Lead Opinion
Penal Code section 1385, subdivision (a), authorizes a trial court to dismiss a criminal action “in furtherance of justice” on its own motion. (All further statutory citations are to the Penal Code except as noted.) We have held that the power to dismiss an action includes the lesser power to strike factual allegations relevant to sentencing, such as the allegation that a defendant has prior felony convictions. (People v. Thomas (1992)
I. Background
A. The Three Strikes Law
The Three Strikes law consists of two, nearly identical statutory schemes designed to increase the prison terms of repeat felons. The earlier provision, which the Legislature enacted, was codified as section 667, subdivisions (b) through (i). The later provision, which the voters adopted through the initiative process, was codified as section 1170.12.
The legislative version of the Three Strikes law began as Assembly Bill No. 971, which was introduced on March 1, 1993. (Assem. Bill No. 971 (1993-1994 Reg. Sess.).) As originally introduced, the bill would have added a new section 1170.12 to the Penal Code, imposing doubled sentences on second-time felons and life sentences on third-time felons. The bill failed in the Assembly Committee on Public Safety on April 20 of that year. A motion to reconsider was granted, but no further hearings on the bill would take place until 1994.
On January 3, 1994, while Proposition 184 was circulating, the sponsors of Assembly Bill No. 971 amended it to conform to the language of the initiative, with minor exceptions. The bill underwent its only further significant amendment on January 13, when the proposal was made to codify its provisions as subdivisions (b) through (i) of section 667, rather than as a new section 1170.12. Both the Senate and the Assembly approved the bill on March 3, 1994. The Governor signed it on March 7. It took effect as an urgency measure the same day.
March 7, 1994, was also the last day on which Proposition 184 could lawfully circulate for signatures. On April 6, 1994, the Secretary of State certified the initiative for the ballot, and the voters approved it at the General Election on November 8, 1994. It took effect the next day, codified as section 1170.12.
The case before us involves a crime committed on May 9, 1994. It thus arises under the legislative statute (§ 667, subds. (b)-(i)) rather than under the initiative statute (§1170.12). While the two statutes differ in minor respects, no such difference affects the questions before us in this case.
B. Facts
On June 3, 1994, the District Attorney of San Diego County filed an information in the superior court charging defendant Jesus Romero with possession of a controlled substance, namely 0.13 grams of cocaine base, in violation of Health and Safety Code section 11350, subdivision (a). The information also alleged defendant had previously been convicted of the following felonies on the dates indicated: second degree burglary (§ 459) on June 25, 1980; attempted burglary of an inhabited dwelling (§§ 459, 664) on November 16, 1984; first degree burglary of an inhabited dwelling (§ 459) on September 2, 1986; and possession of a controlled substance (Health & Saf. Code, § 11350, subd. (a)) on April 6, 1992, and June 8, 1993.
Defendant’s two prior serious felonies (see § 667, subd. (d)(1); § 1192.7, subd. (c) [defining “serious felony”]), namely burglary and attempted burglary of inhabited dwellings, made him eligible for a life sentence under the Three Strikes law. (§ 667, subd. (e)(2).) Without the prior felony conviction allegations, defendant’s sentence would fall between one and six years. The current offense, possession of a controlled substance (Health & Saf. Code, § 11350, subd. (a)), is punishable by sixteen months, two years, or three years in state prison {ibid..-, Pen. Code, § 18). The three prior felonies for which defendant served prison terms within the last five years, unless stricken pursuant to section 1385, would result in three consecutive one-year
Defendant pled not guilty. At a subsequent hearing, the court indicated its willingness to consider striking the prior felony conviction allegations if defendant changed his plea to guilty as charged on all counts. The prosecutor objected to that procedure, arguing the court had no power to dismiss prior felony allegations in a Three Strikes case unless the prosecutor asked the court to do so. The court disagreed. To interpret the Three Strikes law in this way, the court reasoned, would violate the constitutional doctrine of separation of powers. (Cal. Const., art. Ill, § 3; see People v. Tenorio (1970)
The district attorney petitioned for a writ of mandate to require the superior court to vacate its order striking the prior felony conviction allegations and to resentence defendant accordingly. The Court of Appeal concluded the trial court had no power to dismiss prior felony allegations on its own motion in a Three Strikes case; the court therefore directed issuance of a writ requiring the trial court to vacate the sentence and to permit defendant to withdraw his plea. We granted defendant’s petition for review.
