Lead Opinion
PER CURIAM Opinion; Concurrence by Judge KOZINSKI.
We consider whether the new rule announced in Richardson v. United States,
I
Montalvo was charged with one count of conspiracy to possess with intent to distribute cocaine, 21 U.S.C. § 846, and one count of engaging in a continuing criminal enterprise (CCE), 21 U.S.C. § 848. The jury convicted him of the CCE count, and the trial judge sentenced him to life imprisonment. Conspiracy being a lesser included offense of a CCE violation, Rutledge v. United States,
After numerous unsuccessful appeals on direct review, Montalvo’s conviction became final in 1996 when the Supreme Court denied his petition for certiorari. See Griffith v. Kentucky,
The CCE statute reads:
[A] person is engaged in a continuing criminal enterprise if—
(1) he violates any provisiоn of [these subchapters] the punishment for which is a felony, and
(2) such violation is a part of a continuing series of violations of [these subchapters]—
(A) which are undertaken by such person in concert with five or more other persons with respect to whom such person occupies a position of organizer, a supervisory position, or any other position of management, and
(B) from which such person obtains substantial income or resources.
21 U.S.C. § 848(c) (emphasis added).
Richardson held that a jury “must unanimously agree not only that the defendant committed sоme ‘continuing series of violations’ but also that the defendant committed each of the individual ‘violations’ necessary to make up that ‘continuing series.’ ”
Here, the government alleged that Montalvo was involved in thirteen felony drug offenses. Suppose Jurors I-VI found that Montalvo had committed crimes 1-3 and nothing else, and Jurors VII-XII found that Montalvo had committed crimes 4-6 and nothing else. Under Richardson’s unanimity requirement, the jury could not return a CCE verdict — even if all the jurors agree that Montalvo, in one way or another, committed at least three drug violations. Only if twelve jurors all agree on at least three specific predicate offenses (say, offenses 1, 4 аnd 5) may they convict under the CCE statute. Furthermore, the court must give a “specific unanimity” instruction to this effect. Richardson,
Montalvo’s trial took place before Richardson, and the trial judge did not give the
II
“[N]ew constitutional rules of criminal procedure will not be applicable to those cases which have become final before the new rules are announced, unless the new rule [1] places certain kinds of primary, private individual conduct beyond the power of the criminal law-making authority to proscribe, or [2] could be considered a watershed rule of criminal procedure.” Bousley v. United States,
Every one of our sister circuits that have confronted the issue agrees that Richardson announced a new substantive rule of criminal law. See Santana-Madera v. United States,
We join that unanimous view. In Richardson, the Supreme Court was faced with the question whether the phrase “series of violations” refers to a single element—namely, a “series”—with the individuаl “violations” merely constituting the underlying brute facts or “means” as to which jury unanimity is not required, see Andersen v. United States,
What’s significant for our purposes is that, in analyzing what constitutes “elements” as opposed to brute facts or “means,” Richardson was “decid[ing] the meaning of a criminal statute enacted by Congress,” Bousley,
We hold that Teague does not bar Montalvo from raising a Richardson claim in his section 2255 habeas petition.
III
We must next decide whether the trial judge’s failure to give a Richardson specific unanimity instruction was harmless.
A. We can quickly reject Montalvo’s argument that Richardson violations are structural errors subject to the automatic reversal rule. The “general rule” is that constitutional errors do not require reversal of a conviction, but are
Because Richardson errors affect only the way the jury is instructed on an element of the offense, they do not taint the trial “from beginning to end” or undermine “the framework within which the trial proceeds.” Fulminante,
There rеmains the question of which harmless error review standard applies: Chapman v. California,
We held in Bains v. Cambra,
While Montalvo is right that federalism interests are not implicated in the section 2255 context, we do not read Brecht’s “substantial and injurious effect” standard as resting primarily on federalism concerns. It is, more than anything else, motivated by “considerations underlying our habeas jurisprudence,” Brecht,
B. The district court denied Montalvo’s petition only because it held — contrary to our conclusion in Part II, supra— that Montalvo’s Richardson claim was Teague-barred. It further held, however, that if Teague did not bar Montalvo from asserting the claim on collateral review, the error was not harmless. After reviewing the record de novo, see Ghent v. Woodford,
The district court started down the right track when it noted that there are at least two circumstances where a Richardson jury instruction error is per se harmless: first, if the jury that convicted the defendant of a CCE charge also convicted him of at least three related drug violations alleged to be predicate violations constituting the “continuing series”; second, if the district court instructed the jury that a “continuing series of violations” means “three or more violations,” and the government introduced evidence of only three predicate offenses at trial. In both of these scenarios, the jury would have necessarily agreed unanimously that defendant committed at least three specific predicate felonies that make up the “continuing series.” See United States v. Brown,
The district court veered off course when it held that, because neither of these scenarios is present here—i.e., there was no other jury verdict beyond Montalvo’s CCE conviction, and the government presented not only three, but thirteen, drug violations—“[i]t is unknowable from the record of this complex case which aсts the jury unanimously agreed upon, [and] it is possible that some jurors found some acts to have been committed, while other jurors found others, but the jury was able to agree unanimously only that there were three [or more] that were committed.” Order at 43 (emphasis added).
