Turner v. United States
Opinion of the Court
delivered the opinion of the Court.
Petitioner was found guilty by a jury on four counts charging violations of the federal narcotics laws. The issue before us is the validity of the provisions of § 2 of the Act of February 9, 1909, 35 Stat. 614, as amended, 21 U. S. C. § 174, and 26 U. S. C. § 4704 (a) which authorize an inference of guilt from the fact of possession of narcotic drugs, in this case heroin and cocaine.
Petitioner was indicted on two counts relating to the heroin and two counts relating to the cocaine. The first count charged that Turner violated 21 U. S. C. § 174
At the trial, the Government presented the evidence of the seizure of the packages containing heroin and cocaine but presented no evidence on the origin of the drugs possessed by petitioner. Petitioner did not testify. With regard to Counts 1 and 3, the trial judge charged the jury in accord with the statute that the jury could infer from petitioner’s unexplained possession of the heroin and cocaine that petitioner knew that the drugs he possessed had been unlawfully imported. With regard to Counts 2 and 4, the trial judge read to the jury the statutory provision making possession of drugs not in a stamped package “prima facie evidence” that the defendant purchased, sold, dispensed, or dis
On appeal to the Court of Appeals for the Third Circuit, petitioner argued that the trial court’s instructions on the inferences that the jury might draw from unexplained possession of the drugs constituted violations of his privilege against self-incrimination by penalizing him for not testifying about his possession of the drugs. The Court of Appeals rejected this claim and affirmed, finding that the inferences from possession authorized by the statutes were permissible under prior decisions of this Court and that therefore there was no impermissible penalty imposed on petitioner’s exercise of his right not to testify. 404 F. 2d 782 (1968). After the Court of Appeals’ decision in this case, this Court held that a similar statutory presumption applicable to the possession of marihuana was unconstitutional as not having a sufficient rational basis. Leary v. United States, 395 U. S. 6 (1969). We granted a writ of certiorari in this case to reconsider in light of our decision in Leary whether the inferences authorized by the statutes here at issue are constitutionally permissible when applied to the possession of heroin and cocaine. 395 U. S. 933.
I
The statutory inference created by § 174 has been upheld by this Court with respect to opium and heroin, Yee Hem v. United States, 268 U. S. 178 (1925); Roviaro v. United States, 353 U. S. 53 (1957), as well as by an
Leary v. United States, supra, dealt with a statute, 21 U. S. C. § 176a, providing that possession of marihuana, unless explained to the jury’s satisfaction, “shall be deemed sufficient evidence to authorize conviction” for smuggling, receiving, concealing, buying, selling, or facilitating the transportation, concealment, or sale of the drug, knowing that it had been illegally imported. Referring to prior cases
We affirm Turner’s convictions under §§174 and 4704 (a) with respect to heroin (Counts 1 and 2) but reverse the convictions under these sections with respect to cocaine (Counts 3 and 4).
II
We turn first to the conviction for trafficking in heroin in violation of § 174. Count 1 charged Turner with (1) knowingly receiving, concealing, and transporting heroin which (2) was illegally imported and which (3) he knew was illegally imported. See Harris v. United States, 359 U. S. 19, 23 (1959). For conviction, it was necessary for the Government to prove each of these three elements of the crime to the satisfaction of the jury beyond a reasonable doubt. The jury was so instructed and Turner was found guilty.
The proof was that Turner had knowingly possessed heroin; since it is illegal to import heroin or to manufacture it here,
The jury, however, even if it believed Turner had possessed heroin, was not required by the instructions to find him guilty. The jury was instructed that it was the sole judge of the facts and the inferences to be drawn therefrom, that all elements of the crime must be proved beyond a reasonable doubt, and that the inference authorized by the statute did not require the defendant to present evidence. To convict, the jury was informed, it “must be satisfied by the totality of the evidence irre
Whatever course the jury took, it found Turner guilty beyond a reasonable doubt and the question on review is the sufficiency of the evidence, or more precisely, the soundness of inferring guilt from proof of possession alone. Since the jury might have relied heavily on the inferences authorized by the statute and included in the court's instructions, our primary focus is on the validity of the evidentiary rule contained in § 174.
Section 174 or a similar provision has been the law since 1909.
This view is supported by other official sources. In 1956, after extensive hearings, the Senate Committee on the Judiciary found no evidence that heroin is produced commercially in this country.
The factors underlying these judgments may be summarized as follows: First, it is plain enough that it is illegal both to import heroin into this country
Second, heroin is a derivative of opium and can be manufactured from opium or from morphine or codeine,
Third, opium is derived from the opium poppy which cannot be grown in this country without a license.