II. Discussion
The ultimate question before us is whether a trial court may dismiss prior felony conviction allegations in furtherance of justice on its own motion in a case brought under the Three Strikes law. In answering this question, two statutes are of central importance. The first is section 1385 (hereafter section 1385, 1385(a), or 1385(b), as appropriate). It provides as follows: “(a) The judge or magistrate may, either of his or her own motion or upon the
As mentioned, we have construed section 1385(a) as permitting a judge to dismiss not only an entire case, but also a part thereof, including the allegation that a defendant has previously been convicted of a felony. (People v. Thomas, supra, 4 Cal.4th at pp. 209-210; People v. Burke, supra, 47 Cal.2d at pp. 50-51.) When a court strikes prior felony conviction allegations in this way, it “ ‘does not wipe out such prior convictions or prevent them from being considered in connection with later convictions.’ ” (People v. Burke, supra,
The other statute of central importance to this case is section 667, subdivision (f) (hereafter section 667(f), 667(f)(1), or 667(f)(2), as appropriate). A part of the Three Strikes law, the statute provides as follows: “(f)(1) Notwithstanding any other law, subdivisions (b) to (i), inclusive, shall be applied in every case in which a defendant has a prior felony conviction as defined in subdivision (d). The prosecuting attorney shall plead and prove each prior felony conviction except as provided in paragraph (2). [<]]] (2) The prosecuting attorney may move to dismiss or strike a prior felony conviction allegation in the furtherance of justice pursuant to Section 1385, or if there is insufficient evidence to prove the prior conviction. If upon the satisfaction of the court that there is insufficient evidence to prove the prior felony conviction, the court may dismiss or strike the allegation.” The initiative version of the statute contains an identically worded provision. (§ 1170.12, subd. (d).)
Defendant argues that the Three Strikes law, if interpreted to permit a court to strike a prior felony conviction allegation only on the prosecutor’s motion, violates the doctrine of separation of powers. The doctrine became a part of California law through the adoption of article III, section 3, of the state Constitution. The section provides that “[t]he powers of state government are legislative, executive, and judicial. Persons charged with the
We examine the impact of the separation of powers doctrine at the outset because constitutional considerations necessarily inform our interpretation of the statutory language. “If a statute is susceptible of two constructions, one of which will render it constitutional and the other unconstitutional in whole or in part, or raise serious and doubtful constitutional questions, the court will adopt the construction which, without doing violence to the reasonable meaning of the language used, will render it valid in its entirety, or free from doubt as to its constitutionality, even though the other construction is equally reasonable. [Citations.] The basis of this rule is the presumption that the Legislature intended, not to violate the Constitution, but to enact a valid statute within the scope of its constitutional powers.” (Miller v. Municipal Court (1943)
We begin with the leading case, People v. Tenorio, supra,
We had addressed the same issue just eight years earlier in People v. Sidener (1962)
Justice Schauer, joined by Justices McComb and White, dissented. (People v. Sidener, supra,
In People v. Tenorio, supra,
Because the precise holding in People v. Tenorio, supra,
“Because of the uncertainties in the law prior to 1850 [regarding the power of nolle prosequi], we agree with all of the justices in Sidener that arguments based upon California’s legal history prior to that date are undeterminative.
“The history from and after the 1850 Legislature, however, is clear: No decision, and no legislation, prior to the adoption of [Health and Safety Code] section 11718 denied that the judiciary has that power to dismiss which was originally codified in the forerunner of section 1385. The prosecutor has never been able to ‘exercise’ the power to dismiss a charged prior—he has only been able to invite the judicial exercise of that power. Section 11718 provides that no prior found true ‘may be dismissed by the court or stricken from the accusatory pleading except upon motion of the district attorney.’ (Italics added.) As Justice Schauer argued, the section itself recognizes that the dismissal power is still exercised by the court, but purports to condition that exercise upon a prosecutor’s prior approval. Thus, even if the Legislature could constitutionally remove the power to strike priors from the courts, it has not done so, but rather has purported to vest in the prosecutor the power to foreclose the exercise of an admittedly judicial power by an appropriate judicial officer. It is no answer to suggest that this is but a lesser included portion of the prosecutor’s discretion to forego prosecution, as the decision to forego prosecution does not itself deprive persons of liberty.
