Lead Opinion
Opinion
Juan Carlos Rodriguez (Rodriguez) appeals from a judgment sentencing him to two years’ imprisonment following his conviction for burglary (Pen. Code, § 459) and subsequent revocation of probation for that offense. The trial court revoked Rodriguez’s probation after finding, by a preponderance of the evidence, that Rodriguez had violated a condition of his probation by committing theft. The Court of Appeal reversed, holding that the facts in a probation revocation hearing must be proven by clear and convincing evidence. We are of the opinion that the facts supporting revocation of probation may be proven by a preponderance of the evidence. Accordingly, we reverse the judgment of the Court of Appeal.
I.
Facts and Proceedings Below
In 1985, Rodriguez was convicted of second degree burglary (Pen. Code, § 459) and placed on three years’ probation. The terms and conditions of his probation included a requirement that he obey all laws and not associate with known criminals.
The Court of Appeal held that the grounds for revocation of probation must be established by clear and convincing evidence. Noting that “the case was properly and fairly tried up to the point of decision where the process faltered only on the applicable standard of proof,” the Court of Appeal reversed the judgment of the trial court and remanded for further proceedings consistent with its opinion.
We granted review to determine the proper standard of proof in a probation revocation hearing.
II
Discussion
Pursuant to Penal Code section 1203.2, subdivision (a) (section 1203.2(a)), a court is authorized to revoke probation “if the interests of justice so require and the court, in its judgment, has reason to believe . . . that the person has violated any of the conditions of his or her probation . . .
Considerations of both law and policy dictate that the facts in a probation revocation hearing be provable by a preponderance of the evidence.
First, constitutional principles permit the revocation of probation when the facts supporting it are proven by a preponderance of the evidence. While no constitutional provision declares a standard of proof for probation revocation hearings, the United States Supreme Court has indicated that due process requires no stricter standard of proof in probation revocation hearings than a preponderance of the evidence.
In Morrissey v. Brewer (1972)
Manifestly, “[a]mong the most significant respects in which Morrissey’s ‘minimum requirements of due process’ [for parole revocation] [citations] differ from the ‘full panoply of rights due a defendant [in a criminal prosecution]’ [citations], are with regard to the burden of proof on the state . . . .” (People v. Coleman (1975)
That a standard of “clear and convincing” is not constitutionally required is also shown by the decisions of the United States Courts of Appeals in probation revocation cases in the federal system. Their approach is summarized in United States v. Miller (6th Cir. 1986)
The constitutionality of proof by a preponderance of the evidence of the facts supporting probation revocation derives from the fact that “[Revocation deprives an individual, not of the absolute liberty to which every citizen is entitled, but only of the conditional liberty properly dependent on observance of special [] restrictions.” (People v. Coleman, supra,
Thus, due process has not required a heightened standard of proof in the parole or probation revocation contexts. Instead, legislatures have been constitutionally free to fashion these procedures as pliant tools for use by judges. Our decision today ensures that probation revocation retains such flexibility.
Second, although no statutory provision expressly declares a standard of proof for probation revocation hearings, section 1203.2(a) is properly read as permitting proof by preponderance of the evidence.
Our decision in In re Coughlin, supra,
Third, the cases provide no authority for adhering to a more stringent standard than preponderance of the evidence in probation revocation hearings.
We have not previously had the occasion to address the question whether facts supporting the revocation of probation may be proven by a preponderance of the evidence,
In People v. Coleman, supra,
The Court of Appeal mistakenly relied upon this dicta from People v. Coleman, supra,
The same analysis applies to that line of decisions of the Court of Appeal, also relied upon by the court below, which refer to “[a] clear and satisfactory” showing. Aside from the fact that the precise stringency of this standard is not clear, most of these cases declare only that such a showing is “sufficient."
Thus, our previous pronouncements do not expressly declare a minimum standard of proof for probation revocation hearings. It is, however, accurate to say that there is no prior decisional basis compelling us to interpret section 1203.2(a) as requiring adherence to a more stringent standard than preponderance of the evidence.
Fourth, permitting proof by a preponderance of the evidence in probation revocation hearings furthers sound public policy.
Our trial courts are granted great discretion in determining whether to revoke probation. (In re Coughlin, supra,
In placing a criminal on probation, an act of clemency and grace (People v. Hainline (1933)
In finding proof of a probation violation by preponderance of the evidence sufficient to revoke probation, we follow the majority of jurisdictions. At least 18 jurisdictions use the preponderance-of-the-evidence standard in the context of parole or probation revocation.
For the foregoing reasons, we hold that proof of facts supporting the revocation of probation pursuant to section 1203.2(a) may be made by a preponderance of the evidence.
Disposition
The judgment of the Court of Appeal is reversed with instructions to affirm the judgment of the trial court.
Mosk, J., Eagleson, J., Kennard, J., and Arabian, J., concurred.