Fourth, the law forbids the importation of any opium product except crude opium required for medical and scientific purposes;
Fifth, the flow of legally imported opium and of legally manufactured morphine and codeine is controlled too tightly to permit any significant possibility that heroin is manufactured or distributed by those legally licensed to deal in opium, morphine, or codeine.
Concededly, heroin could be made in this country, at least in tiny amounts. But the overwhelming evidence is that the heroin consumed in the United States
Given the fact that little if any heroin is made in the United States, Turner doubtless knew that the heroin he had came from abroad. There is no proof that he had specific knowledge of who smuggled his heroin or when or how the smuggling was done, but we are confident that he was aware of the “high probability” that the heroin in his possession had originated in a foreign country. Cf. Leary v. United States, supra, at 45-53.
It may be that the ordinary jury would not always know that heroin illegally circulating in this country is not manufactured here. But Turner and others who sell or distribute heroin are in a class apart.
Ill
Turning to the same § 174 presumption with respect to cocaine, we reach a contrary result. In Erwing v. United States, 323 F. 2d 674 (C. A. 9th Cir. 1963), a case involving a prosecution for dealing in cocaine, two experts had testified, one for the Government and one for the defense. It was apparent from the testimony that while it is illegal to import cocaine, coca leaves, from which cocaine is prepared, are legally imported for processing into cocaine to be used for medical purposes. There was no evidence that sizable amounts of cocaine are either legally imported or smuggled. The trial court instructed on the § 174 presumption and conviction followed, but the Court of Appeals for the Ninth Circuit reversed, finding the presumption insufficiently sound to permit conviction.
Supplementing the facts presented in Erwing, supra, the United States now asserts that substantial amounts of cocaine are smuggled into the United States. However, much more cocaine is lawfully produced in this country than is smuggled into this country.
IV
26 U. S. C. § 4704 (a)
The conviction on Count 2 with respect to heroin must be affirmed. Since the only evidence of a violation involving heroin was Turner’s possession of the drug, the jury to convict must have believed this evidence. But part and parcel of the possession evidence and indivisibly linked with it, was the fact that Turner possessed some 275 glassine bags of heroin without revenue stamps attached. This evidence, without more, solidly established that Turner’s heroin was packaged to supply individual demands and was in the process of being distributed, an act barred by the statute. The general rule is that when a jury returns a guilty verdict on an indictment charging several acts in the conjunctive, as Turner’s indictment did, the verdict stands if the evidence is sufficient with respect to any one of the acts charged.
Moreover, even if the evidence as to possession is viewed as not in itself proving that Turner was distributing heroin, his conviction must be affirmed. True, the statutory inference, which on this assumption would assume critical importance, could not be sustained insofar as it authorized an inference of dispensing or distributing (or of selling if that act had been charged), for the bare fact of possessing heroin is far short of sufficient evidence from which to infer any of these acts. Cf. Tot v. United States, 319 U. S. 463 (1943); United States v. Romano, 382 U. S. 136 (1965). But the inference of purchasing in or from an unstamped package is another matter.
Those possessing heroin have secured it from some source. The act of possessing is itself sufficient proof that the possessor has not received it in or from the original stamped package, since it is so extremely unlikely that a package containing heroin would ever be legally stamped. All heroin found in this country is illegally imported. Those handling narcotics must register;
Even so, obtaining heroin other than in the original stamped package is not a crime under §4704 (a). Of the various ways of acquiring heroin, e. g., by gift, theft, bailment or purchase, only purchasing is proscribed by the section. Since heroin is a high-priced product,
y
Finally, we consider the validity of the § 4704 (a) presumption with respect to cocaine. The evidence was that while in the custody of the police, Turner threw away a tinfoil package containing a mixture of cocaine and sugar, which, according to the Government, is not the form in which cocaine is distributed for medicinal purposes.
Since Turner’s possession of cocaine did not constitute an act of purchasing, dispensing, or distributing, the instruction on the statutory inference becomes critical. As in the case of heroin, bare possession of cocaine is an insufficient predicate for concluding that Turner was dispensing or distributing. As for the remaining possible violation, purchasing other than in or from the original stamped package, the presumption, valid as to heroin, is infirm as to cocaine.
While one can be confident that cocaine illegally manufactured from smuggled coca leaves or illegally imported after manufacturing would not appear in a stamped package at any time, cocaine, unlike heroin, is legally manufactured in this country;
For the reasons stated above, we affirm the judgment of conviction as to Counts 1 and 2 and reverse the judgment of conviction as to Counts 3 and 4.
It is so ordered.
