Lead Opinion
Opinion
An expert witness testified about whether a crime was gang related. The Court of Appeal held that the trial court erred in permitting the expert to respond to hypothetical questions the prosecutor asked because the questions closely tracked the evidence in a manner that was only thinly disguised. We disagree that the trial court erred. It is required, not prohibited, that hypothetical questions be based on the evidence. The questioner is not required to disguise the fact the questions are based on that evidence.
I. Facts and Procedural History
These facts are taken largely from the Court of Appeal opinion.
Defendants Xue Vang, Sunny Sitthideth, Danny LB, and Dang Ha were convicted of assault by means of force likely to produce great bodily injury for assaulting 20-year-old William Phanakhon. (Pen. Code, § 245, subd. (a)(1).) The jury also found true an enhancement allegation that the defendants committed the assault “for the benefit of, at the direction of, or in association with any criminal street gang, with the specific intent to promote, further, or assist in any criminal conduct by gang members . . . .” (Pen. Code, § 186.22, subd. (b)(1); see generally People v. Albillar (2010)
Phanakhon testified that he had associated for a while with members of the TOC, but denied being a gang member. He met the four defendants in the fall and winter of 2007. At trial, Sitthideth, Ha, and LB, but not Vang, stipulated they were TOC members.
During the evening of April 28, 2008, Phanakhon received a telephone call at his home. The caller, whose voice seemed familiar, asked to “come over.”
San Diego Police Detective Dave Collins, who was conducting surveillance nearby, observed the assault. He watched as four males approached the comer. Suddenly, three of the men began beating the fourth, but the victim did not fight back. The victim fell to the ground, but two of the assailants pulled him up and hit him again. Detective Collins observed two of the men back away while the third pulled out a stick or pipe and hit the victim on the head with it. The victim fell to the ground a second time. Detective Collins broadcast what he was seeing. Officer Michael Dewitt responded and arrived in time to see four men beating the victim.
The assailants fled. The four defendants were arrested nearby. The pipe or stick that Detective Collins observed was never found. Paramedics transported Phanakhon to the hospital, where he was examined for head injuries, then released. Phanakhon testified he did not know “for sure” why he was attacked, but he stated two possible reasons. First, the defendants might have attacked him for disassociating himself from TOC. Second, he might have been “checked” because he had heard something he was not supposed to hear.
To show that the assault was gang related, the prosecution called an expert to testify about criminal street gangs. The Court of Appeal opinion summarized his testimony; “The prosecution called Detective Daniel Hatfield as its expert witness on criminal street gangs. Detective Hatfield testified about the culture and habits of gangs, including member-on-member discipline for no longer hanging out with the gang or not ‘putting in work.’ Turning to TOC, he described it as a predominately Laotian group that split off from a larger gang set in the early 1990’s and claimed Linda Vista as its territory. Detective Hatfield identified three separate predicate offenses committed by its members and opined that TOC was a criminal street gang. Given the stipulation, there was no dispute that Ha, Sitthideth and LB were members of TOC. Detective Hatfield believed that Vang and the victim Phanakhon were also gang members.”
In part, Detective Hatfield responded to hypothetical questions. As the Court of Appeal described it, “Over defense objection, Detective Hatfield responded to two hypothetical questions from the prosecution that tracked the
On redirect examination, the prosecutor stated additional hypothetical facts based on the evidence, and asked whether, under those hypothetical facts, Detective Hatfield had “an opinion about whether or not this was a gang-motivated attack.” The witness said he did. The prosecutor then asked, “What is your opinion about the gang motivation behind the attack that has been described in the hypothetical?” Detective Hatfield responded, “The reason why I feel that it was gang motivated is what you told me exactly as far as the fact that this individual, in this hypothetical, is saying that he had been hanging. He had been associating with the documented gang members. He tells me that. That tells me that ... he has been a gang member, and especially in that hypothetically if he meets that criteria, that fact that—he doesn’t have to know the reason why he is being attacked—doesn’t have to know. There could be a perception or a paranoia from the gang members that are attacking him that he did something to tick off the gang set. The fact that he was lured out to where he was attacked tells me that that was planned. The fact that it was done in concert with known documented gang members, that they work together to do what they did to the victim, tells me that this is a gang-motivated incident. It wasn’t about friends fighting among one another.”
The court sentenced Vang, Sitthideth, and Le to state prison for six, four, and 12 years, respectively, and placed Ha on probation. They appealed. The Court of Appeal found that the trial court erred in permitting Detective Hatfield to respond to the hypothetical questions but found the error harmless. It also rejected other arguments the defendants made. It modified one condition of probation as to Ha and otherwise affirmed the judgments.
