People v. Frierson
People v. Frierson
Opinion
*229 The Three Strikes Reform Act of 2012 (the "Reform Act" or the "Act"), amended the Three Strikes sentencing scheme. The Act reduced the class of defendants who are eligible for indeterminate prison terms following a third felony conviction. It also permitted some inmates *230 serving a Three Strikes term to petition for modification of their current sentences. The Act excluded resentencing under certain circumstances. The People acknowledge that they bear the burden of establishing that a petitioner is ineligible for resentencing. The question here is what degree of proof is required to discharge that burden. We hold that proof beyond a reasonable doubt is required.
I. BACKGROUND
A. Statutory Background
We recently considered another aspect of the Reform Act in
People v. Conley
(2016)
"Under the Three Strikes law as originally enacted, a felony defendant who had been convicted of a single prior serious or violent felony (a second strike defendant) was to be sentenced to a term equal to 'twice the term otherwise provided as punishment for the current felony conviction.' (Pen. Code, former § 1170.12, subd. (c)(1).) By contrast, a defendant who had been convicted of two or more prior serious or violent felonies (a third strike defendant) was to be sentenced to 'an indeterminate term of life imprisonment with a minimum term of' at least 25 years. (Pen. Code, former § 1170.12, subd. (c)(2).)" (
Conley, supra,
63 Cal.4th at p. 652,
"The Reform Act changed the sentence prescribed for a third strike defendant whose current offense is not a serious or violent felony. [Citation.]
*231 Under the Reform Act's revised penalty provisions, many third strike defendants are excepted from the provision imposing an indeterminate life sentence (see Pen. Code, § 1170.12, subd. (c)(2)(A) ) and are instead sentenced in the same way as second **425 strike defendants (see id ., subd. (c)(2)(C)): that is, they receive a term equal to 'twice the term otherwise provided as punishment for the current felony conviction' ( id ., subd. (c)(1)). A defendant does not qualify for this ameliorative change, however, if his current offense is a controlled substance charge involving large quantities ( id ., subd. (c)(2)(C)(i)), one of various enumerated *584 sex offenses ( id ., subd. (c)(2)(C)(ii)), or one in which he used a firearm, was armed with a firearm or deadly weapon, or intended to cause great bodily injury ( id ., subd. (c)(2)(C)(iii)). The ameliorative provisions of the Reform Act also do not apply in cases in which the defendant was previously convicted of certain enumerated offenses, including those involving sexual violence, child sexual abuse, homicide or attempted homicide, solicitation to commit murder, assault with a machine gun on a peace officer or firefighter, possession of a weapon of mass destruction, or any serious or violent felony punishable by life imprisonment or death. ( § 1170.12, subd. (c)(2)(C)(iv)(I)-(VIII).) The Act provides that these disqualifying factors must be pleaded and proved by the prosecution. ( § 1170.12, subd. (c)(2)(C).)
"In the Reform Act, the voters also established a procedure for 'persons presently serving an indeterminate term of imprisonment' under the prior version of the Three Strikes law to seek resentencing under the Reform Act's revised penalty structure. ( Pen. Code, § 1170.126, subd. (a).) Under section 1170.126, 'within two years after the effective date of the act ... or at a later date upon a showing of good cause,' such persons can file a petition for a recall of sentence before the trial court that entered the judgment of conviction. (
Id
., subd. (b).) If the petitioner would have qualified for a shorter sentence under the Reform Act version of the law, taking into consideration the disqualifying factors ( § 1170.126, subds. (e), (f) ), section 1170.126 provides that he 'shall be resentenced pursuant to [the Reform Act] unless the court, in its discretion, determines that resentencing the petitioner would pose an unreasonable risk of danger to public safety' (
id
., subd. (f)). In exercising this discretion, the court may consider the defendant's criminal conviction history, the defendant's disciplinary record and record of rehabilitation while incarcerated, and '[a]ny other evidence the court ... determines to be relevant.' (
Id
., subd. (g).)" (
Conley, supra,
63 Cal.4th at pp. 652-653,
Serious and violent felonies are defined in the Penal Code in two ways: by definition or because of the circumstances of their commission. Rape, robbery, murder and other listed offenses are serious or violent by definition.
*232 See Pen. Code, 2 §§ 667.5, subd. (c), 1192.7, subd. (c).) Other felonies may qualify as serious based on a defendant's conduct during their commission. (See, e.g., § 1192.7, subd. (c)(8), (23).) The circumstances of commission requirements are similar to, but different from, the factors set out in the Reform Act's resentencing provisions. (See discussion post .)