Insofar as here relevant, this section provides:
“Whoever fraudulently or knowingly imports or brings any narcotic drug into the United States or any territory under its control or jurisdiction, contrary to law, or receives, conceals, buys, sells, or in any manner facilitates the transportation, concealment, or .sale of any such narcotic drug after being imported or brought in, knowing the same to have been imported or brought into the United States contrary to law, or conspires to commit any of such acts in violation of the laws of the United States, shall be imprisoned ....
“Whenever on trial for a violation of this section the defendant is shown to have or to have had possession of the narcotic drug, such possession shall be deemed sufficient evidence to authorize*402 conviction unless the defendant explains the possession to the satisfaction of the jury.”
Heroin, a derivative of opium, and cocaine, a product of coca leaves, are within the meaning of the term “narcotic drug” as used in 21 U. S. C. § 174. See 21 U. S. C. § 171 (which refers to § 3228 (g) of Int. Rev. Code of 1939, now 26 U. S. C. §4731 (a)).
“It shall be unlawful for any person to purchase, sell, dispense, or distribute narcotic drugs except in the original stamped package or from the original stamped package; and the absence of appropriate taxpaid stamps from narcotic drugs shall be prima facie evidence of a violation of this subsection by the person in whose possession the same may be found.”
The term “narcotic drugs” is defined to include derivatives of opium and products of coca leaves. 26 U. S. C. § 4731 (a).
Decisions of the courts of appeals accepting application of the presumption to persons found in possession of opium, morphine, or heroin include Gee Woe v. United States, 250 F. 428 (C. A. 5th Cir.), cert. denied, 248 U. S. 562 (1918) (smoking opium); Charley Toy v. United States, 266 F. 326 (C. A. 2d Cir.), cert. denied, 254 U. S. 639 (1920) (smoking opium); Copperthwaite v. United States, 37 F. 2d 846 (C. A. 6th Cir. 1930) (morphine); United States v. Liss, 105 F. 2d 144 (C. A. 2d Cir. 1939) (morphine); Dear Check Quong v. United States, 82 U. S. App. D. C. 8, 160 F. 2d 251 (1947) (unspecified narcotics); Cellino v. United States, 276 F. 2d 941 (C. A. 9th Cir. 1960) (heroin); Walker v. United States, 285 F. 2d 52 (C. A. 5th Cir. 1960) (heroin); United States v. Savage, 292 F. 2d 264 (C. A. 2d Cir.), cert. denied, 368 U. S. 880 (1961) (heroin); United States v. Gibson, 310 F. 2d 79 (C. A. 2d Cir. 1962) (heroin); Lucero v. United States, 311 F. 2d 457 (C. A. 10th Cir. 1962), cert. denied sub nom. Maestas v. United States, 372 U. S. 936 (1963) (heroin); Garcia v. United States, 373 F. 2d 806 (C. A. 10th Cir. 1967) (heroin).
Especially Tot v. United States, 319 U. S. 463 (1943), United States v. Gainey, 380 U. S. 63 (1965), and United States v. Romano, 382 U. S. 136 (1965).
See infra, nn. 12,13.
Under prior decisions, principally United States v. Gainey, 380 U. S. 63 (1965), such statutory provisions authorize but do not require the trial judge to submit the case to the jury when the Government relies on possession alone, authorize but do not require an instruction to the jury based on the statute, and authorize but do not require the jury to convict based on possession alone. The defendant is free to challenge either the inference of illegal importation or the inference of his knowledge of that fact, or both. Harris v. United States, 359 U. S. 19, 23 (1959); Roviaro v. United States, 353 U. S. 53, 63 (1957); Yee Hem v. United States, 268 U. S. 178, 185 (1925); United States v. Peeples, 377 F. 2d 205 (C. A. 2d Cir. 1967); Chavez v. United States, 343 F. 2d 85 (C. A. 9th Cir. 1965); Griego v. United States, 298 F. 2d 845 (C. A. 10th Cir. 1962). Even when the defendant challenges the validity of the inference as applied to his case, the instruction on the statutory inference is normally given. See, e. g., McIntyre v. United States, 380 F. 2d 746 (C. A. 9th Cir.), cert. denied, 389 U. S. 952 (1967); United States v. Peeples, supra; Vick v. United States, 113 U. S. App. D. C. 12, 304 F. 2d 379 (1962); Griego v. United States, supra; Walker v. United States, 285 F. 2d 52 (C. A. 5th Cir. 1960); United States v. Feinberg, 123 F. 2d 425 (C. A. 7th Cir. 1941), cert. denied, 315 U. S. 801 (1942). See also Erwing v. United States, 323 F. 2d 674 (C. A. 9th Cir. 1963); Caudillo v. United States, 253 F. 2d 513 (C. A. 9th Cir.), cert. denied sub nom. Romero v. United States, 357 U. S. 931 (1958).