“When the decision to prosecute has been made, the process which leads to acquittal or to sentencing is fundamentally judicial in nature. Just as the fact of prosecutorial discretion prior to charging a criminal offense, does not imply prosecutorial discretion to convict without a judicial determination of guilt, discretion to forego prosecution does not imply discretion to sentence without a judicial determination of those factors which the Legislature has never denied are within the judicial power to determine and which
One may fairly summarize the court’s reasoning in this way: Whether or not the power of nolle prosequi ever existed, and conceding the Legislature’s power to bar a court from dismissing certain charges altogether, when the Legislature does permit a charge to be dismissed the ultimate decision whether to dismiss is a judicial, rather than a prosecutorial or executive, function; to require the prosecutor’s consent to the disposition of a criminal charge pending before the court unacceptably compromises judicial independence.
The court in People v. Tenorio, supra,
In subsequent cases, the court relied on People v. Tenorio, supra,
In construing the Three Strikes law we cannot ignore the closely relevant holding of People v. Tenorio, supra,
The district attorney, and amici curiae supporting his position, argue the Three Strikes law can be construed as barring a court from dismissing prior felony conviction allegations sua sponte pursuant to section 1385 without violating the separation of powers doctrine. The argument may be summarized as follows: The Legislature may completely eliminate a trial court’s power to strike prior felony allegations. (People v. Thomas, supra, 4 Cal.4th at pp. 210-211; People v. Valencia (1989)
This view of the statute is impossible to accept. To describe the statute as subjecting the prosecutor’s charging discretion to judicial oversight is sophistic. The statute does not purport to require the court to oversee the prosecutor’s charging decisions. Nor does the court, in reality, exercise any power over the prosecutor’s charging decisions. Any decision to dismiss is necessarily made after the prosecutor has invoked the court’s jurisdiction by filing criminal charges. “[Ojnce the state is ready to present its case in a judicial setting, ‘the prosecutorial die has long since been cast.’ ” (People v. Superior Court (Greer) (1977)
The notion that a statute with the effect described may be construed and justified as dealing with charging discretion, rather than with the court’s disposition of pending charges, was expressly and flatly rejected in People v. Tenorio, supra,
The Attorney General suggests the Three Strikes law serves the purpose of the separation of powers doctrine by making the decision to dismiss under section 1385 a “joint” decision, in the sense that the court and the prosecutor
The Attorney General also argues that events subsequent to our decision in People v. Tenorio, supra,
The Attorney General has misconstrued the quoted passage from People v. Tenorio, supra,
That the Legislature and the electorate may eliminate the courts’ power to make certain sentencing choices may be conceded. “[S]ubject to the constitutional prohibition against cruel and unusual punishment, the power to define crimes and fix penalties is vested exclusively in the legislative branch.” (Keeler v. Superior Court (1970)
The cases cited by the Attorney General are not to the contrary. In People v. Thomas, supra,
Nor is there anything to the contrary in Davis v. Municipal Court (1988)
Thus, each of the decisions cited by the Attorney General respects the principle that underlies People v. Tenorio, supra,
It is against this background that we consider the language of the Three Strikes law to determine whether the Legislature (and the electorate)
As mentioned, the judicial power to reduce a defendant’s sentence by striking a sentencing allegation in furtherance of justice is statutory. Because the power is statutory, the Legislature may eliminate it. (People v. Thomas, supra, 4 Cal.4th at pp. 210-211; People v. Valencia, supra,
We thus arrive at this question; Does the Three Strikes law contain a “clear legislative direction” that courts may not strike sentencing allegations in furtherance of justice under section 1385 without the prosecutor’s approval? The need for a clear direction, as demanded by the cases cited in
As an initial matter we may quickly reject the argument, which various amici curiae mention but do not seriously urge, that the Three Strikes law permits a court to dismiss a prior felony allegation only when there is insufficient evidence. To read the last sentence of section 667(f)(2)
We may, then, accept as self-evident that the Legislature assumed a court would at least have the power to grant the prosecutor’s motion to strike a prior felony allegation in the furtherance of justice. The question then becomes: Does the court also have the power to strike such an allegation on its own motion? If so, the power must be granted in a statute, either expressly or by implication. This is because, as already discussed, the court has no such extra-statutory power.