B. Facts and Procedure
Defendant James Frierson and his girlfriend, Lynn Thompson, had a stormy relationship. In September 1998, he struck her in the head, broke her car windshield, and threatened to kill her. Frierson was jailed but the couple reconciled and married. When Frierson was subsequently sent to state prison, Thompson told him she was suing for divorce. Frierson responded by sending Thompson a series of letters, threatening to "track [her] down," and saying she "better run fast." He wrote: "I will find you, Lynn, and kill you for causing me so much pain. I want you to *585 feel what I am going through." He indicated he would come to her job or son's school to find her. After Thompson filed divorce papers and secured a restraining order, Frierson sent more letters, threatening to rape and kill her.
A jury convicted defendant of stalking and stalking while violating a restraining order. 3
**426 (§ 646.9, subds. (a), (b).) Frierson had been convicted of robbery (§ 211) in 1981 and 1990, and of inflicting corporal injury on a cohabitant (§ 273.5, subd. (a)) in 1998. The robbery convictions qualified as separate strikes. ( §§ 667.5, subd. (c)(9), 1170.12, subd. (b)(1), 1192.7, subd. (c)(19).) Accordingly, he was sentenced to a term of 25 years to life in prison on one stalking count.
After passage of the Reform Act, defendant petitioned for resentencing. Stalking is not a serious or violent felony by definition. The People opposed resentencing, however. They urged Frierson was ineligible for relief because, during commission of that offense, he "intended to cause great bodily injury to another person." 4 ( § 1170.12, subd. (c)(2)(C)(iii) ; see also § 1170.126, subd. (e)(2).)
The court granted the People's unopposed motion to admit six exhibits, which included trial testimony by Thompson and two officers, as well as a May 2014 letter Thompson wrote to the sentencing court. The court denied resentencing, reasoning Frierson was ineligible because, "even assuming *233 arguendo that the offense of stalking does not involve an intent to cause great bodily injury, the factual circumstances of petitioner's stalking clearly evidence an intent to cause great bodily injury." The court concluded that "the People have amply met their burden of showing by a preponderance of evidence that Petitioner is ineligible for resentencing because petitioner '[d]uring the commission of the current offense, ... intended to cause great bodily injury to another person' ( [ Pen. Code, §] 1170.12 [, subd.] (c)(2)(C)(iii))." The Court of Appeal affirmed.
II. DISCUSSION
A. Burden of Proof for Prospective Application of the Three Strikes Law
The Three Strikes law, both before and after the Reform Act, does not directly mention the applicable burden of proof. However, the Three Strikes law has always required that a qualifying prior conviction be "pled and proved" by the prosecution. ( Pen. Code, § 1170.12, subds. (a), (c)(1), (c)(2)(A).) It has long been settled that "[t]he burden is on the state as in the case of the trial of other factual matters in issue to prove beyond a reasonable doubt those alleged prior convictions challenged by a defendant." (
In re Yurko
(1974)
*586
People v. Towers
(2007)
After passage of the Reform Act, the prosecution bears an additional burden to secure imposition of a third strike sentence. If the current offense is
not
a serious or violent felony, the prosecution must plead and prove facts that demonstrate the defendant is not entitled to the ameliorative changes of the Act. The People do not dispute that stalking is not listed as a serious or violent felony by definition. Accordingly, if Frierson had been prosecuted for
*234
stalking Thompson after the Reform Act's passage, they could only have secured a third strike sentence if they had pled and proved he had two qualifying
**427
strikes and, while committing the current stalking offense, he intended to inflict great bodily injury on Thompson.
5
The People concede that prospective application of the Three Strikes law "requires the prosecution to prove any disqualifying factors beyond a reasonable doubt ...." (Cf.
In re Winship
(1970)
B. Burden of Proof for Ineligibility Criteria at Resentencing
The Reform Act's resentencing mechanism has three separate aspects: (1) the initial petition for recall of the sentence, (2) a determination of eligibility, and (3) the court's discretionary decision whether the defendant poses an unreasonable risk of danger to public safety. The defendant must file a petition for recall of sentence ( § 1170.126, subd. (b) ) and "specify all of the currently charged felonies" that resulted in a third strike sentence, as well as "all of the prior convictions alleged and proved under" the Three Strikes law. ( § 1170.126, subd. (d).)
