Lead Opinion
Opinion by Judge MINER; Partial Concurrence and Partial Dissent as to Part III by Judge WARDLAW.
I. Introduction
Alberto Francisco Briceno appeals from a judgment of the United States District Court for the Central District of California (Morrow, J.) denying his petition for a writ of habeas corpus. Briceno was convicted, following a jury trial, of four counts of second degree robbery and four counts of street terrorism in the Superior Court of Orange County. The jury also found that the robberies were committed for the benefit of a criminal street gang. Briceno pursued various challenges to his convictions in the California state courts and in the District Court. Ultimately, we granted a certificate of appealability as to two issues that are now before us to resolve: “(1) whether there is sufficient evidence to support the gang enhancement convictions for each robbery; and (2) whether the trial court erred by allowing the prosecution’s expert to testify that the gang enhancement allegations were true.” See 28 U.S.C. § 2253(c)(3). After setting forth the background facts, we analyze these issues in reverse order, answering both in the negative.
II. Of the Crimes
Briceno and Evaristo Landin robbed four individuals in Orange County on Christmas Day 2000 in what the California Court of Appeal aptly characterized as a “grinchly crime wave.” People v. Briceno,
About an hour and a half later, Richard Jess noticed a parked sedan with its headlights on as he was walking through a Comfort Inn parking lot. Landin approached him from the rear, put his arm around Jess’s neck, stuck a gun in his ribs, and demanded his valuables. Landin was able to extricate only $2.00 from Jess. During this time, the sedan was moving forward slowly in an adjoining parking lot. After the encounter, Jess saw Landin, who
Within the hour, Judy Yonamine аrrived at her residence in Garden Grove. As she unloaded some items from the trunk of her car, another car pulled up and stopped, with its lights on and its engine still running. Landin emerged from the front passenger side and asked for money. When Yonamine said she had none, Landin produced a gun and took her wallet, which contained $25.00. Landin then ran back to the car, which sped away. Soon thereafter, Landin approached Jesus Mendoza, who was unloading his van in Anaheim. Mendoza gave up his wallet and $18.00 in cash when Landin pointed a pistol at him.
Landin was in the passenger seat and Briceno was behind the wheel when Anaheim Officer Raymond Drabek stopped the Cadillac sedan in which they were traveling as it made a U-turn on Harbor Boulevard near Disneyland. The car and license plate number matched the description provided by the robbery victims. Discovered under the front passenger seat were $300.00 in cash and a pellet gun. A beanie cap identified by one of the victims as worn by one of the perpetrators was found in the Cadillac, and small amounts of cash were found on both Landin and Briceno.
III. Of the Trial
At trial in the Superior Court, the prosecution sought to persuade the jury that the four robberies were committed for the benefit of, at the direction of, or in association with a criminal street gang, in order to call forth the enhanced penalties attendant to such a finding under California law. See Cal. Penal Code § 186.22(b). In this connection, counsel for the prosecution and counsel for Briceno agreed to the following oral stipulation, which was read to the jury:
It is stipulated between the People and Defendant Briceno that Hard Times was a criminal street gang within the meaning of Penal Code Section 186.22 at all times relevant to this case.
It is further stipulated that on 12/25/2[ ]000, that Defendant Briceno actively participated in the Hard Times criminal street gang with knowledge that the Hard Times members have engaged in a pattern of criminal gang activity, as defined in Penal Code Section 186.22. It is specifically not stipulated that Defendant Briceno aided and abetted another gang member in committing the crime of [robbery] on 12/25/2[ ]000.
Following the reading of the Stipulation, the court instructed the jury that the Stipulation applied to Briceno only and not to Landin, who was chаrged as a co-defendant and with whom Briceno was being jointly tried.
In support of the criminal street gang enhancement, the prosecution also presented the trial testimony of Peter Vi, who was employed in the position of Gang Investigator by the City of Garden Grove Police Department. Vi related his training and experience in the investigation of criminal street gangs and was offered as an expert witness by the prosecution. He testified that he had made several hundred arrests related to gang membership and described the structure, operations, culture, and criminal activities of gangs generally.