That all twelve jurors did not necessarily find Montalvo guilty of three specific predicate drug felonies is not dispositive. See California v. Roy,
Here, the government’s case against Montalvo was overwhelming. In addition to witness testimony, there was documen
Because we have already rejected Montalvo’s various other challenges to his conviction on direct appeal, see Montalvo I,
IV
In sum, we affirm the district court’s denial of Montalvo’s petition, but on different grounds. The Richardson claim was not Teague-barred and could be asserted on collateral review. Nevertheless, the error did not have a “substantial and injurious effect” on the jury’s verdict under Brecht.
AFFIRMED.
Notes
. Although the trial court did not instruct the jury that it must reach unanimity with respect to at least three specific drug felonies that make up the "continuing series," it did give a general unanimity instruction as follows:
It is very important for you to attempt to reach a unanimous verdict, but, of course, only if each of you can do so after having been — if after having made your own conscientious independent decision. Do not change an honest belief about the weight and effect of the evidence simply to reach a verdict.
Reporter’s Transcript at 2404.
. Because we hold that Richardson fits within Teague’s first exception, we need not address the applicability of the second exception—whether Richardson counts as a "watershed rule[ ] of criminal procedure,” Teague,
. We held in United States v. Hernandez-Escarsega,
Concurrence Opinion
concurring.
I agree that Montalvo’s conviction should be affirmed, but on different grounds: I do not believe Richardson v. United States,
The confusion stems, in no small measure, from the shorthand labels “substantive” and “procedural.” Because Richardson involves interpretation of a criminal statute — with the Supreme Court deciding whether the phrase “series of violations” refers to one element or several elements — it might seem that the new rule must be “substantive.” After all, the Supreme Court has said that because Teag-ue’s anti-retroactivity principle “applies only to procedural rules[,] it is inapplicable to the situation in which this Court decides the meaning of a criminal statute enacted by Congress.” Bousley v. United States,
But Bousley’s language must not be taken out of context. Bousley considered whether the Supreme Court’s interpretation of the firearms statute in Bailey v. United States,
Hence, “substantive” in this context means the new rule places certain real-life conduct beyond the power of the criminal law—either because the statute, properly interprеted, doesn’t reach it, or because constitutional constraints do not allow the state to prohibit it. See id. at 620,
The other cases cited by the majority are to the same effect: The new rules were held to be substantive and retroactive because the conduct could nоt be proscribed under a correct interpretation of the statute. See McNally v. United States,
In contrast to these cases, Richardson does not place any previously illegal conduct beyond the reach of the state’s penal authority. Before and after Richardson, a person could be convicted of CCE if he committed at least three drug felonies, if he supervised at least five individuals and if he derived substantial income from his illegal activities. The only difference post-Richardson is how the jury goes about performing its functions: They may convict only if all twelve members unanimously agree on three specific predicate felonies that make up the “continuing series.” Because this affects conduct in the courthouse and not in the world at large, it is a matter of procedure.
Were we writing on a blank slate, we might be able to call even this type of change in the law “substantive.” But the slate is not clean. Recently, in United States v. Sanchez-Cervantes,
Our cases on standards of proof point to the same conclusion. Altering the standard of proof is almost certain to change the outcome in at least some cases. But questions about standards of proof have long been recognized as procedural, not substantive, across a broad range of legal fields. See, e.g., In re Winship,
Hence, the mere fact that Richardson involves an interpretation of a statute and that convictions would henceforth be more difficult to obtain does not make the new rule substantive. The dispositive question is whether the decision places certain previously illegal conduct beyond the reach of the criminal law in effect. Because the answer is clearly no, Teague applies, and Montalvo’s Richardson claim cannot be asserted on habeas.