In United States v. Peeples, supra, the jury, after deliberating for a time, asked the judge about the percentage of heroin in the United States that is produced illegally in this country. “As there was no evidence in the record concerning areas of the world where heroin is produced, the judge declined to answer the ... inquiry . . . 377 F. 2d, at 208. The defendant was found guilty by the jury; however, the Court of Appeals reversed for reasons not directly related to the trial judge’s treatment of the question about the origins of heroin possessed in this country.
See Leary v. United States, 395 U. S. 6, 31-32 (1969); United States v. Romano, supra, at 138-139 (1965); Bailey v. Alabama, 219 U. S. 219, 234-235 (1911).
Arguably, in declaring possession to be ample evidence to convict for trafficking in illegally imported drugs, Congress in effect- has
The Court has also refused to accept the suggestion that since the source of his drugs is perhaps more within the defendant’s knowledge than the Government’s, it violates no rights of the defendant to permit conviction based on possession alone when the defendant refuses to demonstrate a legal source for his drugs. Leary v. United States, supra, at 32-34. See also Tot v. United States, supra, at 469-470. The difficulties with the suggested approach are obvious: if the Government proves only possession and if possession is itself insufficient evidence of either importation or knowledge, but the statute nevertheless permits conviction where the defendant chooses not to explain, the Government is clearly relieved of its obligation to prove its case, unaided by the defendant, and the defendant is made to understand that if he fails to explain he can be convicted on less than sufficient evidence to constitute a prima facie case. See Tot v. United States, supra, at 469.
The original provision, applicable to opium and derivatives, was contained in the Act of February 9, 1909, § 2, 35 Stat. 614. It was revised and extended to cover cocaine and coca leaves by the Act of May 26, 1922, § 1, 42 Stat. 596. The provision establishing the presumption was adopted without extended discussion or debate; it was consciously modeled on a provision of §3082
In 1955 the Subcommittee on Improvements in the Federal Criminal Code of the Senate Committee on the Judiciary held hearings throughout the country on the illicit narcotics traffic in this country. The subcommittee heard 345 witnesses, including government officials, law enforcement officers, and addicts and narcotics law violators; the testimony heard covers several thousand pages. Hearings on Illicit Narcotics Traffic before the Subcommittee on Improvements in the Federal Criminal Code of the Senate Committee on the Judiciary, 84th Cong., 1st Sess. (1955) (hereinafter cited as 1955 Senate Hearings). The evidence gathered in these hearings was the basis of S. 3760, 84th Cong., 2d Sess. (1956). The Senate bill contained a section (proposed § 1402, Tit. 18) very similar to § 174 but applicable exclusively to heroin; this proposed section included the § 174 presumption. Another proposed section (proposed § 1403, Tit. 18, enacted with minor changes and now codified in 21 U. S. C. § 176b) authorized special, severe penalties for the sale of unlawfully imported heroin to juveniles; this section contained a provision that possession of heroin was sufficient to prove that the heroin had been illegally imported. See S. Rep. No. 1997, 84th Cong., 2d Sess., 30 (1956) (proposed |§ 1402, 1403). The presumption that heroin found in this country has been illegally imported was based on findings of the Committee that foreign sources supply all important quantities of heroin circulating in this country, id., at 3-7; and these findings were in turn based on ample evidence presented to the Subcommittee on Improvements in the Federal Criminal Code. See 1955 Senate Hearings 90 (testimony of Commissioner Anslinger of the Federal Bureau of Narcotics).
President’s Commission on Law Enforcement and Administration of Justice, Task Force Report: Narcotics and Drug Abuse 3 (1967) (hereinafter cited as Task Force Report). See also U. N. Commission on Narcotic Drugs, Report of the Eighteenth Session, U. N. Doc. E/CN.7/455, p. 15 (1963); S. Jeffee, Narcotics — An American Plan 12-14, 63-71 (1966).
Title 21 U. S. C. § 173 makes it unlawful to import any narcotic drug except amounts of crude opium and coca leaves necessary to provide for medical and legitimate uses. In addition, for more than 45 years, it has been unlawful to import opium for the purpose of manufacturing heroin. Act of June 7, 1924, 43 Stat. 657 (now codified in 21 U. S. C. § 173). Though 21 U. S. C. § 513 permits the Secretary of the Treasury to authorize the importation of any narcotic drug for delivery to governmental officials or to any person licensed to use the drugs for scientific purposes, the Secretary has never authorized the importation of any heroin under this provision. Brief for the United States 18 n. 12.