Defendant locates the grant of power squarely in section 1385. The Legislature, he argues, granted the power in that section and did not take it away in the Three Strikes law. Indeed, defendant contends, the Three Strikes law confirms that the court retains its powers under section 1385: Because section 667(f)(2) permits the prosecuting attorney to “move to dismiss or strike a prior felony conviction allegation in the furtherance of justice pursuant to Section 1385” (italics added), a fortiori the court must have power to grant the motion pursuant to section 1385. The Legislature’s reference to section 1385 is best and most simply read as indicating that the section still is in full force and effect. That being the case, defendant concludes, in Three Strikes cases, as in other cases, the trial judge may dismiss a prior felony conviction allegation not just on the prosecutor’s motion, but also on “his or her own motion,” as section 1385 expressly provides.
The district attorney, in opposition, argues that one need not look to section 1385 to find the court’s authority to grant the prosecutor’s motion to strike. Instead, the court’s power to grant the prosecutor’s motion is implicit in the language of section 667(f)(2) authorizing the prosecutor to make the
The district attorney’s argument is not persuasive. Section 667(f)(2) says in so many words that the prosecutor may move to dismiss prior felony allegations “pursuant to Section 1385” (italics added) and not as if pursuant to the section. The words used clearly indicate the Legislature proceeded from the assumption that section 1385 remained in effect in Three Strikes cases. If the Legislature had wanted to authorize a motion to dismiss in furtherance of justice without invoking section 1385, it could easily have done so simply by deleting the words “pursuant to Section 1385.”
Indeed, the Legislature considered doing just that. A few days before passing the final version of Assembly Bill No. 971, the Senate rejected language that would have removed the reference to section 1385 from section 667(f)(2) and declared that the court might strike prior felony allegations “only” on the prosecutor’s motion. Had the amendment been adopted, section 667(f)(2) would have provided as follows: “The court may dismiss or strike a prior felony conviction allegation only upon motion of the prosecuting attorney made on the ground that there is insufficient evidence to prove the prior felony conviction or in the furtherance of justice.” (Sen. Floor Amend. RN 9406668 to Assem. Bill No. 971 (1993-1994 Reg. Sess.) Mar. 2, 1994.) That the amendment was not adopted makes it difficult to view the final wording of section 667(f)(2), including the reference to section 1385, as anything but a purposeful choice.
Nor is it likely that the phrase, “pursuant to section 1385,” was intended merely to illustrate what was meant by a dismissal in furtherance of justice without implicitly confirming the court’s power to act under that section. In view of the long history in this state of dismissals in furtherance of justice, which have been authorized since 1850 (Stats. 1850, ch. 119, § 630, p. 323) and discussed prominently in case law (e.g., People v. Burke, supra, A1 Cal.2d 45; People v. Sidener, supra,
The opinions cited in the preceding paragraph are some of the most controversial this court has ever written. At issue in each was whether a trial court had power to strike, in furtherance of justice under section 1385,
A brief review of the history of section 1385 in the decisions of this court will emphasize the point. Some of the relevant decisions have already been mentioned. In People v. Burke, supra,
Controversy over the application of section 1385 continued. In People v. Tanner, the court had originally decided that trial judges acting under section 1385 could strike certain firearm-use allegations (§ 1203.06) in furtherance of justice. The court subsequently granted rehearing and reached the opposite conclusion. (People v. Tanner, supra,
As the foregoing discussion illustrates, there is a long history of dispute among the various branches of state government over the application of
The Attorney General, appearing as amicus curiae, endorses the district attorney’s position that section 667(f)(2) eliminates the court’s power to strike prior felony conviction allegations sua sponte under section 1385. The Attorney General, however, argues the point somewhat differently: He applies the maxim expressio unius est exclusio alterius.
“We believe,” the Attorney General writes, “the plain meaning [of section 667(f)(2)] is that a prosecutor has power under the statute to move to strike a prior felony conviction for two separate reasons, either (1) in the furtherance of justice, or (2) for insufficient evidence. The contrast is stark between that provision and the provision regarding the trial court, which provides that the trial court can strike the prior only for insufficient evidence. If this common sense plain interpretation needs Latin support, the principle ‘ex-pressio unius est exclusio alterius’ provides that the expression of the trial court’s power to strike solely for insufficient evidence plainly implies an exclusion of that court’s power to strike in furtherance of justice. That common sense interpretation is only strengthened by the contrast between the statement of the trial court’s power, with its single ground, and the statement in the same paragraph of the prosecutor’s power, with its two grounds.”
