People v. Anderson CA4/1
- Proceeding
- appeal from an order
- Trial court
- Superior Court of San Diego County · No. SCD284975
- Trial judge
- Jeffrey F. Fraser
- Outcome
- reversed — Reversed.
- Area
- criminal
- Panel
- William S. Dato (author), O'Rourke, Truc T. Do
Analysis
The trial court denied Anderson's petition for resentencing under Penal Code section 1172.6, concluding that his plea admissions to personally using a firearm and committing the offense for the benefit of a gang established he was a direct perpetrator ineligible for relief. The Court of Appeal reversed, holding that the record of conviction did not refute the prima facie case as a matter of law because the admissions were ambiguous and did not conclusively prove direct perpetration.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Denial of petition for resentencing under Penal Code section 1172.6“Petitioner pled to attempted murder as a direct perpetrator. [¶] Petitioner admitted in the change of plea to personally using a firearm during the attempted murder, and in the furtherance of and for the benefit of, a criminal street gang. [¶] Accordingly, the Petition is denied.” | de novo | error | agree with court The trial court erred by treating the plea form's statutory language as a conclusive admission of direct perpetration. The appellate court correctly applied the standard that a petition can only be denied at the prima facie stage if the record refutes the claim as a matter of law, finding the record insufficient to exclude the natural and probable consequences theory. |
Authorities
- relied: People v. Lewis (2021) 11 Cal.5th 952 — Establishes the standard for reviewing the record of conviction at the prima facie stage and prohibits factfinding or weighing of evidence by the trial court at this juncture.
- relied: People v. Flores (2022) 76 Cal.App.5th 974 — A petitioner may be found summarily ineligible for resentencing only if the record establishes, as a matter of law, that the petitioner could presently be convicted of the offense.
- relied: People v. Bratton (2023) 95 Cal.App.5th 1100 — The appellate court independently reviews a trial court's determination as to whether a petitioner has made an adequate prima facie showing.
- relied: People v. McCoy (2001) 25 Cal.4th 1111 — Under the natural and probable consequences doctrine, an aider and abettor is guilty of any other offense that was a natural and probable consequence of the crime aided and abetted.
- relied: People v. Carrasco (2006) 137 Cal.App.4th 1050 — Personal use of a firearm may be found where the defendant intentionally displayed a firearm in a menacing manner to facilitate the commission of an underlying crime, which does not necessarily imply direct perpetration of the underlying offense.
- relied: People v. Granado (1996) 49 Cal.App.4th 317 — Personal use of a firearm does not require the discharge of the weapon or that the weapon be pointed at the victim.
- relied: People v. Self (2012) 204 Cal.App.4th 1054 — The record of conviction includes charging documents, the change of plea form, and the abstract of judgment.
- relied: People v. Harden (2022) 81 Cal.App.5th 45 — The Legislature amended the natural and probable consequences doctrine to state that malice shall not be imputed to a person based solely on their participation in a crime.
- relied: People v. Sanchez (2022) 75 Cal.App.5th 191 — At the time of the defendant's plea, it was not clear that the natural and probable consequences doctrine no longer supported a conviction for attempted murder.
The appellate opinion: sound — The opinion is sound because it correctly applies the legal standard that a prima facie showing is defeated only if the record refutes the claim as a matter of law, and it properly identifies that statutory recitations in a plea form do not necessarily constitute admissions of direct perpetration. The court effectively distinguishes between the elements of the crime and the specific factual admissions required to exclude the natural and probable consequences theory.