Notes
Section 1203.2(a) provides, in relevant part, “At any time during the probationary period of a person released on probation ... if any probation officer or peace officer has probable cause to believe that the probationer is violating any term or condition of his or her probation . . . , the officer may . . . rearrest the person and bring him or her before the court or the court may, in its discretion, issue a warrant for his or her rearrest. Upon such rearrest, or upon the issuance of a warrant for rearrest the court may revoke and terminate such probation if the interests of justice so require and the court, in its judgment, has reason to believe from the report of the probation officer or otherwise that the person has violated any of the conditions of his or her probation, has become abandoned to improper associates or a vicious life, or has subsequently committed other offenses, regardless whether he or she has been prosecuted for such offenses.”
On one occasion, however, we have stated, albeit in passing, that “revocation of probation requires a finding based on preponderance of the evidence.” (People v. Maki (1985)
See People v. Vanella, supra,
(See, e.g., Avery v. State (Alaska 1980)
(See, e.g., Powell v. State (Ala. 1986)
(State v. Painter (1986)
(See People in Interest of C.B. (1978)
In view of this conclusion, it is not necessary that we consider the Attorney General’s contention that the passage of the Crime Victims Justice Reform Initiative (Prop. 115) at the June 5, 1990, Primary Election compels our adoption of the preponderance-of-the-evidence standard for facts supporting revocation of probation.
Concurrence Opinion
I concur in the result reached by the majority. I write separately, however, to suggest additional grounds for our holding. It is manifest that the Legislature, in providing that probation may be revoked when the court has “reason to believe” revocation is warranted (Pen. Code, § 1203.2, subd. (a)), intended the standard of proof to be no greater than a preponderance of evidence.
The majority correctly holds that they do not, noting that no decision has ever required grounds for revocation to be proved beyond reasonable doubt (see maj. opn., ante, at pp. 441-442), and concluding that proof by preponderance of evidence is sufficient because revocation deprives the probationer only of “conditional liberty properly dependent on observance of special [ ] restrictions.” (Id. at p. 442.) We should also explain why the loss of conditional liberty entailed in revocation of probation does not warrant proof by an intermediate standard. Use of such a standard would not be altogether unprecedented; the United States Supreme Court has held, for example, that due process affords probationers a nonabsolute right to counsel—a protection less stringent than that afforded criminal defendants but greater than that enjoyed by civil litigants. (See Gagnon v. Scarpelli (1973)
The majority notes, albeit in a different context, one relevant factor in the due process equation: only a small minority of jurisdictions require proof by more than a preponderance of evidence. (See maj. opn., ante, at pp. 446-447.) As the high court has held, “A legislative judgment that is not only consistent with the ‘dominant opinion’ throughout the country but is also in accord with ‘the traditions of our people and our law,’ see Lochner v. New York,
A probationer’s interest in retaining his conditional liberty, although not to be demeaned, is insufficient to overcome this presumption. The mere fact that a probationer’s liberty interest is “conditional” does not of its own
For these reasons, I concur in the majority’s conclusion that a preponderance-of-evidence standard satisfies the requirements of due process in the probation revocation setting.
In this respect, it may be wondered why we hold that even proof by preponderance of evidence is required. As the majority notes (see maj. opn., ante, p. 446), the federal courts have generally held that probation in the federal system may be revoked if the judge is “reasonably satisfied” that such a step is warranted, and at least two courts have held that this standard is lower than preponderance of evidence. (See United States v. Smith (7th Cir. 1978)
As is suggested by the views of these courts, we arguably should consider here (even though the parties do not raise the question) whether a standard similar to that employed in
Concurrence Opinion
I agree with the majority’s conclusion
that the applicable language of Penal Code section 1203.2, subdivision (a)— a “court may revoke . . . probation if. . . the court, in its judgment, has reason to believe . . . that the [probationer] has violated any of the conditions of. . . probation ... or has subsequently committed other offenses ...” (italics added)—authorizes the revocation of probation on the basis of a “preponderance of the evidence” standard of proof. I do not agree, however, with the majority’s suggestion that, as a matter of policy, a “preponderance of the evidence” standard is superior to a “clear and convincing evidence” standard. (See maj. opn., ante, at p. 445.)
If this court were free to decide the question of the applicable standard of proof at a probation revocation proceeding on the basis of our own policy determination, I would conclude, for the reasons expressed by the drafters of the American Bar Association Standards for Criminal Justice (ABA Standards), that a probationer should have “the right to require the government to establish [a probation] violation by clear and convincing evidence, unless the probationer admits the violation . . . .” (3 ABA Standards for Criminal Justice, std. 18-7.5 (2d ed. 1980) p. 525.) As the commentary to the ABA Standards explains: “Underlying [the standard’s] position is the
While I personally find the position of the ABA Standards persuasive— particularly the concern expressed with the tendency to resort to revocation as a means of avoiding the constitutionally mandated procedural safeguards of an ordinary criminal prosecution—my own view of the more enlightened policy on this subject is of no moment in this case, given the controlling provisions of Penal Code section 1203.2. I agree with the majority that section 1203.2 cannot reasonably be interpreted to require that a probation violation be proved by “clear and convincing evidence.” Since I find nothing in the relevant authorities to suggest that a “preponderance of the evidence” standard is constitutionally impermissible in this context,
Appellant’s petition for a rehearing was denied October 25, 1990.
See, for example, State v. Maier (Me. 1980)
