People v. Superior Court (Felmann)

In People v. Superior Court (Felmann) (1976) 59 Cal.App.3d 270, the trial court, over the prosecutor's objection, accepted the defendant's conditional offer to plead no contest in exchange for a grant of probation with the proviso that the defendant could withdraw the plea if the court decided, after reviewing the probation report, to not grant probation. (Felmann, at pp. 273-274.) The prosecutor sought writ relief. (Felmann, at p. 274.) The Court of Appeal first pointed out that "the 'plea bargaining' process foreclosed to the judicial branch of government includes the acceptance of a plea of guilty in return for 'clement punishment.'" (Felmann, at p. 276.) "A court may not offer any inducement in return for a plea of guilty or nolo contendere. It may not treat a defendant more leniently because he foregoes his right to trial or more harshly because he exercises that right. Leniency in return for a plea of guilty or no contest must be negotiated by the defendant with the prosecutor." (Ibid.) "But a court may indicate to a defendant what its sentence will be on a given set of facts ... . If the facts as developed are as assumed for the purpose of indicating the sentence, that sentence may then be imposed. If not, then defendant has the option of going to trial or accepting harsher treatment on a guilty or nolo contendere plea. Unless form is exalted over substance, the facts which are the assumed basis of sentence may be expressed in the form of the basis of a conditional plea reserving the defendant's right to withdraw the plea and go to trial in the event the court determines that the facts recited are not confirmed in a fashion which enables it to sentence the defendant in accord with the condition. Substance and not form must control." (Ibid.) The Court of Appeal then concluded that the record was unclear as to whether the trial court had provided an indicated sentence or entered into an unlawful plea bargain. (Felmann, at p. 277.) It issued a writ requiring the trial court to reconsider the conditional plea and accept it only if lenient treatment was not being provided "solely because of the plea." (Felmann, at pp. 277-278.)