The San Diego Superior Court summarily denied Myles Anderson's Penal Code section 1172.6 resentencing petition at the prima facie stage, reasoning that his 2020 guilty plea to attempted murder with a personal firearm use enhancement and gang enhancement showed he pled as a direct perpetrator. The Court of Appeal reversed, holding that the plea admissions merely tracked statutory language and did not conclusively refute his eligibility as a matter of law, and directed the trial court to issue an order to show cause and hold an evidentiary hearing.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Summary denial of section 1172.6 petition at the prima facie stage on the ground that the record of conviction showed Anderson pled guilty to attempted murder as a direct perpetrator“we conclude that the trial court erred in summarily denying Anderson’s petition and not affording him an evidentiary hearing under section 1172.6, subdivision (d).” | de novo | error (law misapplied) | agree with court Under Lewis and Flores, a petition may be denied at the prima facie stage only if the record of conviction refutes the petitioner's allegations as a matter of law without factfinding. Anderson's plea form and colloquy merely recited the statutory elements of attempted murder and the enhancements; nothing in that language admits that he personally harbored intent to kill or acted as the direct perpetrator rather than as an aider and abettor liable under the natural and probable consequences doctrine, which was still viable for attempted murder when he pled in 2020. The trial court's characterization of the plea as one 'as a direct perpetrator' added a fact not present in the record. |
Treating the admitted section 12022.53, subdivision (b) personal firearm use enhancement as establishing conduct that forecloses relief“Anderson’s admission to personal use of a firearm under section 12022.53, subdivision (b) does not necessarily foreclose an attempted murder conviction on a natural and probable consequences theory.” | de novo | error (law misapplied) | agree with court Personal use under section 12022.53(b) requires only intentional display or menacing use of a firearm to facilitate the crime, not discharge, not pointing it at the victim, and not an intent to kill (Carrasco; Granado). An aider and abettor who brandishes a gun during a target offense could satisfy the enhancement while the attempted murder itself was imputed under the natural and probable consequences doctrine. The enhancement therefore does not establish ineligibility as a matter of law, and the court correctly so held. |
Authorities
- relied: People v. Lewis (2021) 11 Cal.5th 952 — At the prima facie stage the trial court may consult the record of conviction but may not engage in factfinding, weighing of evidence, or exercise of discretion; the prima facie bar is low.
- relied: People v. Flores (2022) 76 Cal.App.5th 974 — A petitioner may be found summarily ineligible only if the record of conviction establishes as a matter of law that he could presently be convicted of murder or attempted murder.
- relied: People v. Bratton (2023) 95 Cal.App.5th 1100 — Appellate courts independently review a trial court's determination whether a petitioner made a prima facie showing under section 1172.6.
- relied: People v. Self (2012) 204 Cal.App.4th 1054 — The record of conviction includes the charging documents, the change of plea form, and the abstract of judgment.
- relied: People v. McCoy (2001) 25 Cal.4th 1111 — Under the natural and probable consequences doctrine an aider and abettor is liable for any offense that was a natural and probable consequence of the crime aided and abetted.
- relied: People v. Sanchez (2022) 75 Cal.App.5th 191 — At the time of pleas before Senate Bill 775, it was unsettled whether the natural and probable consequences doctrine still supported attempted murder liability.
- relied: People v. Carrasco (2006) 137 Cal.App.4th 1050 — Personal use of a firearm may be found where the defendant intentionally displayed a firearm in a menacing manner to facilitate the underlying crime.
- relied: People v. Granado (1996) 49 Cal.App.4th 317 — Firearm use does not require discharge of the weapon or that it be pointed at the victim.
- relied: People v. Harden (2022) 81 Cal.App.5th 45 — Senate Bill 1437 amended section 188 so that malice may not be imputed based solely on participation in a crime.
The appellate opinion: sound — The opinion correctly applies Lewis and Flores to hold that plea admissions phrased in bare statutory language cannot refute a prima facie case as a matter of law, and it persuasively explains why a personal firearm use admission is consistent with aider-and-abettor liability under the natural and probable consequences doctrine. The analysis is brief but complete for the issues presented, and the remedy of remand for an order to show cause and evidentiary hearing is the standard one.
Opinion
Filed 12/11/23 P. v. Anderson CA4/1 NOT TO BE PUBLISHED IN OFFICIAL REPORTS California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.
COURT OF APPEAL, FOURTH APPELLATE DISTRICT
DIVISION ONE
STATE OF CALIFORNIA
THE PEOPLE, D081411
Plaintiff and Respondent, v. (Super. Ct. No. SCD284975)
MYLES DEANDRE ANDERSON,
Defendant and Appellant.
APPEAL from an order of the Superior Court of San Diego County, Jeffrey F. Fraser, Judge. Reversed. Pauline E. Villanueva, under appointment by the Court of Appeal, for Defendant and Appellant. Rob Bonta, Attorney General, Lance E. Winters, Chief Assistant Attorney General, Charles C. Ragland, Assistant Attorney General, A. Natasha Cortina, Lynne G. McGinnis and Christine Levinston Bergman, for Plaintiff and Respondent. Defendant Myles Deandre Anderson appeals the denial of his petition for resentencing under Penal Code section 1172.6.1 We conclude that the record of conviction does not refute Anderson’s prima facie case for relief as a matter of law. Accordingly, we reverse.