II. Discussion
“California law permits a person with ‘special knowledge, skill, experience, training, or education’ in a particular field to qualify as an expert witness (Evid. Code, § 720) and to give testimony in the form of an opinion (id., § 801). Under Evidence Code section 801, expert opinion testimony is admissible only if the subject matter of the testimony is ‘sufficiently beyond common experience that the opinion of an expert would assist the trier of fact.’ (Id., subd. (a).) The subject matter of the culture and habits of criminal street gangs . . . meets this criterion.” (People v. Gardeley (1996)
The issue before us concerns the propriety of permitting the gang expert to respond to the hypothetical questions the prosecution asked regarding whether the defendants’ assault on Phanakhon was gang related. Defendant argues the trial court erred “when it permitted the prosecutor to ask a detailed hypothetical question, closely tracking the facts in this case, about whether the assault was gang-motivated.” The Court of Appeal summarized the issue: “Defendants argue that the trial court abused its discretion when it allowed Detective Hatfield to testify in response to a hypothetical question that the assault on Phanakhon, thinly disguised in the hypothetical as ‘young baby gangster,’ was for the benefit of TOC and was gang motivated.”
Relying on People v. Killebrew (2002)
The Court of Appeal erred in condemning the hypothetical questions because they tracked the evidence in a manner that was only “thinly disguised.” “Generally, an expert may render opinion testimony on the basis of facts given ‘in a hypothetical question that asks the expert to assume their truth.’ (1 McCormick on Evidence (4th ed. 1992) § 14, p. 58.)” (Gardeley, supra,
Use of hypothetical questions is subject to an important requirement. “Such a hypothetical question must be rooted in facts shown by the evidence . . . .” (Gardeley, supra,
The reason for this rule should be apparent. A hypothetical question not based on the evidence is irrelevant and of no help to the jury. “ ‘Exclusion of expert opinions that rest on guess, surmise or conjecture [citation] is an inherent corollary to the foundational predicate for admission of the expert testimony: will the testimony assist the trier of fact to evaluate the issues it must decide?’ ” (People v. Richardson, supra,
As applied here, this rule means that the prosecutor’s hypothetical questions had to be based on what the evidence showed these defendants did, not what someone else might have done. The questions were directed to helping the jury determine whether these defendants, not someone else, committed a crime for a gang purpose. Disguising this fact would only have confused the jury.
The parties agree that the hypothetical questions of this case were based on the evidence. But the Court of Appeal found these questions were too closely based on the evidence in a manner that was only “thinly disguised.” This conclusion transforms the requirement that a hypothetical question be rooted in the evidence into a prohibition—or at least into the confounding rule that the party posing the question must disguise from the jury the fact it is rooted in the evidence—and not “thinly,” it appears, but thickly.
We explained Killebrew’s limited significance. “People v. Killebrew, supra,
Here, for example, Detective Hatfield had no personal knowledge whether any of the defendants assaulted Phanakhon and, if so, how or why; he was not at the scene. The jury was as competent as the expert to weigh the evidence and determine what the facts were, including whether the defendants committed the assault. So he could not testify directly whether they committed the assault for gang purposes. But he properly could, and did, express an opinion, based on hypothetical questions that tracked the evidence, whether the assault, if the jury found it in fact occurred, would have been for a gang purpose. “Expert opinion that particular criminal conduct benefited a gang” is not only permissible but can be sufficient to support the Penal Code section 186.22, subdivision (b)(1), gang enhancement. (People v. Albillar, supra,
To the extent Killebrew, supra,
The trial court understood precisely the distinction between (1) not permitting the expert to opine that the particular defendants committed a crime for a gang purpose, and (2) permitting the expert to express his opinion in response to hypothetical questions. The court sustained an objection to a question regarding whether a particular defendant had knowledge of the gang activities. In sustaining the objection, it explained to the jury that “the law doesn’t allow the expert to come in and say exactly what somebody else’s mind— what was in their mind. All of the evidence is presented to you for you to make that decision.” It only permitted the expert to give an opinion whether an assault would have had a gang purpose in response to hypothetical questions. The court acted correctly in this regard.
The Court of Appeal, and perhaps the author of the separate opinion in this court, may be concerned that permitting these hypothetical questions invades the province of the jury.
Often the evidence presented in a trial may support varying factual findings, and the differences in the possible factual findings might affect the expert’s opinion. The parties may, if they wish, explore with the expert
Over the years, commentators have sometimes criticized the use of hypothetical questions, but not in a way that supports the conclusion that the questioner must disguise the fact they are based on the evidence, or that would support banning such questions entirely. (E.g., The New Wigmore: A Treatise on Evidence, Expert Evidence (2004) The Bases for Expert Testimony, § 3.4, pp. 93-95; 1 McCormick on Evidence (6th ed. 2006) § 16, pp. 98-99; see generally 3 Witkin, Cal. Evidence, supra, § 194, pp. 259-260.) The criticisms generally are that hypothetical questions might be unduly partisan or posed in an argumentative or obfuscating manner, might be overlong, might misrepresent or omit important facts, might confuse the jury, and might improperly be used as a “closing argument midstream.” (The New Wigmore, supra, § 3.4, p. 94.) Wigmore’s solution was to allow but not require the use of hypothetical questions. (Id. at p. 95.) McCormick suggested that one safeguard against abuse “is the cross-examiner’s rights; on cross-examination the adversary may supply omitted facts and ask the expert if his opinion would be modified by them. A further safeguard is the judge’s authority; if she deems the question unfair, the trial judge may require that the hypothesis be reframed to supply an adequate basis.” (1 McCormick on Evidence, supra, § 14, p. 90, fns. omitted.)