The Narcotics Manufacturing Act of 1960, 74 Stat. 55,21 U. S. C. §§ 501-517, prohibits the manufacture of narcotic drugs except under a license issued by the Secretary of the Treasury for the production of an approved drug. Since heroin is not considered useful for medical purposes, no production for medical use has been authorized; heroin used in scientific experimentation is supplied entirely from quantities seized by law enforcement officials. Brief for the United States 17 n. 10.
21 U. S. C. § 173. See S. Rep. No. 1997, 84th Cong., 2d Sess., 7 (1956). In 1956, all heroin then lawfully outstanding was required to be surrendered. Act of July 18, 1956, § 201, 70 Stat. 572 (codified as 18 U. S. C. § 1402).
The clandestine manufacture of heroin from opium or morphine is said in one report to be “child’s play.” Vaille & Bailleul, Clandestine Heroin Laboratories, 5 U. N. Bulletin on Narcotics, No. 4, Oct.-Dec. 1953, pp. 1, 6. The possibility of producing heroin from codeine (with a yield of about 22%) was first reported in Rapoport, Lovell, & Tolbert, The Preparation of Morphine-N-methvl-C14, 73 J. Am. Chem. Soc. 5900 (1951), and was verified in Gates & Tschudi, The Synthesis of Morphine, 74 J. Am. Chem. Soc. 1109 (1952). The Bureau of Narcotics and Dangerous Drugs reports that conversion of codeine into morphine (from which heroin may be produced) is relatively simple and requires inexpensive equipment but produces an extremely noxious and penetrating odor which would make concealment of such conversion operations virtually impossible. Supplemental Memorandum for the United States 2.
The Bureau of Narcotics and Dangerous Drugs reports that it knows of no case in which synthetic heroin has been produced; it reports that experiments indicate that production of synthetic morphine would be extremely difficult. Brief for the United States 20 n. 17. Amicus Burgess suggests the possibility of synthetic production of heroin but cites in support only a case involving an unsuccessful attempt to synthesize morphine, United States v. Liss, 137 F. 2d 995 (C. A. 2d Cir.), cert. denied, 320 U. S. 773 (1943). Brief for Cleveland Burgess as Amicus Curiae 11.
Opium Poppy Control Act of 1942, 56 Stat. 1045, 21 U. S. C. §§ 188-188n.
The regulations provide that a license to produce opium poppies shall be issued only when it is determined by the Director of the Bureau of Narcotics and Dangerous Drugs that the medical and scientific needs of the country cannot be met by the importation of crude opium. 21 CFR § 303.5 (a). Imports of crude opium have been sufficient to meet all domestic medical and scientific needs and the United States is therefore not an opium-
The most recent reported case involving a prosecution for unlawful production of opium poppies is Az Din v. United States, 232 F. 2d 283 (C. A. 9th Cir.), cert. denied, 352 U. S. 827 (1956). Unlike the case of marihuana, see Leary, supra, at 42-43, there are no reports of the discovery in this country of fields of opium poppies requiring destruction. This fact together with the facts that opium poppies are hard to conceal because of their color and that the harvesting of opium is only economically feasible in countries with an abundant supply of cheap labor justifies a conclusion that little if any opium poppy production is going on in this country. See Brief for the United States 21-23.
21 U. S. C. § 173.
Ibid. See supra, n. 12.
In 1966, the United States imported 173,951 kilograms of crude opium; in the same year, 715 kilograms of morphine and 30,662 kilograms of codeine were produced from imported opium. U. S. Treasury Department, Bureau of Narcotics, Traffic in Opium and Other Dangerous Drugs, Report for the Year Ended December 31, 1967, p. 41 (1968).
The manufacture of narcotic drugs is very carefully controlled and monitored under the Narcotics Manufacturing Act of 1960, 74 Stat. 55, 21 U. S. C. §§ 501-517. The subsequent distribution of
Because of the controls and reporting requirements applicable to those handling narcotic drugs, see supra, n. 23, the Bureau of Narcotics and Dangerous Drugs can compile accurate figures on the quantities of narcotic drugs stolen from legitimate channels. From 1964 through 1968, total thefts of medical opium per year ranged from 9.6 kilograms to 12.9 kilograms; thefts of morphine for the same period ranged from 6.7 kilograms to 10.2 kilograms per year; annual thefts of codeine for the same years ran between 30.0 kilograms and 81.8 kilograms. Brief for the United States 44. On the possibility of clandestine manufacture of heroin from opium, morphine, and codeine, see supra, n. 15.
See supra, n. 15.