Vi related the manner in which members are inducted into gangs, the conduct required of gang members, and their duties of loyalty to the gang. He also described the symbols of gang membership, including tattoos and “monikers” (i.e., names given to gang members by other members). With regard to the role of respect in gang culture, Vi testified:
Respect means everything to a gang member. You know, he lives and dies by this term, respect. Respect means power and they gain respect by using violence to gain their power. And not only respect of self, for the gang, gain their status in the gang, increase their recruitment of gang members into that gang.
Vi testified that he was familiar with the activitiés of the Hard Times street gang, having been assigned to patrol its area of operations. He described Hard Times as a “territorial street gang” and as a “criminal street gang” that dominated a three-block neighborhood in Garden Grove. Vi estimated the total membership of the gang as approximately two hundred. According to Vi, gang members usually commit crimes with other gang members, and robbery is considered a status-enhancing act. The following question was put to Vi at trial:
Now, if I were to ask you to assume that we had two Hard Times criminal street gang members, one driving, one in the passenger seat, drive to Costa Mesa on December 25th of the year 2000, and then at a little after 1:00 a passenger got out, pointed a pellet gun at one and robbed him of money and got back into the car and the two Hard Time members drove off, and then at a little after 2:30 A.M., in Anaheim, same two individuals with the same person driving approached a second person, passenger getting out, pulling the pellet gun and, once again, rоbbing an individual of money, getting back in the car and driving off.
And then assuming further that around 3:30 that same morning, that a third individual is approached in an alley off Mallul Street in Anaheim, once again, same person driving, passenger gets out, points the pellet gun at somebody and takes money from him, and then a few minutes later, or around the same time, right around 3:30 in Garden Grove on Bayport, the same two individuals with the same person driving, the passenger gets out of the car, goes up to an individual, displays the gun in some manner and take properties from her, and then gets back into the car and drives off, and then the same two individuals are stopped five to ten minutes later at Ka-tella and Anaheim.
Do you have an opinion as to whether or not the crimes of [robbery], each one of those four crimes were committed for the benefit of, at the direction of, or in association with the criminal street gang Hard Times, and with intent to promote, further and assist criminal conduct by members of the Hard Times gang?
Vi’s response, following an overruled objection, was as follows:
My opinion is that, based on the scenario you gave me, the two Hard Timers, the crimes they were involved in benefit the gang itself, the action that they have done to glorify the gang.
Not only do they glorify the gang but personally they increase the status of those two in the gang itself, because, one, they commit this crime, the possibility of them involving other crimes are or being asked to do other crimes in the gang—
It gives them the opportunity to participate in other crimes if other Hard Timers solicit them to assist.
Subsequently, Vi was asked whether it would change his opinion to know that the robberies were committed to buy Christmas presents. He said it would not, because the status of the individuals would nevertheless be increased within the gang. On cross-examination, when asked about a robbery involving only a small amount of money, he responded that “it would glorify
On July 13, 2001, the jury convicted Briceno of four counts of second degree robbery, in violation of California Penal Code § 211, and four counts of street terrorism, in violation of California Penal Code § 186.22(a). The jury also found that all four robberies were committed for the benefit of, at the direction of, or in association with a criminal street gang within the meaning of California Penal Code § 186.22(b)(1). The jury made the same findings as to Landin.
The trial court found separately that Briceno had committed two prior serious or violent felonies within the meaning of the California Three Strikes Law and had previously served a prison term. Taking all factors into account and staying the imposition of the sentence for the street terrorism convictions, the court imposed upon Briceno an indeterminate sentence of 27 years to life and a determinate sentence of 23 years and 4 months. Included in the sentences were enhancements based on the criminal street gang findings.
