THE PEOPLE, Plaintiff and Respondent, v. JAMES BELTON FRIERSON, Defendant and Appellant.
S236728
IN THE SUPREME COURT OF CALIFORNIA
December 28, 2017
Ct.App. 2/4 B260774; Los Angeles County Super. Ct. No. GA043389
Filed 12/28/17
I. BACKGROUND
A. Statutory Background
We recently considered another aspect of the Reform Act in People v. Conley (2016) 63 Cal.4th 646 (Conley). The background provided there is helpful to an analysis of the current question. “Enacted ‘to ensure longer prison sentences and greater punishment for those who commit a felony and have been previously convicted of serious and/or violent felony offenses’ (
“Under the Three Strikes law as originally enacted, a felony defendant who had been convicted of a single prior serious or violent felony (a second strike defendant) was to be sentenced to a term equal to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.’ (
“The Reform Act changed the sentence prescribed for a third strike defendant whose current offense is not a serious or violent felony. [Citation.]
“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. (
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.
Notes
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 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 (
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 (
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 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’ ([
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. (
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 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 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) 397 U.S. 358, 361-364.)
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 (
“[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) 1 Cal.App.5th 953, 963.) Placing the initial burden on the defendant is consistent with the electorate‘s clear intent that resentencing not be automatic. A defendant must seek out relief, and do so within a specified time period.
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.” (
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 other dangerous or deadly weapon, or (b) personally inflicted great bodily injury on Thompson. (
The court, in assessing the People‘s opposition, applied a preponderance of evidence standard. This application is consistent with People v. Osuna (2014) 225 Cal.App.4th 1020. Osuna concluded that “a trial court need only find the existence of a disqualifying factor by a preponderance of the evidence” (id. at p. 1040), citing
People v. Arevalo (2016) 244 Cal.App.4th 836 disagreed with Osuna and concluded the beyond a reasonable doubt standard applies to ineligibility factors for resentencing. Arevalo noted the parallel structure of the prospective and retrospective portions of the Reform Act and reasoned “not only must there be a heightened standard of proof for section 1170.126 resentencing eligibility determinations, but that—in order to safeguard the intended parallel structure of the Act—the heightened standard of proof should be beyond a reasonable doubt. Under a lesser standard of proof, nothing would prevent the trial court from disqualifying a defendant from resentencing eligibility consideration by completely revisiting an earlier trial, and turning acquittals and not-true enhancement findings into their opposites.” (Id. at p. 853.)
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
Defendant has the better view. The preponderance standard of
As Arevalo observed, we have previously noted that “the parallel structure of the Act‘s amendments to the sentencing provisions 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) 61 Cal.4th 674, 686 (Johnson), italics added.) We conclude the parallel structure of the Act and
We disagree with the People‘s suggestion that the failure to include a pleading and proof requirement in
Conley rejected the claim, noting that “the Reform Act is not silent on the question of retroactivity” and
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.
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 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
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 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 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.) It is this ” ‘escape valve’ ” the electorate had envisioned would prevent dangerous felons from being released under the Reform Act, not application of a lower burden of proof as to ineligibility criteria. Indeed, that the scheme included an additional requirement for resentencing reflects the electorate was aware of the differences between the prospective and retrospective portions of the Act and explicitly distinguished between them when it desired.7
The determination whether a defendant poses an unreasonable risk of danger to public safety is discretionary (
at pp. 1301-1305.) As Kaulick reasoned, “it is the general rule in California that once a defendant is eligible for an increased penalty, the trial court, in exercising its discretion to impose that penalty, may rely on factors established by a preponderance of the evidence. [Citation.] As dangerousness is such a factor, preponderance of the evidence is the appropriate standard.” (Id. at p. 1305.) Defendant does not argue otherwise, and recognizes that “to adjust for situations in which a dangerous defendant is deemed eligible for a sentence recall, for whatever reasons including shortcomings in the record of the prior, the recall court has discretion to decline resentencing to safeguard the public.”
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; see Johnson, supra, 61 Cal.4th at p. 686.) The Reform Act expressly states it should apply to those “whose sentence under this act would not have been an indeterminate life sentence.” (
for resentencing preserves the parallel structure between the prospective and retroactive application of the Three Strikes law as contemplated by the Reform Act. Simultaneously, the trial court‘s discretion to deny resentencing to a defendant who poses an unreasonable danger to the public acts as a safeguard in cases where the record does not establish ineligibility criteria beyond a reasonable doubt. In exercising its discretion, the court may consider a wide variety of factors, such as the petitioner‘s whole criminal history, including “the extent of injury to victims, the length of prior prison commitments, and the remoteness of the crimes,” a petitioner‘s “disciplinary record and record of rehabilitation while incarcerated,” and any other relevant evidence. (
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.
CORRIGAN, J.
WE CONCUR:
CANTIL-SAKAUYE, C. J.
CHIN, J.
LIU, J.
CUÉLLAR, J.
KRUGER, J.
MILLER, J.*
* 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.
See next page for addresses and telephone numbers for counsel who argued in Supreme Court.
Name of Opinion People v. Frierson
Unpublished Opinion
Original Appeal
Original Proceeding
Review Granted XXX 1 Cal.App.5th 788
Rehearing Granted
Opinion No. S236728
Date Filed: December 28, 2017
Court: Superior
County: Los Angeles
Judge: William C. Ryan
Counsel:
Richard B. Lennon and Suzan E. Hier, under appointments by the Supreme Court, for Defendant and Appellant.
Kamala D. Harris and Xavier Becerra, Attorneys General, Gerald A. Engler, Chief Assistant Attorney General, Lance E. Winters, Assistant Attorney General, Steven D. Matthews, Louis W. Karlin and Robert C. Schneider, Deputy Attorneys General, for Plaintiff and Respondent.
Counsel who argued in Supreme Court (not intended for publication with opinion):
Richard B. Lennon
California Appellate Project
520 S. Grand Avenue, 4th Floor
Los Angeles, CA 90071
(213) 243-0300
Robert C. Schneider
Deputy Attorney General
300 South Spring Street, Suite 1702
Los Angeles, CA 90013
(213) 269-6064
