subdivision (a), the trial court must impose an additional term for personal use of a firearm except when such use is an element of the underlying felony. If, however, the underlying felony is assault with a firearm, subdivision (d) removes that prohibition. Accordingly, subdivision (d) creates an exception to the proviso in subdivision (a) and renders imposition of a use enhancement mandatory for the enumerated offenses.
Defendant argues section 12022.5 is “replete with mandatory language” (see subds. (c), (e), & (f)), so the Legislature must have cоnsciously chosen not to use it in subdivision (d). (People v. Campbell, supra,
Defendant challenges this interpretation because “at the time of the 1977 amendments, no portion of section 245 required, as an element of its commission, use of a firearm specifically, as opposed to a deadly weapon generally . . . .” As the Attorney General observes, however, no judicial authority had so held when Assembly Bill No. 476 was enacted. The legislative history also reflects some understandable uncertainty on the point, since this court had held section 12022 did not apply to assault with a deadly weapon. (In re Shull, supra,
We also find support in the legislative history of Assembly Bill No. 3314, 1981-1982 Regular Session, which added assault with a firearm to section 12022.5(d). As discussed at length in People v. Martinez, supra, 194 Cal.App.3d at pages 20-23, “committee reports, partisan caucus analyses, and [the] Legislative Counsel’s digest” establish “section 12022.5 was amended because legislators belatedly realized that their creation of separate crimes of assault ‘with a firearm’ (§ 245, subds. (a)(2), (c)) might interfere with the existing practice of allоwing firearm-use enhancements to be imposed for any section 245 violation in which the defendant personally used a firearm. The 1982 amendments to section 12022.5 were an attempt by the Legislature to preserve the status quo ante by providing that the use enhancement charge ‘applies to a deadly weapon which is a firearm.’ (Legis. Counsel’s Dig., Assem. Bill No. 3314, Stats. 1982, ch. 1404 (Reg. Sess.).)” (
Furthermore, to find section 12022.5(d) discretionary would make it unique among sentencing enhancements. While in many instances the trial court has authority to strike or stay imposition of an additional term (see § 1170.1, subd. (h); People v. Dobson (1988)
The sentencing scheme for section 245, as amended, buttresses our conclusion. Even befоre the enactment of section 12022.5, which originally included assault with a deadly weapon, crimes committed with firearms were perceived as more serious than other offenses. (See People v. Thomas (1992)
Further bolstering our conclusion, the Legislature in 1993 added to section 12022.5(d) murder “perpetrated by means of shooting a firearm from a motor vehicle.” (Stats. 1993, ch. 611, §31.5.) This revision was part of Senate Bill No. 310, a package of amendments increasing penalties for drive-by killings. (See Historical Note, 47 West’s Ann. Pen. Code (1997 pocket supp.) § 189, p. 139.) In his signature message, Governor Wilson noted, “this bill imposes a sentence enhancement of up to five years for the use of the firearm.” (Ibid.) As with the inclusion of assault with a firearm, granting discretionary sentencing authority under section 12022.5(d) would be inconsistent with the obvious seriousness of these violent crimes and the legislative intent to punish them accordingly.
Notably, this amendment to section 12022.5(d) was enacted after the courts in People v. Hill, supra,
Finally, our holding comports with the frequent observation that “[t]he obvious purpose of section 12022.5 is to deter the use of firearms in the commission of violent crimes by prescribing additional punishment for each use.” (People v. White (1976)
Alternatively, defendant argues we should find section 12022.5(d) discretionary under the principle that “ ‘ “[w]hen language which is reasonably susceptible of two constructions is used in a penal law ordinarily that construction which is more favorable to the offender will be adopted.” ’ [Citations.]” (In re Christian S. (1994)
Disposition
The judgment of the Court of Appeal is affirmed.
George, C. J., Kennard, J., Baxter, J., Werdegar, J., and Chin, J„ concurred.
Notes
Unless otherwise indicated, all further statutory references are to the Penal Code.
This provision is now set forth in section 12022.5, subdivision (a)(1). (Stats. 1995, ch. 377, § 9.) Unless otherwise noted, all further references to section 12022.5, subdivision (a), are to the version at the time of defendant’s offense.
As discussed, post, at page 100, section 12022.5(d) now includes drive-by murders. (Stats. 1993, ch. 611, § 31.5.) At the time of defendant’s crime, the penalty range was three, four, or five years in prison. The aggravated term has since been increased to 10 years. (Stats. 1994 (First Ex. Sess. 1993-1994) ch. 33, § 6.)
We grant defendant’s request to take judicial notice of legislative history materials concerning section 12022.5(d) and related provisions. (Evid. Code, § 452, subd. (c).)
People v. Campbell, supra,
Dissenting Opinion
I dissent.