IV. Of the State Court Appeals and the Habeas Petition
Briceno appealed his conviction to the California Court of Appeal. On June 20, 2003, the Court of Appeal issued an opinion in which it held that the criminal street gang enhancements provided under § 186.22 “cannot be used to transform an unenumerated offense into a ‘serious’ felony” under the California Penal Code. See Briceno,
Thereafter, Briceno filed a petition for review in the California Supreme Court, contending that the admission in evidence of the gang expert’s opinion testimony violated his jury trial and due process rights. He also contended that there was insufficient evidence to support one of his robbery convictions and the gang enhancements. The State of California also petitioned the California Supreme Court for review, asserting that the Court of Appeal erred in finding that felonies with gang enhancement are not serious felonies under the California Three Strikes Law. On September 24, 2003, the Supreme Court granted the State’s petition only and, on November 4, 2004, issued its opinion in the case. People v. Briceno,
On May 16, 2005, Briceno filed a petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254 in the United States District Court for the Central District of California. In his petition, Briceno advanced the following three grounds for relief:
Petitioner was denied due process and a trial by jury as a result of the gang expert’s improper opinion testimony....
Petitioner was denied due process because there was insufficient evidence to support the robbery conviction on count 4 and the gang enhancements on Counts 1-4 beyond a reasonable doubt....
Petitioner was denied due process because there was insufficient evidence that his 1998 conviction was a prior felony conviction for purposes of the 3 strikes law and the enhancement under Pen.Code sec 667(a).
On May 11, 2006, Magistrate Judge Lum issued a comprehensive Report and Recommendation recommending denial of the petition in all respects. The District Judge adopted the Report and Recommendation over Briceno’s objections in an Order dated July 19, 2006, and directed that judgment be entered dismissing the petition with prejudiсe. On May 11, 2007, the District Court issued an Order denying an application filed by Briceno for a certificate of appealability, finding that Briceno “has not made a substantial showing of the denial of a constitutional right, as is required to support the issuance of a Certificate of Appealability.” An application for a certificate thereafter made to this court was granted by Order filed on August 2, 2007, with respect to the issues set forth in Part I above.
ANALYSIS
I. Of the Standards to be Applied
We are constrained to undertake a de novo review of a district court’s decision to deny a petition for habeas corpus. See Lambert v. Blodgett,
The Supreme Court has observed that § 2254(d) established a “highly deferential standard for evaluating state court rulings.” Woodford v. Visciotti,
II. Of the Challenge to the Expert Testimony
Briceno contends that the state appellate court, in affirming the state trial court, unreasonably applied established federal law by allowing expert testimony
Briceno claims that Vi’s “testimony should have been excluded because it was based on facts insufficient to support an opinion on the issue, constituted improper opinion on guilt, and essentially directed the jury to find the gang enhancements true.” In holding that the trial court did not abuse its discretion in determining that Vi’s expert opinion would assist the jury in deciding whether the prosecution had proved the gang enhancement allegations, the appellate court referred to California precedent:
As People v. Olguin (1994)31 Cal.App.4th 1355 ,37 Cal.Rptr.2d 596 [,] explains, “[t]he requirements for expert testimony are that it relate to a subject sufficiently beyond common experience as to assist the trier of fact and be based on matter that is reasonably relied upon by an expert in forming an opinion on the subject to which his or her testimony relates. Such evidence is admissible even though it encompasses the ultimate issue in the case.”
People v. Briceno, Nos. G029525, G029607,
In any event, evidence erroneously admitted warrants habeas relief only when it results in the denial of a fundamentally fair trial in violation of the right to due process. See Estelle v. McGuire,
The thrust of Briceno’s evidentiary challenge is that Vi’s testimony that the hypothetical robberies would have been gang-related should have been excluded as pertaining to an ultimate issue for the jury. Our recent decision in Moses forecloses such a challenge, as it holds that there is no clearly established constitutional right to be free of an expert opinion on an ultimate issue. See
III. Of the Sufficiency of the Evidence to Support the Gang Enhancement Penalties
Briceno also argues that the evidence at trial was insufficient to support the enhancements, as there was not sufficient evidence to sustain the conclusion that the robberies were committed with the specific intent to benefit a criminal street gang. We agree.