Using figures on the number of known addicts and the average daily dose, federal agencies estimate that roughly 1,500 kilograms of heroin are smuggled into the United States each year. Task Force Report 6. The Bureau of Narcotics and Dangerous Drugs estimates that no more than about one kilogram of heroin could have been produced if all the opium stolen in any recent year had been clandestinely converted into heroin. The largest total amount of morphine stolen in a recent year would have yielded
If it were assumed that all stolen codeine is converted into heroin, the figure for the possible clandestine domestic production of heroin would be well over 1% of the total heroin marketed in this country. Codeine can be made to yield about 22% heroin. See supra, n. 15. Applying this conversion rate to the largest annual amount of codeine stolen m the last five years (81.8 kilograms, see supra, n. 24) would give a figure of about 18 kilograms for the maximum amount of heroin that might have been produced from stolen codeine in any recent year. On the assumption that all stolen opium, morphine, and codeine is converted into heroin, the amount of heroin domestically produced from stolen opium and its derivatives would amount to no more than about 30 kilograms, only about 2% of the 1,500 kilograms of heroin estimated to be illegally imported each year. Whether such a percentage, rather than the figure of less than 1% obtained by excluding codeine from consideration, would alter our conclusions need not be discussed, for the fact that the conversion process creates a stench malees it unrealistic to assume that stolen codeine is clandestinely converted into heroin. See supra, n. 15.
Statement by the United States Delegation on the Illicit Traffic to the Twenty-third Session of the U. N. Commission on Narcotic Drugs, January 1969, U. N. Doc. SD/E/CN.7/131, Annex A, p. 3. One respected work on narcotics makes the claim, without further elaboration, that “recent information” leads to the conclusion that some illicit laboratories used for the conversion of opium or morphine into heroin are located in the United States. D. Maurer & V. Vogel, Narcotics and Narcotic Addiction 64 (3d ed. 1967). However, the same statement, without elaboration, appears in the 1954 edition of the work, D. Maurer & V. Vogel, Narcotics and Narcotics Addiction 50, and this fact together with the absence of any cited basis for the claim and the lack of supporting evidence elsewhere in the literature leads us to believe that the statement, if it was ever correct, is no longer accurate.
It is, of course, possible for the situation to change either through the development of a simple method of synthesizing heroin or through the creation of substantial clandestine operations utilizing opium or morphine which has been illegally imported or which, though legally here, has been stolen.
The Court in Leary, 395 U. S., at 46 n. 93, employed the definition of “knowledge” in Model Penal Code § 2.02 (7) (Proposed Official Draft, 1962):
“When knowledge of the existence of a particular fact is an element of an offense, such knowledge is established if a person is aware of a high probability of its existence, unless he actually believes that it does not exist.”
Though the federal narcotics laws are in terms applicable to most possessors of illicit drugs regardless of whether the possessor is a user or a dealer, the enforcement efforts of the Bureau of Narcotics and Dangerous Drugs are directed to the development of
See Task Force Report 3. See also 1955 Senate Hearings 3889, 4219.
For example, a seizure of a large amount of pure heroin in Montreal, Canada, caused a “panic” in New York City that lasted almost three months. 1966 Senate Hearings 87.
Such a conclusion is also justified with regard to those users and addicts who frequently purchase supplies of heroin on the retail market. Such persons are of course aware of the variations in price and availability of the drug and of the fact that the success of anti-smuggling efforts of law enforcement officials affects the supply of heroin on the market. See supra, this page and nn. 31, 32.
See Griego v. United States, 298 F. 2d 845, 849 (C. A. 10th Cir. 1962).
“The same situation might present itself if there were no statutory presumption and a prima facie case of concealment with knowledge of unlawful importation were made by the evidence. The necessity of an explanation by the accused would be quite as compelling in that case as in this; but the constraint upon him to give testimony would arise there, as it arises here, simply from the force of circumstances and not from any form of compulsion forbidden by the Constitution.” Yee Hem v. United States, 268 U.S. 178, 185 (1925).
In 1966, 609 kilograms of cocaine were produced, U. S. Treasury Department, Bureau of Narcotics, Traffic in Opium and Other Dangerous Drugs, Report for the Year Ended December 31, 1967,
From 1963 through 1968, the amount of cocaine stolen from legal channels annually ranged from 2.8 kilograms to 6.2 kilograms. Brief for the United States 44.
Brief for the United States 28-32.
Since the illegal possessor’s only source of domestic cocaine is that which is stolen, the United States urges that the § 174 presumption may be valid with respect to sellers found with much larger amounts of cocaine than Turner had, amounts which, it is claimed, are too large to have been removed from legal channels and which must therefore have been smuggled. Brief for the United States 31. We find it unnecessary to deal with these problems and postpone their consideration to another day, hopefully until after the facts have been presented in an adversary context in the district courts.
See swpra, n. 2.