FACTUAL AND PROCEDURAL BACKGROUND
In 2020, Anderson pleaded guilty to attempted murder in violation of sections 664 and 187, subdivision (a). He admitted to personally using a firearm, within the meaning of section 12022.53, subdivision (b), and that the offense was committed for the benefit of a criminal street gang, within the meaning of section 186.22, subdivision (b)(1). Anderson’s change of plea form, phrased in statutory language, admitted that he “unlawfully attempted to murder a human being while personally using a firearm and in furtherance or for the benefit of a criminal street gang, to wit, Lincoln Park, a criminal street gang.” At his change of plea hearing, the court said:
“The factual basis of your plea has been listed on the plea form, and it states that you did unlawfully attempt to murder a human being while personally using a firearm and in furtherance of, for the benefit of a criminal street gang, specifically Lincoln Park, which is a criminal street gang. Is that what happened?”
Anderson said, “Yes.” In accordance with the plea agreement, the court sentenced him to 15 years in prison. In 2022, Anderson filed a petition for resentencing pursuant to section 1172.6. Using a form petition, Anderson claimed:
1 Further undesignated statutory references are to the Penal Code. 2 1. “A complaint, information, or indictment was filed against [him] that allowed the prosecution to proceed under a theory of felony murder, murder under the natural and probable consequences doctrine or other theory under which malice is imputed to a person based solely on that person’s participation in a crime, or attempted murder under the natural and probable consequences doctrine. ([Former § 1170.95, subd. (a)(l), now § 1172.6)].)”;
2. “[He] accepted a plea offer in lieu of a trial at which [he] could have been convicted of murder or attempted murder. ([§ 1172.6, subd. (a)(2)].)”; and 3. “[He] could not presently be convicted of murder or attempted murder because of changes made to Penal Code §§ 188 and 189, effective January 1, 2019. ([§ 1172.6, subd. (a)(3)].)”
The People filed a brief in opposition, and Anderson (through court-appointed counsel) submitted a reply brief. The court held a hearing and denied the petition, drawing attention to the change of plea form, “page 3, which . . . very clearly states that ‘the defendant personally used a firearm, and in furtherance [sic] in order to help a criminal street gang.’ ” A written order, filed several days later, stated: “Petitioner pled to attempted murder as a direct perpetrator. [¶] Petitioner admitted in the change of plea to personally using a firearm during the attempted murder, and in the furtherance of and for the benefit of, a criminal street gang. [¶] Accordingly, the Petition is denied.”
DISCUSSION
Senate Bill No. 1437 (2017–2018 Reg. Sess.) amended the felony murder rule and the natural and probable consequences doctrine as related to murder “ ‘to ensure that murder liability is not imposed on a person who is not the actual killer, did not act with the intent to kill, or was not a major 3 participant in the underlying felony who acted with reckless indifference to human life.’ ” (Ibid.; People v. Lewis (2021) 11 Cal.5th 952, 959 (Lewis).) “The Legislature also amended the natural and probable consequences doctrine by adding subdivision (a)(3) to section 188, which states that ‘[m]alice shall not be imputed to a person based solely on his or her participation in a crime.’ ” (People v. Harden (2022) 81 Cal.App.5th 45, 51.) In addition, Senate Bill No. 1437 created procedures “for convicted murderers who could not be convicted under the law as amended to retroactively seek relief.” (Lewis, supra, 11 Cal.5th at p. 957.) The Legislature subsequently extended relief to defendants convicted of attempted murder based on the natural and probable consequences doctrine. (Sen. Bill No. 775, ch. 551 (2021–2022 Reg. Sess.) § 1.) Under these procedures, now codified at section 1172.6, a person convicted of “attempted murder under the natural and probable consequences doctrine . . . may file a petition with the court that sentenced the petitioner to have the . . . conviction vacated and to be resentenced on any remaining counts.” (§ 1172.6, subd. (a).) After receipt of such petition, the trial court must “hold a hearing to determine whether the petitioner has made a prima facie case for relief.” (Id., subd. (c).) In determining whether there is a prima facie case for relief, the trial court may rely on the record of conviction (Lewis, supra, 11 Cal.5th at pp. 970–971), which includes “the charging documents, the change of plea form, and the abstract of judgment” (People v. Self (2012) 204 Cal.App.4th 1054, 1059). “In reviewing any part of the record of conviction at this preliminary juncture, a trial court should not engage in ‘factfinding involving the weighing of evidence or the exercise of discretion.’ ” (Lewis, supra, 11 Cal.5th at p. 972.) A petitioner may be found summarily ineligible for 4 resentencing only “if the record establishes, as a matter of law, that . . . [he or she] could presently be convicted of . . . attempted murder.” (People v. Flores (2022) 76 Cal.App.5th 974, 987 (Flores).) We independently review a trial court’s determination as to whether a petitioner has made an adequate prima facie showing. (People v. Bratton (2023) 95 Cal.App.5th 1100, 1113.) The offense and enhancements in Anderson’s plea do not inherently eliminate the possibility that he could have been convicted under a now- invalid theory. “[U]nder the natural and probable consequences doctrine, an aider and abettor is guilty not only of the intended crime, but also ‘for any other offense that was a “natural and probable consequence” of the crime aided and abetted.’ ” (People v. McCoy (2001) 25 Cal.4th 1111, 1117.) At the time Anderson pleaded guilty, it was not clear that the natural and probable consequences doctrine no longer supported a conviction for attempted murder. (See People v. Sanchez (2022) 75 Cal.App.5th 191, 193.) In finding Anderson ineligible for resentencing relief as a matter of law, the trial court relied on Anderson’s stipulation in support of his plea that he “unlawfully attempted to murder a human being while personally using a firearm.” Anderson contends that this statement is not sufficient to prove that he is ineligible for resentencing because it “did nothing more than track the bare statutory elements for attempted murder.” We agree. A section 1172.6 resentencing petition can only be denied at the prima facie stage if there are facts in the record of conviction that conclusively refute the petitioner’s assertions as a matter of law. (Flores, supra, 76 Cal.App.5th at p. 987.) Here, Anderson’s nearly identical admissions in the change of plea form and at the change of plea hearing lack sufficient clarity to foreclose the possibility that he might be entitled to relief. Although these statements could convey that Anderson personally used a gun to try to kill a 5 person, they could also be interpreted to mean that he engaged in conduct amounting to a violation of sections 664 and 187, subdivision (a) and associated enhancements under sections 12022.53, subdivision (b), and 186.22, subdivision (b)(1). Anderson’s admission to personal use of a firearm under section 12022.53, subdivision (b) does not necessarily foreclose an attempted murder conviction on a natural and probable consequences theory. “Personal use of a firearm may be found where the defendant intentionally displayed a firearm in a menacing manner in order to facilitate the commission of an underlying crime.” (People v. Carrasco (2006) 137 Cal.App.4th 1050, 1059.) Use does not require discharge of the weapon, or even that the weapon be pointed at the victim. (See People v. Granado (1996) 49 Cal.App.4th 317, 322.) In other words, Anderson’s concession that he violated the attempted murder statutes, coupled with an agreement to personal use of a firearm that might mean he simply brandished a gun, does not necessarily admit conduct that conclusively forecloses section 1172.6 relief. As there are no other relevant facts in Anderson’s scant record of conviction, we conclude that the trial court erred in summarily denying Anderson’s petition and not affording him an evidentiary hearing under section 1172.6, subdivision (d).
6 DISPOSITION
We reverse the trial court’s order denying the petition. On remand, the trial court is directed to issue an order to show cause pursuant to section 1172.6, subdivision (c), and to conduct an evidentiary hearing pursuant to subdivision (d). We express no opinion on the outcome of that hearing.
DATO, J.
WE CONCUR:
O’ROURKE, Acting P. J.
DO, J.
Cites, in this corpus
- People v. Lewis S260598 · 2021-07-26
- People v. Self No. D058656 · 2012-04-04
- People v. Carrasco B178115 · 2006-03-23
- People v. McCoy S087893 · 2001-06-25
- People v. Granado A069538 · 1996-09-13