To prevail on an insufficiency of evidence claim, a habeas petitioner must show that “upon the record evidence adduced at the trial[,] no rational trier of fact could have found proof of guilt beyond a reasonable doubt.” Jackson v. Virginia,
To warrant a gang enhancement, California law requires the prosecutor to prove two things. First, the prosecutor must demonstrate that the defendant committed a felony “for the benefit of, at the direction of, or in association with [a] criminal street gang.” Cal.Penal Code § 186.22(b)(1). Second, the prosecutor must show that the defendant committed the crime “with the specific intent to promote, further, or assist in any criminal conduct by gang members.” Id. We have previously recognized the importance of keeping these two requirements separate, and have emphasized that the second step is not satisfied by evidence of mere membership in a criminal street gang alone. See Garcia v. Carey,
The California Court of Appeal limited its analysis of the sufficiency of the evidence supporting the criminal street gang enhancements to the following:
Defendants note there was evidence to show the crimes were committed for personal gain (money to buy Christmas gifts) rather than any gang-related purpose. The problem with this argument is that[it] ignores Vi’s expert testimony explaining how the commission of these crimes would enhance the reputation not only of the gang itself but of the individual participants as well. Based on this evidence, the jurors could reasonably have found the gang enhancement allegations were true. It was for the jurors to resolve any credibility issues or conflicts in the evidence. We cannot second-guess their decision on appeal.
Briceno,
First, Vi’s testimony did not establish Briceno’s specific intent in committing the robberies, nor could it. Vi’s testimony dealt almost exclusively in hypothеticals; he did not provide any direct or circum
Second, the California Court of Appeal’s analysis runs afoul of this court’s decision in Garcia v. Carey. In Garcia, the defendant, a known gang member, robbed the victim “in an area known to be in the heart of the gang’s ‘turf.’ ”
The State urges us to disregard Garcia, citing two California appellate court decisions holding that Garcia misinterpreted California law. See People v. Hill,
Although we are ordinarily bound by a state’s highest court’s interpretation of its own statute, see Dimidowich v. Bell & Howell,
To the extent that the California Supreme Court has provided an authoritative interpretation of § 186.22(b), that interpretation suggests that the Court would not adopt the State’s understanding of Romero and Hill. In People v. Gardeley,
Moreover, as this court previously recognized in Garcia, the California Supreme Court’s analysis in Gardeley highlights the type of evidence necessary to sustain gang enhancements under § 186.22(b). In Gardeley, the California Supreme Court found sufficient evidence of gang-related criminal conduct where two gang members severely beat and robbed their victim in full view of neighboring apartment residents. A gang expert testified that such an assault on the gang’s own “turf,” where they had effectively monopolized the drug
This theme also runs throughout the other California cases cited by the State, including Romero and Hill. In each case, a jury could reasonably conclude that the defendant committed the crime with the specific intent to benefit the gang, as the defendant either committed the crime to protect gang “turf’ or brandished gang signs or a gang moniker during the attack. See, e.g., People v. Villalobos,
We conclude that on the facts of this case, the California Supreme Court would not hold that there was sufficient evidence to establish a “specific intent to promote, further, or assist in any criminal conduct by gang members,” as required by statute. See Cal. Penal Code § 186.22(b)(1). According to the dissent, however, the California Supreme Court “has already considered and implicitly rejected Brice-no’s argument regarding insufficiency of the evidence!)]” Diss. Op. at 1086.
We disagree. In the state proceedings, both the State and Briceno filed petitions for review with the California Supreme Court. The California Supreme Court granted only the State’s petition for review. That petition related to a separate legal question concerning California’s Three Strikes law. See People v. Briceno,
We emphasize that Garcia does not displace the Jackson standard as the proper lens with which we review state-court decisions. This court’s decision in Garcia remains persuasive because it analyzed the only California Supreme Court decision addressing § 186.22(b), i.e., Gardeley,
We therefore hold that the appellate court’s conclusion in this case represents an unreasonable application of the Jackson standard, and we grant Briceno’s petition for a writ of habeas corpus as to the sufficiency of the evidence.
CONCLUSION
In view of the foregoing, we affirm in part, reverse in part, and remand for the District Court to grant the habeas petition as to the imposition of the criminal street gang sentence enhancements.
AFFIRMED in part; REVERSED in part; and REMANDED.
Costs are awarded to Petitioner Briceno.