The indictment charged Turner with possessing heroin as well as purchasing, dispensing, and distributing the drug. The instructions to the jury made the same error. No objection was made in the trial court and the issue was not raised in the Court of Appeals or in this Court. The error was harmless in any event since the possession evidence proved that Turner was distributing heroin. See infra, this page.
Crain v. United States, 162 U. S. 625, 634-636 (1896); Smith v. United States, 234 F. 2d 385, 389-390 (C. A. 5th Cir. 1956); Price v. United States, 150 F. 2d 283 (C. A. 5th Cir. 1945), cert. denied, 326 U. S. 789 (1946). See also Claassen v. United States, 142 U. S. 140 (1891); The Confiscation Cases, 20 Wall. 92, 104 (1874).
26 U. S. C. §§4721, 4722. See also 26 U. S. C. §4702 (a) (2)(C).
26 CFR §§ 151.130,151.41.
Heroin is reported to sell for around $5 per “bag” or packet. Task Force Report 3.
Brief for the United States 33.
See supra, n. 36.
Concurring Opinion
concurring in the judgment.
I concur in the judgment of the Court, affirming petitioner’s conviction on Counts 1 and 2 and reversing his conviction on Counts 3 and 4. In so doing, however, I can agree with the majority on Count 2 only insofar as it concludes that evidence of possession of 275 glassine bags of heroin proved beyond a reasonable doubt that Turner was distributing heroin in violation of 26 U. S. C. § 4704 (a). That same evidence does not establish that he had purchased the heroin in violation of that statute.
The opinion of the Court establishes convincingly the virtual certainty that the heroin in Turner’s possession had been illegally imported into the country. It was thus proper with regard to Count 1 for the trial judge to instruct the jurors in effect that if they found that Turner did indeed possess the drug, they could infer that the heroin had been illegally imported and impute knowledge of that fact to Turner. However, the instruction that possession is prima facie evidence of a violation of § 4704 (a) is quite different. It may be true -that most persons who possess heroin have purchased it not in or from a stamped package. However, Turner
Dissenting Opinion
dissenting.
New if any decisions of this Court have done more than this one today to undercut and destroy the due process safeguards the federal Bill of Rights specifically provides to protect defendants charged with crime in United States courts. Among the accused’s Bill of Rights’ guarantees that the Court today weakens are:
1. His right not to be compelled to answer for a capital or otherwise infamous crime unless on a presentment or indictment of a grand jury;
2. The right to be informed of the nature and cause of the accusation against him;
3. The right not to be compelled to be a witness against himself;
4. The right not to be deprived of life, liberty, or property without due proess of law;
5. The right to be confronted with the witnesses against him;
6. The right to compulsory process for obtaining witnesses for his defense;
7. The right to counsel; and
8. The right to trial by an impartial jury.
The foregoing rights are among those that the Bill of Rights specifically spells out and that due process
Commercial traffic in deadly mind-, soul-, and body-destroying drugs is beyond doubt one of the greatest evils of our time. It cripples intellects, dwarfs bodies, paralyzes the progress of a substantial segment of
Count 1 of the indictment against Turner, as the Court’s opinion asserts, and as I agree,
“charged Turner with (1) knowingly receiving, concealing, and transporting heroin which (2) was illegally imported and which (3) he knew was illegally imported. . . . For conviction, it was necessary for the Government to prove each of these three elements of the crime to the satisfaction of the jury beyond a reasonable doubt.” Ante, at 405.
The Court in the above statement is merely reaffirming the fundamental constitutional principle that the accused is presumed innocent until he is proved guilty and that the Government, before it can secure a conviction, must demonstrate to the jury beyond a reasonable doubt each essential element of the alleged offense. This basic principle is clearly reflected in several provisions of the Bill of Rights. The Fifth and Sixth Amendments provide that as a part of due process of law a person held for criminal prosecution shall be charged on a presentment or indictment of a grand jury and that the defendant shall “be informed of the nature and cause of the accusation.” The purpose of these requirements
Having invoked the above principles, however, the Court then proceeds to uphold Turner’s conviction under Count 1 despite the fact that the prosecution introduced absolutely no evidence at trial on two of the three essential elements of the crime. To show this I think one need look no further than the Court’s own opinion. The Court says:
“The proof was that Turner had knowingly possessed heroin; since it is illegal to import heroin or to manufacture it here, he was also chargeable with knowing that his heroin had an illegal source. For all practical purposes, this was the Government’s case.” Ante, at 405.
“Whatever course the jury took, it found Turner guilty beyond a reasonable doubt and the question on review is the sufficiency of the evidence, or more precisely, the soundness of inferring guilt from proof of possession alone.” Ante, at 407. (Emphasis added.)