Courts must construe statutory language according to its ordinary meaning (Alexander v. Superior Court (1993)
The relevant statutory provisions are subdivisions (a)(1) and (d) of section 12022.5. Subdivision (a)(1) provides: “Except as provided in subdivisions (b) and (c), any person who personally uses a firearm in the commission or attempted commission of a felony shall, upon conviction of that felony or attempted felony, in addition and consecutive to the punishment prescribed for the felony or attempted felony of which he or she has been convicted, be punished by an additional term of imprisonment in the state prison for 3, 4, or 10 years, unless use of a firearm is an element of the offense of which he or she was convicted.” (Italics added.) The provision was not materially different on March 9, 1993, when defendant committed his crime.
Section 12022.5, subdivision (d) creates an exception to subdivision (a)’s exсeption. It provides in pertinent part: “The additional term provided by this section may be imposed in cases of assault with a firearm under paragraph (2) of subdivision (a) of Section 245, or assault with a deadly weapon which is a firearm under Section 245 . . . .” (Italics added.) This language was identical at the time of defendant’s crime.
“In providing this exception the Legislature used the permissive word ‘may’ rather than a mandatory word such as ‘shall.’” (People v. Beagle
But may is ordinarily understood to refer to permission. (Webster’s Third New Internat. Dict. (1981) p. 1396 [“have permission to”]; Webster’s New Internat. Dict. (2d ed. 1959) p. 1517 [“[l]iberty; opportunity; permission”]; see also Black’s Law Dict. (6th ed. 1990) p. 979, col. 2.)
To be sure, this definition is not exclusive. May sometimes refers to the mandatory when “used esp. in deeds, contracts, and statutes” (Webster’s Third New Internat. Dict., supra, at p. 1396). But such a definition is unusual—it is not common parlance. Moreover, it is technical and is not to be followed if we can construe a statute in accordance with its words’ standard meanings (see People v. Valladoli (1996)
Our codes routinely distinguish between shall and may. (Bus. & Prof. Code, § 19 [“ ‘Shall’ is mandatory and ‘may’ is permissive.”]; Corp. Code, § 15 [same]; Ed. Code, § 75 [same]; Elec. Code, § 354 [same]; Evid. Code, §11 [same]; Fam. Code, § 12 [same, in pertinent part]; Fin. Code, § 15 [same]; Fish & G. Code, § 79 [same]; Food & Agr. Code, § 47 [to same effect]; Gov. Code, § 14 [same]; Harb. & Nav. Code, § 16 [same]; Lab. Code, § 15 [same]; Mil. & Vet. Code, § 14 [same]; Prob. Code, § 12 [same]; Pub. Resources Code, § 15 [same]; Pub. Util. Code, § 14 [same]; Rev. & Tax. Code, § 16 [same]; Sts. & Hy. Code, § 16 [same]; Unemp. Ins. Code, § 15 [same]; Veh. Code, § 15 [same]; Wat. Code, § 15 [same]; Welf. & Inst. Code, § 15 [same]; cf. Ins. Code, § 16 [to same effect “unless otherwise apparent from the context”].) The Legislature is well aware of the standard meanings of these words.
The majority state that the Penal Code contains no similar definitiоnal statute. Are they suggesting that the Legislature meant that different definitions of shall and may should apply to the Penal Code? If so, I disagree.
Section 12022.5 uses shall 11 times. To recite a few instances, “any person who personally uses a fireаrm in the commission or attempted commission of a felony shall ... be punished by an additional term of imprisonment. . . .” (Subd. (a)(1), italics added.) If the person is convicted of carjacking, “the additional term shall be 4, 5, or 10 years.” (Subd. (a)(2), italics added.) A person committing or attempting to commit a felony by shooting at an occupied vehicle, and causing great bodily injury or death, “shall ... be punished by an additional term of . . . 5, 6, or 10 years.” (Subd. (b)(1), italics added.)
By contrast, may appears in section 12022.5 but once: subdivision (d) provides that “[t]he additional term provided by this section may be imposed in cаses of assault with a firearm . . . .” (Italics added.) A compelling inference thus arises that in section 12022.5 the Legislature intended two different meanings for shall and may, and they are the meanings commonly associated with the two words. “When the Legislature has, as here, used both ‘shall’ and ‘may’ in close proximity in a particular context, we may fairly infer the Legislature intended mandatory and discretionary meanings, respectively.” (In re Richard E., supra, 21 Cal.3d at pp. 353-354.)
The meaning of may in section 12022.5, subdivision (d), is clear: A trial court is permitted to impose the enhancement term, but is not required to do so. I would reverse the Court of Appeal’s judgment.
Appellant’s petition for a rehearing was denied October 1,1997. Mosk, J., was of the opinion that petition should be granted.