"[T]he petitioning defendant has the
initial
burden of establishing eligibility, and if that burden is met, then the prosecution has the opportunity to establish ineligibility on other grounds." (
People v. Johnson
(2016)
Once that initial showing is made by the defendant, the prosecution bears the burden of proving that one of the ineligibility criteria applies. The People do not argue otherwise. Placing the burden of proving ineligibility on the prosecution is consistent with the recall statute's statement that it should apply to one "whose sentence under this act would not have been an indeterminate life sentence." ( § 1170.126, subd. (a).)
Turning to Frierson's petition, stalking is not, by definition, a serious or violent felony. Thus, the People could only prove he was ineligible in one of two ways. First, they could offer evidence that defendant's stalking of Thompson was a serious felony because he (a) personally used a firearm or *587 other dangerous or deadly weapon, or (b) personally inflicted great bodily *235 injury on Thompson. ( § 1192.7, subd. (c)(8), (23).) Such proof would establish his current offense for stalking was a serious felony because of the circumstances of its commission. Alternatively, they could prove that, while stalking Thompson, he intended to cause great bodily injury on her. The People argued the latter. Such proof would bring Frierson's current offense within the exclusion provision of sections 1170.12, subdivision (c)(2)(C)(iii) and 1170.126, subdivision (e)(2).
The court, in assessing the People's opposition, applied a preponderance of evidence standard. This application is consistent with
People v. Osuna
(2014)
People v. Arevalo
(2016)
The parties' arguments here mirror the reasoning of Arevalo and Osuna . Defendant argues the parallel structure of the prospective and retrospective portions of the Reform Act reflects an intent that the same beyond a reasonable doubt standard applies for the finding of ineligibility for a second strike sentence in both contexts. The People urge that the lack of a pleading and proof requirement in the resentencing provision reflects an intent that the default preponderance of the evidence standard of Evidence Code section 115 should apply.
Defendant has the better view. The preponderance standard of Evidence Code section 115 applies "[e]xcept as otherwise provided by *236 law ...." Although the resentencing provision of Penal Code section 1170.126 does not expressly reference a standard of proof, as explained below, we conclude that the parallel construction of the prospective and retrospective portions of the Reform Act reflects an electoral intent to apply the same standard for proof of ineligibility for second strike sentencing in both contexts. As such, the Reform Act "otherwise provide[s]" for a different standard of proof, beyond a reasonable doubt, and the default preponderance standard does not apply.
As
Arevalo
observed, we have previously noted that "the parallel structure of the Act's amendments to the sentencing provisions
*588
and the Act's resentencing provisions reflects an intent that sentences imposed on individuals with the same criminal history be the same,
regardless of whether they are being sentenced or resentenced
. Both the sentencing scheme and the resentencing scheme provide for a second strike sentence if the current offense is not a serious or violent felony, and they set forth identical exceptions to the new sentencing rules." (
People v. Johnson
(2015)
We disagree with the People's suggestion that the failure to include a pleading and proof requirement in section 1170.126 reflected an intent to apply a different, and lesser, standard of proof. On this point,
People v. Conley, supra,
Conley
rejected the claim, noting that "the Reform Act is not silent on the question of retroactivity" and section 1170.126 created "a special mechanism that entitles all persons 'presently serving' indeterminate life terms imposed under the prior law to seek resentencing under the new law." (
Conley, supra,
63 Cal.4th at p. 657,
Although Conley was addressing the retroactive application of the Three Strikes law's new ineligibility criteria, its reasoning regarding the awkward application of a pleading and proof requirement to an already-sentenced defendant applies equally here to explain why such a requirement was omitted from the resentencing statute. Section 1170.126 places upon defendants the burden of petitioning for resentencing and specifying their current and prior offenses, which would indicate initial eligibility. A pleading requirement aimed at prosecutors would not fit well under such a scheme. The statute simply requires that the court thereafter determine at the outset "whether the petitioner satisfies the criteria in subdivision (e)." ( § 1170.126, subd. (f).)