The argument is not persuasive. The Attorney General contends, in essence, that section 667(f)(2) exhaustively enumerates the court’s powers on the subject of striking prior felony allegations. Yet, while acknowledging the court has the power to grant the prosecutor’s motion to strike in furtherance of justice, the Attorney General cannot point to any language in the statute enumerating that power. Because of this omission from the statute, to view it as an exhaustive enumeration of the court’s powers on the subject of striking allegations is impossible. Nor is there any need to view the statute as an exhaustive enumeration or to look therein for permission to grant the prosecutor’s motion; the section, as already discussed, expressly refers to section 1385 and declares that the prosecutor’s motion is made “pursuant to” that section.
The theme of subjecting certain prosecutorial decisions to judicial oversight continues in the next sentence of section 667(f)(2): “If upon the satisfaction of the court that there is insufficient evidence to prove the prior felony conviction, the court may dismiss or strike the allegation.” The evident purpose of this language is to require the court, before granting the prosecutor’s motion to strike for insufficient evidence, to satisfy itself that the evidence truly is insufficient. There was no need to include language empowering the court to dismiss, on its own motion, factually unsupported allegations. A statute cannot constitutionally force a court to impose criminal sanctions based on insufficient evidence. (See Jackson v. Virginia (1979)
Next, the district attorney argues the Legislature forbade the court to act under section 1385 in Three Strikes cases with the first sentence of section 667(f)(1). The sentence declares: “Notwithstanding any other law, subdivisions (b) to (i), inclusive, shall be applied in every case in which a defendant has a prior felony conviction as defined in subdivision (d).” (Italics added; see also § 1170.12, subd. (d)(1) [same].) This sentence means, the district attorney contends, that the sentences mandated in the Three Strikes law (§ 667, subds. (b)-(i)) shall be applied “Notwithstanding any other law.” In other words, a court may not employ its powers under section 1385 to reduce a defendant’s sentence.
This is not, however, what the quoted sentence says. It says, rather, that “subdivisions (b) to (if of section 667—namely the entire Three Strikes
A simpler reading of the language in question (“[notwithstanding any other law”) that more likely describes its probable intent is this: The Three Strikes law, when applicable, takes the place of whatever law would otherwise determine defendant’s sentence for the current offense. The language thus eliminates potential conflicts between alternative sentencing schemes.
The phrase “[notwithstanding any other law” can also be found at the beginning of subdivisions (c) and (d) of section 667. The former subdivision addresses sentencing, and the latter defines “prior conviction of a felony.” Neither subdivision imposes a command that is necessarily inconsistent with the court’s power to strike under section 1385.
The district attorney finds an implicit prohibition on the striking of prior felony allegations in section 667, subdivision (c)(2), which provides as
To construe the words “prior offense” in section 667, subdivision (c)(2), (italics added) as meaning prior felony convictions makes no sense in context. Throughout the Three Strikes law, when the Legislature intended to refer to a previous conviction of an offense, as it did in many instances, it properly used the word “conviction.” (§ 667, subds. (d), (d)(1), (d)(2), (d)(3), (e), (e)(1), (e)(2), (f)(1), (f)(2), (g).) Furthermore, the court does not “impos[e] . . . sentence” for a prior conviction; instead, a prior conviction lengthens the sentence for the current offense. Thus, the language of section 667, subdivision (c)(2) literally applies only to a defendant who has not yet been sentenced for an offense at the time he is sentenced under the Three Strikes law. This might be the case, for example, when a defendant committed the felony subject to the Three Strikes law while on probation for a prior offense. The apparent purpose of section 667, subdivision (c)(2), is to ensure that such a defendant will be sentenced on all pending charges.
The district attorney next argues that section 1385(b) independently bars a court from striking prior felony allegations in Three Strikes cases, regardless of the language of the Three Strikes law. Section 1385(b) has already been mentioned. It qualifies the general power to dismiss granted to courts in section 1385(a), in these words: “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.” (§ 1385(b).) The Three Strikes law, the district attorney contends, was codified as part of section 667 and articulates a sentence “enhancement” within the meaning of section 1385(b). Thus, he concludes, section 1385(b) expressly bars a court from acting pursuant to section 1385(a) in Three Strikes cases.
Defendant makes three arguments in opposition to the district attorney’s construction of section 1385. As will appear, we need not finally resolve them in order to reject the district attorney’s construction.