Thus, there are dangers with hypothetical questions. Over objection, the trial court should be vigilant to ensure that they are used fairly. But it is not a legitimate objection that the questioner failed to disguise the fact the question was based on the evidence. As applied to this case, it was not a legitimate objection that the prosecutor failed to disguise the fact he was asking about an assault based on the one that the evidence showed the defendants committed.
Defendant Vang also cites cases involving statutes that prohibit an expert to testify on a certain point. The cases generally hold that a party may not circumvent the prohibition by using hypothetical questions. (People v.
Accordingly, we conclude the trial court did not err in permitting the hypothetical questions of this case. This conclusion makes it unnecessary to determine whether the Court of Appeal correctly found the perceived error harmless.
III. Conclusion
Although the Court of Appeal erroneously found error, it also found the error harmless. Accordingly, it reached the correct result. For this reason, we affirm the judgment.
Cantil-Sakauye, C. J., Kennard, J., Baxter, J., Corrigan, J., and Liu, J., concurred.
Notes
It would be more accurate to say that the questions tracked the evidence, not the facts of the case. The jury determines what the facts are, and it may or may not believe all of the evidence.
Throughout our discussion, we cited with approval People v. Gonzalez, supra,
The Court of Appeal described this discussion as “dicta,” a word commonly used as shorthand for the term “obiter dictum.” We do not believe the discussion was obiter dictum. Black’s Law Dictionary defines “obiter dictum” as “[a] judicial comment made while delivering a judicial opinion, but one that is unnecessary to the decision in the case and therefore not precedential (although it may be considered persuasive).—Often shortened to dictum or, less commonly, obiter.” (Black’s Law Dict. (9th ed. 2009) p. 1177, col. 2.) (“Dicta” is, of course, the plural form of “dictum.” (Ibid.).)
The defendant in Gonzalez, supra,
In any event, we repeat what we said in Gonzalez: We disapprove of any interpretation of Killebrew, supra,
It appears that in some circumstances, expert testimony regarding the specific defendants might be proper. (See People v. Valdez (1997)
Justice Werdegar’s separate opinion seems to make one or more of the following arguments: (1) expert testimony is simply not admissible regarding whether a crime is gang related; (2) such testimony may not be given in the form of opinions based on hypothetical questions; (3) there was something improper about the specific hypothetical questions of this case; or (4) there was something improper about the specific answers of this case.
However: (1) It has long been settled that expert testimony regarding whether a crime was gang related is admissible. (People v. Albillar, supra,
Whether to accept the expert’s opinion and, if so, how to apply it to the actual case was for the jury to determine. But the trial court properly permitted the questions and answers.
Concurrence Opinion
Because I find no probability the jury would have returned a verdict more favorable to defendant had it heard the expert witness’s explanation of gang culture and practices, as it did, but not his opinion that the crime was gang motivated, as it also did, I concur in the judgment. But I do not join the majority opinion because I find it neither correctly states nor persuasively responds to the true question before us.
The majority characterizes the Court of Appeal’s holding to be that hypothetical questions must not too closely track the evidence. But both the appellate court and defendant accept that, to be of any value, a hypothetical question must be based on the evidence. To say the Court of Appeal was transforming “the requirement that a hypothetical question be rooted in the evidence into a prohibition,” as the majority does (maj. opn., ante, at p. 1046), is untrue and also evades the real issue in this case.
I can think of two theories for rejecting the Court of Appeal’s conclusion. First, it might be reasoned the expert’s opinion was admissible because, contrary to the Court of Appeal’s belief, although based on a hypothetical tracking the prosecution’s evidence, the expert’s opinion did not direct the jury to conclude that the specific defendant’s crime was gang motivated. Alternatively, it might be reasoned that even after the expert had instructed the jurors generally on gang culture and practices, the jurors’ inexperience in such matters rendered them incapable of determining motive in the circumstances without first hearing the expert’s opinion on the issue. The majority seems to adopt the first theory; in my view, the outcome of this case requires consideration of the second.
The majority appears to accept that an expert may not directly opine that a particular defendant’s crime was gang motivated, because the trier of fact is as competent as the witness to weigh the evidence and draw a conclusion from it. (Maj. opn., ante, at p. 1048, citing People v. Coffman and Marlow (2004)
Expert opinion is of course admissible when related to a subject that is sufficiently beyond common experience that the opinion of an expert would assist the trier of fact (Evid. Code, § 801), and testimony in the form of an opinion that is otherwise admissible is not objectionable because it embraces an ultimate issue (id., § 805). This court long ago addressed the point in People v. Wilson (1944)
While it is not inconceivable an expert opinion could in particular circumstances be needed to fully explain to the jury how a crime might be gang motivated, the majority does not consider the point in this case. Instead, it broadly holds an expert’s opinion on motive is admissible when stated in response to a hypothetical question rooted in the prosecution’s evidence. By failing to recognize that the admissibility of expert opinion is limited by the need for it, the majority suggests that expert opinion on any issue is permissible when provided in response to a hypothetical question rooted in at least one party’s evidence. I am unwilling to subscribe to that rule.