Thus, the most reasonable explanation for the omission of a pleading and proof requirement in the resentencing statute is not that this omission was an
*238
implicit comment on the applicable burden of proof, but simply that the ineligibility inquiry happens in a different procedural context. The Three Strikes law was amended for prospective application. In this context, a pleading and proof requirement makes sense. If the prosecution wishes to have a third strike sentence imposed, it must indicate what circumstance makes a defendant subject to an indeterminate sentence and prove that circumstance beyond a reasonable doubt at trial. By contrast, a resentencing proceeding under section 1170.126 necessarily looks backwards. "Although the statute refers to it as the 'current' conviction because it is the conviction for which the petitioner is seeking to be resentenced, the underlying case has been fully litigated. The trial has been held or a plea has been taken, and the defendant is serving his or her sentence." (
People v. Bradford
(2014)
The People urge that because the current offense has been fully litigated, the preponderance standard is appropriate: "[I]mposing a beyond a reasonable doubt standard would in many cases make the prosecution unable to prove ineligibility even for those defendants **430 who truly did have a disqualifying factor-merely because of the happenstance that the prosecution, having no need to prove such a factor years ago, made a less than complete record. Such a windfall for dangerous defendants would not fulfill the voters' intent." 6 However, nothing in the Reform *590 Act's language suggests the electorate contemplated that a lower standard of proof should apply at resentencing to compensate for any potential evidentiary shortcoming at a trial predating the Act. As discussed, the parallel structure of the Act would suggest an opposite intent.
The primary difference between the prospective and retroactive portions of the Act supports application of a reasonable doubt standard as to ineligibility criteria. "The main difference between the prospective and the retrospective parts of the Act is that the retrospective part ... contains an 'escape valve' from resentencing [for] prisoners whose release poses a risk of danger." (
Kaulick, supra,
215 Cal.App.4th at p. 1293,
The determination whether a defendant poses an unreasonable risk of danger to public safety is discretionary ( § 1170.126, subd. (f) ), and several Courts of Appeal have properly concluded that "[t]he facts upon which the court's finding of unreasonable risk is based must be proven by the People by a preponderance of the evidence ... and are themselves subject to [appellate] review for substantial evidence." (
People v. Buford
(2016)
Our conclusion is both consistent with the intent behind the Reform Act and harmonizes its prospective and retroactive portions. As we have explained: "There can be no doubt that the Reform Act was motivated in large measure by a determination that sentences under the prior version of the Three Strikes law were excessive. ... But voters were motivated by other purposes as well, including the protection of public safety. The ballot materials explained that 'dangerous criminals are being released early from prison because jails are overcrowded with nonviolent offenders who pose no risk to the public.' [Citation.] Voters were told that the Reform Act would protect public safety by 'prevent[ing] dangerous criminals from being released early' [citation] and would have no effect on 'truly dangerous criminals' [citation]." (
Conley, supra,
63 Cal.4th at p. 658,
III. DISPOSITION
The Court of Appeal's judgment is reversed and the matter is remanded with directions to return the case to the trial court for further proceedings on defendant's petition.
WE CONCUR:
CANTIL-SAKAUYE, C. J.
CHIN, J.
LIU, J.
CUÉLLAR, J.
KRUGER, J.
MILLER, J. *
Because the relevant portions of the legislative and initiative versions of the Three Strikes law are the same, for convenience, we will hereafter refer to the initiative version. (Pen. Code, § 1170.12.)
Subsequent statutory references are to the Penal Code unless otherwise noted.
Defendant was also convicted of two misdemeanor counts of disobeying a court order (§ 166, subd. (a)(4)), for which he received concurrent terms.
The People also urged that resentencing Frierson would pose an unreasonable risk of danger to public safety. (§ 1170.126, subd. (f).)
As noted, there was no evidence that Frierson used or was armed with a firearm or deadly weapon when he stalked Thompson. (Pen. Code, § 1170.12, subd. (c)(2)(C)(iii).) Likewise, there was no evidence that the current offense was an applicable sex or drug crime, or that the nature of his prior convictions were of a kind that would preclude a second strike term. (§ 1170.12, subd. (c)(2)(C)(i)-(ii), (iv).)
We have no occasion here to consider what kinds of evidence may be offered on the subject of eligibility at a resentencing hearing. The exhibits that were received at Frierson's hearing had been part of the record in the original prosecution proceedings.
In light of our resolution, we do not address defendant's argument that due process requires application of the beyond a reasonable doubt standard.
We disapprove the following cases to the extent they are inconsistent with our opinion:
People v. Perez
(2016)
Associate Justice of the Court of Appeal, First Appellate District, Division Two, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- The PEOPLE, Plaintiff and Respondent, v. James Belton FRIERSON, Defendant and Appellant.
- Cited By
- 67 cases
- Status
- Published