Defendant’s first argument is that section 1385(b) cannot fairly be read as referring to the Three Strikes law. In 1986, when section 1385(b) was added
Defendant’s second argument is that, even if section 1385(b) were construed as referring to the legislative version of the Three Strikes law incorporated in section 667, it does not matter, because the only valid Three Strikes law is the initiative version contained in section 1170.12. The initiative version, which was enacted after the legislative version, implicitly repeals the earlier version appearing in section 667. Defendant relies on the rule that, “where two statutes deal with the same subject matter, the more recent enactment prevails as the latest expression of the legislative will.” (2B Sutherland, Statutory Construction (5th ed. 1992) § 51.02, p. 122, fn. omitted; see City of Petaluma v. Pac. Tel. & Tel. Co. (1955)
Defendant’s third argument takes issue with the district attorney’s reading of the term “enhancement,” as used in section 1385(b). The section, as mentioned, withdraws permission “to strike any prior conviction of a serious felony for purposes of enhancement of a sentence under Section 667.” The term “enhancement,” defendant contends, has acquired the technical meaning under the state’s Determinate Sentencing Act of “an additional term of
On this single point, the Attorney General appears to agree more with the defendant than with the district attorney. “We have,” the Attorney General writes, “previously made plain our belief that the three strikes statute is not an ‘enhancement’. This precept, for purposes of the extremely similar section 667.7 has been accepted by this Court in People v. Jenkins[, supra,
As the Attorney General suggests, one cannot reasonably assign much weight to the argument that section 1385(b) refers to the Three Strikes law. Nevertheless, as he also observes, “it cannot be avoided that the Legislature did place the three strikes statute, rather awkwardly, in section 667. As such, it seems that the Legislature may well have intended that the [T]hree [S]trikes statute fall within the bar of section 1385(b).”
Certainly legislative intent is the governing consideration. If one could clearly show the Legislature’s purpose in placing the Three Strikes law within section 667 was to make its provisions subject to section 1385(b), then that purpose would prevail. The only basis, however, for concluding this was the Legislature’s purpose is an inference that arises from the numbering of various sections of the Penal Code. Contrary inferences arise from the language of the Three Strikes law, itself (“pursuant to section 1385” [§ 667(f)(2); § 1170.12, subd. (d)(2)]), from defendant’s arguments regarding the time at which section 1385(b) is deemed to speak, and from the technical meaning of the term “enhancement.” Defendant’s additional argument that Proposition 184 (§ 1170.12) superseded the legislative version codified in section 667 would also, if accepted, refute the district attorney’s argument, regardless of the Legislature’s purpose in enacting the superseded law.
It is not, however, necessary to answer all of these arguments. Concerning the Legislature’s intent on this subject, two points appear to be determinative. First, for all of the reasons set out above, the Legislature’s decision to
The district attorney sees the legislative history differently. The Three Strikes initiative was motivated, he observes, by the voters’ desire for longer sentences and by a mistrust of judges. The proponents of the initiative argued in its favor that “soft-on-crime judges, politicians, defense lawyers and probation officers care more about violent felons than they do victims. They spend all of their time looking for loopholes to get rapists, child molesters and murderers out on probation, early parole, or off the hook altogether.” (Ballot Pamp., rebuttal to the argument against Prop. 184, as presented to the voters, Gen. Elec. (Nov. 8, 1994) p. 37.)
Plainly the Three Strikes initiative, as well as the legislative act embodying its terms, was intended to restrict courts’ discretion in sentencing repeat offenders. We may accept the ballot arguments as evidence of that intent. (E.g., Hill v. National Collegiate Athletic Assn. (1994)
Various amici curiae supporting the district attorney make one final argument regarding the probable intent of the drafters of the Three Strikes law. As already mentioned, it was in 1985, in reaction to People v. Fritz, supra,
The argument is not sound. The drafters of the Three Strikes law could rationally have chosen to give courts more discretion under that law than under section 667, subdivision (a). Both statutory schemes address the sentencing of defendants who have previously committed serious felonies. The five-year enhancements mandated by section 667, subdivision (a), however, apply only when the defendant’s current offense is a “serious felony” within the meaning of section 1192.7, subdivision (c), while the sentences mandated by the Three Strikes law apply whether or not the current felony is “serious.” To give judges more discretion in sentencing under a law that is triggered by any felony, serious or not, than in sentencing under a law applicable only when the defendant’s current felony is serious, is not necessarily irrational. Nor is it necessarily irrational to give judges more discretion in applying a law providing for life sentences than a law providing for five-year enhancements. Indeed, these distinctions can be defended as serving the ends of justice. In any event, to give judges this measure of discretion certainly is not so irrational as to compel us, for that reason alone, to give the statute a contrary interpretation.