Notes
. An affirmative response by Vi, combined with his expressed judgment that the crimes were committed for the benefit of the gang, would probably have amounted to an expert opinion that Briceno was guilty, and so would have been improper. See Moses,
. Moreover, Vi was precluded from testifying about the intent issue. Under California law, a gang expert cannot testify as to a defendant's specific intent in committing a crime. See In re Frank S.,
. The dissent draws a distinction between this appeal, which involves the commission of a crime with another gang member, and Garcia, which involved the commission of a crime by one gang member and another who may or may not have been a gang member, to conclude that our reliance on Garcia is misplaced. Diss. Op. at 1087-88. This distinction is irrelevant. Garcia concluded only that the specific intent required under § 186.22(b) must be to facilitate other criminal activities by gang members. See Garcia,
. The one case relied upon by the State that did not involve a specific indicia of gang-related criminal conduct was decided prior to our decision in Garcia, and specifically distinguished a case like Briceno's. In People v. Morales,
Given our analysis of Gardeley, we doubt that Morales is an accurate statement of California law, and the Garcia panel must be taken to have so determined. But even if it were, Briceno correctly points out that the only evidence presented to the jury as to his specific intent indicated that he and Landin committed the robberies "on a frolic and detour unrelated to the gang,” namely, to buy Christmas presents.
. Given this lack of evidence, Briceno presents an even stronger case than the defendant in Garcia. In that case, the defendant committed a robbery on gang turf and announced himself to the victim as “Little Risky from [El Monte Flores, his gang].”
. The court expressly noted that it was publishing its decision to rein in an overly expansive reading of § 186.22(b): "We publish this case to emphasize that crimes may not be found to be gang-related based solely upon a perpetrator's criminal history and gang affiliation.”
Concurrence Opinion
I concur in the opinion, except as to Part 111 of the analysis. As to Part III, I must respectfully dissent, principally due to the standards we must apply on habeas review.
In the words of the California Court of Appeal, Alberto Briceno and Evaristo Lan-din “launched a grinchly crime wave on Christmas Day 2000,” and were ultimately convicted of four armed robberies, each committed within a three-hour time span that day. Although there was evidence at trial that the crimes were committed for personal gain (stealing money to buy Christmas gifts), the jury found that a sentencing enhancement was warranted based on the gang-related nature of the crimes. Briceno’s sentence was enhanced under California’s gang enhancement statute, which provides an enhancement for “any person who is convicted of a felony committed [ (1) ] for the benefit of, at the direction of, or in association with any criminal street gang, [ (2) ] with the specific intent to promote, further, or assist in any criminal conduct by gang members.” Cal.Penal Code § 186.22(b)(1) (emphasis added). The two prongs are considered separately. See, e.g., People v. Morales,
Our task is to decide whether the state court’s adjudication entailed an unreasonable application of Jackson v. Virginia, which permits reversal only when “upon the record evidence adduced at the trial[,] no rational trier of fact could have found proof of guilt beyond a reasonable doubt.”
The three directly relevant decisions by the California Court of Appeal hold that to prove “specific intent to ... assist in any criminal conduct by gang members,” it is sufficient to demonstrate that the “defendant intended to commit [the crimes], that he intended to commit them in associаtion with [his accomplices], and that he knew that[his accomplices] were members of his gang.” Morales,
The reasoning in Morales, Villalobos, and Romero controls our decision because there is no “convincing evidence that the highest court of the state would decide differently.” Owen,
Further, though intimidation of intruders to maintain turf dominance may be a “classic” example of gang-related activity, there is no indication that gang-related activities occurring outside the turf cannоt serve as a basis for enhancement. “Classic” gang-related activity is not “necessary to sustain gang enhancements,” contrary to the majority’s contention. See Maj. Op. at 1080-81. Thus, Gardeley does not present “convincing evidence” that would allow us to reject the reasoning of the California appellate courts. Owen,
In concluding that “on the facts of this case, the California Supreme Court would not hold that there was sufficient evidence to establish a ‘specific intent to promote, further, or assist in any criminal conduct by gang members,’ ” Maj. Op. at 1081, the majority ignores that the California Supreme Court has already considered and implicitly rejected Briceno’s argument regarding insufficiency of the evidence to support the gang enhancement. After the Court of Appeal found that the record evidence was sufficient to support the gang enhancement, Briceno,
The Supreme Court’s summary affir-mance has limited, but — for the purposes of this analysis — sufficient, precedential value. The summary affirmance of the judgment indicates, at most, agreement with the “precise issues framed and necessarily decided in the case below.” Hoffman v. State Bar of Cal.,
Further, the denial of Briceno’s petition by the Supreme Court itself suggests that the Supreme Cоurt would not disagree with the Court of Appeal’s conclusion. An “order [denying review of a] decision of the District Court of Appeal may be taken as an approval of the conclusion there reached, but not necessarily of all of the reasoning contained in that opinion.” Di Genova v. State Bd. of Ed.,
The majority correctly points out that the Supreme Court’s “refusal to grant a hearing in a particular ease is to be given no weight insofar as it might be deemed that [it has] acquiesced in the law as enunciated in a published opinion of a Court of Appeal when such opinion is in conflict with the law as stated by [the Supreme C]ourt.” Trope v. Katz,
The majority also purports to follow a Ninth Circuit decision that finds insufficient evidence for a gang enhancement when “there was no testimony or other evidence to support a rational inference that the robbery ... was committed with the intent to further other criminal activity” of the gang. Garcia v. Carey,
First, in the habeas context, it is inappropriate to hold, as the majority does, that “the California Court of Appeal’s analysis runs afoul of this court’s decision in Garcia v. Carey.” Maj. Op. at 1079. The California state court was not bound by Garcia in its interpretatiоn of section 186.22(b); nor may we analyze the state court’s opinion for compliance therewith. We review the state court’s decision only to determine whether it reasonably applied “clearly established Federal law,” defined as “the governing legal principle or principles set forth by the Supreme Court at the
Second, we could follow Garcia only if faced with “convincing evidence” that allows us to set aside the contrary appellate court decisions. Owen,
Third, Garcia is not directly applicable because Garcia did not address the situation here: two gang members committing a crime together. In Garcia, the defendant committed a liquor store robbery with accomplices; it is unclear whether the accomplices were fellow gang members. The State’s theory of specific intent in that case was the fairly vague “facilitation of] other gang-related criminal operations within El Monte,” Garcia,
The majority disregards the clear holding of the California appellate courts that a criminal act intentionally committed with another known gang member demonstrates specific intent to assist in criminal conduct by gang members — a holding that sustains the state court’s finding of sufficient evidence to support the gang en
. I agree with the majority that we need not decide whether Peter Vi’s expert testimony was sufficient evidence from which a rational trier of fact could find that the first element of the statute was proven beyond a reasonable doubt. See Maj. Op. at 1079 (''[Vi's] testimony might have helped to establish the first element of the gang enhancement, i.e., that the crime ultimately benefitted the gang in
. The majority opinion intermittently conflates the analysis of the two prongs, as does the Court of Appeal's deсision. The second prong requires proof not that defendant had specific intent to “benefit” the gang, but that he had specific intent to "promote, further, or assist in any criminal conduct by gang members.” Compare Cal.Penal Code § 186.22(b)(1), with Maj. Op. at 1078, 1081, and People v. Briceno, Nos. G029525, G029607,
. The majority attempts to assign significance to the factual circumstances of Villalobos and Romero, suggesting that to support a finding of specific intent, it is necessary to find that the “defendant intended to protect gang turf or facilitate gang operations.” See Maj. Op. at 1081 & n. 5 (citing Villalobos,
. The Court of Appeal in Hill found that specific intent was established because the "defendant's own criminal threat qualified as the gang-related criminal activity”; therefore, by committing the crime, the defendant acted with specific intent to further that activity.
. The majority correctly points out that Vi did not, and could not, provide an opinion regarding Briceno's specific intent. Therefore, In re Frank S.,
. While the majority purports to strictly follow some Ninth Circuit precedent, like Garcia, it completely ignores other precedent, like Roman v. Estelle, in which we held that “when the California Supreme Court denies a petition for hearing without citation or comment, it will be assumed that the state supreme court has been given a fair opportunity to review the merits of the petitioner’s claim.”