For these reasons, we conclude that section 1385(a) does permit a court acting on its own motion to strike prior felony conviction allegations in cases
To guide the lower courts in the exercise of their discretion under section 1385(a), whether acting on their own motion or on motion of the prosecuting attorney, we emphasize the following: A court’s discretion to strike prior felony conviction allegations in furtherance of justice is limited. Its exercise must proceed in strict compliance with section 1385(a), and is subject to review for abuse. We reviewed the applicable principles in People v. Orin, supra,
“The trial court’s power to dismiss an action under section 1385, while broad, is by no means absolute. Rather, it is limited by the amorphous concept which requires that the dismissal be ‘in furtherance of justice.’ As the Legislature has provided no statutory definition of this expression, appellate courts have been faced with the task of establishing the boundaries of the judicial power conferred by the statute as cases have arisen challenging its exercise. Thus, in measuring the propriety of the court’s action in the instant case, we are guided by a large body of useful precedent which gives form to the above concept.
“From the case law, several general principles emerge. Paramount among them is the rule ‘that the language of [section 1385], “in furtherance of justice,” requires consideration both of the constitutional rights of the defendant, and the interests of society represented by the People, in determining whether there should be a dismissal. [Citations.]’ [Citations.] At the very least, the reason for dismissal must be ‘that which would motivate a
From these general principles it follows that a court abuses its discretion if it dismisses a case, or strikes a sentencing allegation, solely “to accommodate judicial convenience or because of court congestion.” (People v. Kessel (1976)
A court’s discretionary decision to dismiss or to strike a sentencing allegation under section 1385 is also reviewable. “[Wjhere the court’s action lacks reason it may be invalidated upon timely challenge.” (People v. Orin, supra,
Having decided that section 1385(a) applies to this case, we must determine the appropriate disposition. The district attorney argued in the Court of Appeal that the trial court abused its discretion by striking the prior felony conviction allegation and by participating in an illegal plea bargain. The Court of Appeal did not reach these issues because it held, contrary to our decision today, that section 1385 did not apply in a case brought under the Three Strikes law. Under these circumstances we would ordinarily remand the case to the Court of Appeal to resolve the remaining issues.
To ask the Court of Appeal to consider the remaining claims is not appropriate in this instance, however, because the record does not contain all
The conclusion that the trial court’s order was ineffective necessarily affects the disposition. At the time defendant pled guilty, the trial court had indicated its willingness to consider striking the prior felony conviction allegations. This factor manifestly influenced defendant’s decision to plead guilty. Under these circumstances, the appropriate remedy is to vacate the judgment, to permit defendant to withdraw his plea, and otherwise to proceed in conformity with this opinion. If, on remand, the trial court again decides to exercise its discretion to strike the prior felony conviction allegations in furtherance of justice under the standards articulated above and in the relevant case law, the court must set forth the reasons for that decision in strict compliance with section 1385(a). Any such decision will be reviewable for abuse of discretion according to the procedures generally applicable to such decisions.
III. Disposition
The judgment of the Court of Appeal is affirmed in part and reversed in part. The cause is remanded to the Court of Appeal, which shall vacate the writ of mandate previously issued and direct the issuance of a new writ ordering the trial court to vacate the sentence, permit defendant to withdraw his plea, and to proceed thereafter in accordance with the views expressed in this opinion.
George, C. J., Mosk, J., Kennard, J., Baxter, J., and Lucas, J.,
Notes
Defendant and the Attorney General, the latter appearing as amicus curiae, have asked the court to take judicial notice of materials relevant to the history of Assembly Bill No. 971 and of Proposition 184. Amicus curiae California Appellate Defense Counsel has asked us to take judicial notice of Assembly staff analyses of Assembly Bill No. 2049 (1985-1986 Reg. Sess.), which became section 1385, subdivision (b). These materials are of the type we ordinarily consider in addressing questions of legislative intent. The motions are granted as to these materials.
Because the differences between the legislative and the initiative versions of the Three Strikes law do not affect the disposition of this case, we do not at this time address defendant’s argument that the initiative statute superseded the legislative statute.
The district attorney’s argument that section 1385(b) refers to the Three Strikes law is discussed at page 525 et seq., post.
“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.” (§ 1386.)
Former Health and Safety Code section 11718 (see People v. Tenorio, supra,
Defendant has asked us to take judicial notice of the transcript of a sentencing hearing in another case, suggesting the transcript discloses that at least one prosecutor has attempted to use the Three Strikes law to control a judge’s disposition of criminal charges. We conclude that the transcript is not relevant to the statutory construction and constitutional issues before us and, therefore, deny defendant’s motion as to the transcript.
Amicus curiae California Appellate Defense Counsel suggests that section 667(f)(1), which requires the prosecutor to “plead and prove” all prior felony convictions, may violate separation of powers as between the legislative and the executive branch, since the latter has traditionally retained broad discretion to determine whom, and for what offenses, to prosecute. (See People v. Municipal Court (Pellegrino) (1972)
The district attorney argues that section 667(f)(2), if determined to violate separation of powers, would be severable. The effect of severing subdivision (f)(2), he argues, “would be to preclude the trial court from dismissing or striking ‘three strikes’ priors in the furtherance
“If upon the satisfaction of the court that there is insufficient evidence to prove the prior felony conviction, the court may dismiss or strike the allegation.” (§ 667(f)(2).)
See ante, page 515, footnote 7.
It has also been argued that the introductory language of section 667, subdivision (c), bars a court from striking a prior felony conviction allegation after it has been pled and proved. The subdivision begins: “Notwithstanding any other law, if a defendant has been convicted of a felony and it has been pled and proved that the defendant has one or more prior felony convictions as defined in subdivision (d), the court shall adhere to each of the following: . . . .” (§ 667, subd. (c).) Immediately following this introductory language is an enumeration of sentencing consequences.
The argument is not persuasive. The very purpose of striking a sentencing allegation under section 1385 is to effectuate the decision that “ ‘in the interest of justice’ defendant should not be required to undergo a statutorily increased penalty which would follow from judicial determination of that fact.” (People v. Burke, supra,
See ante, page 505, footnote 2.
Our holding, which relates only to sentencing, is fully retroactive. (See People v. Belmontes (1983)
Retired Chief Justice of the Supreme Court, assigned by the Acting Chief Justice pursuant to article VI, section 6 of the California Constitution.
Concurrence Opinion
I agree that because the “three strikes” statute does not contain “a clear legislative direction to the contrary” (People v. Thomas (1992)
I write separately to disassociate myself from the lengthy discussion whether this statute would violate the separation of powers doctrine if, contrary to our interpretation, it did remove discretion from the trial court. Relying on People v. Tenorio (1970)
The statute the majority suggests would be unconstitutional, if it existed, would apparently provide the following: The prosecution has no charging discretion but must charge all priors for which there is sufficient evidence. Thereafter, if both the prosecution and the court concur, the prior may be dismissed. Neither the court nor the prosecution could unilaterally decide not to charge or to dismiss the prior. In effect, as the Attorney General argues, the statute would act as a “sunshine” statute, requiring that the decision either not to prosecute or to dismiss a prior be made in open court with reasons stated.
As the majority recognizes, a statute giving the prosecution unlimited charging discretion at the outset and giving the court no power to dismiss charged priors for which there was sufficient evidence would pass constitutional muster. (Maj. opn., ante, at pp. 513-514, 516-517; see People v. Thomas, supra,
The majority states, “there is grave doubt whether the statute before us could be construed as the district attorney would construe it without overruling Tenorio . . . .” (Maj. opn., ante, at p. 517.) On the contrary, because of the differences in the statutory schemes, Tenorio can be, and, if the issue ever arose, perhaps should be, distinguished. It may or may not be appropriate to extend Tenorio to the statute the majority considers, but it would indeed be an extension. The answer to the constitutional question is not easy; it should not be decided in a vacuum. The majority’s statutory analysis suffices to decide this case. We should not also give an advisory opinion on a statute that does not exist and may never be enacted.
I therefore concur in the disposition and all of the majority opinion except the constitutional discussion.
Petitioner’s application for a rehearing was denied August 21, 1996, and the opinion was modified to read as printed above.