These passages show that the Government wholly failed to meet its burden of proof at trial on two of the elements Congress deemed essential to the crime it defined. The prosecution introduced no evidence to prove either
I do not think a reviewing court should permit to stand a conviction as wholly lacking in evidentiary support as is Turner’s conviction under Count 1. Bozza v. United States, 330 U. S. 160 (1947). See also Thompson v. Louisville, 362 U. S. 199 (1960). When the evidence of a crime is insufficient as a matter of law, as the evidence here plainly is, a reversal of the conviction is in accord with the historic principle that “independent trial judges and independent appellate judges have a most important place under our constitutional plan since they have power to set aside convictions.” United States ex rel. Toth v. Quarles, 350 U. S. 11, 19 (1955). I would therefore reverse Turner’s conviction under Count 1 without further ado. Moreover, as the majority opinion and the record in this case indicate, petitioner’s convictions under Counts 3 and 4 are also based upon totally insufficient evidence, for as in Count 1 the prosecution failed to introduce any evidence to support certain essential elements of the crimes charged under these counts. They, too, should be reversed for lack of evidence.
The Court attempts to take the stark nakedness of the evidence against Turner on these counts and clothe it in “presumptions” or “inferences” authorized by 21 U. S. C. §T74 and 26 U. S. C. §4704 (a). Apparently the Court feels that the Government can be relieved of the constitutional burden of proving the essential elements of its case by a mere congressional declaration that certain evidence shall be deemed sufficient to convict. Such an idea seems to me to be totally at variance with what the Constitution requires. Congress can undoubtedly create crimes and define their elements, but it cannot under our Constitution even partially remove
I would have more hesitation in setting aside these jury verdicts for insufficiency of the evidence were I confident that the jury had been allowed to make a free and unhampered determination of guilt or innocence as the jury trial provisions of Article III of the Constitution and the Sixth Amendment require. The right to trial by jury includes the right to have the jury and the jury alone find the facts of the case, including the crucial fact of guilt or innocence. See, e. g., United States ex rel. Toth v. Quarles, 350 U. S. 11, 15-19 (1955). This right to have the jury determine guilt or innocence necessarily includes the right to have that body decide whether the evidence presented at trial is sufficient to convict. Turner’s convictions on each count were secured only after the jury had been explicitly instructed by the trial judge that proof of Turner’s mere possession of heroin and cocaine “shall be deemed sufficient evidence to authorize conviction” under 21 U. S. C. § 174, and “shall be prima facie evidence of a violation” of 26 U. S. C. § 4704 (a). App. 15-18. In my view, these instructions to the jury impermissibly interfered with the defendant’s Sixth Amendment right to have the jury determine when evidence is sufficient to justify a finding of guilt beyond a reasonable doubt.
The instructions directing the jury to presume guilt in this case were not, of course, the trial judge’s own inspiration. Congress, in enacting the statutory presumptions purporting to define and limit the quantum of evidence necessary to convict, has injected its own views and controls into the guilt-determining, fact-finding process vested by our Constitution exclusively in the Judicial Branch of our Government. The Fifth Amendment’s command that cases be tried according to due
It is my belief that these statutory presumptions are totally unconstitutional for yet another reason, and it is a critically important one. As discussed earlier, the Constitution requires that the defendant in a criminal case be presumed innocent and it places the burden of proving guilt squarely on the Government. Statutory presumptions such as those involved in this case rob the defendant of at least part of his presumed innocence and cast upon him the burden of proving that he is not guilty. The presumption in 21 U. S. C. § 174 makes this shift in the burden of proof explicit. It provides that possession of narcotic drugs shall be deemed sufficient evidence to justify a conviction “unless the defendant explains the possession to the satisfaction of the jury.” However, so far as robbing the defendant of his presumption of innocence is concerned, it makes no difference whether the statute explicitly says the defendant can rebut the presumption of guilt (as does the provision of 21 U. S. C. § 174 just quoted), or whether the statute simply uses the language of “prima facie case” and leaves implicit the possibility of the defendant’s rebutting the presumption (as does 26 U. S. C. § 4704 (a)). Presumptions of both forms tend to coerce and compel the defendant into taking the witness stand in his own behalf, in clear violation of the accused’s Fifth Amendment privilege against self-incrimination. This privilege has been consistently interpreted to establish
How does the Court respond to the grave constitutional problems raised by these presumptions of guilt? It says only that these presumptions are, in its view, “reasonable” or factually supportable “beyond a reasonable doubt.” In other words, the Court has concluded that the presumptions are “fair” and apparently thinks that is a sufficient answer.. It matters not to today’s majority that the evidence that it cites to show the factual basis of the presumptions was never introduced at petitioner’s trial, and that petitioner was never given an opportunity to confront before the jury the many expert witnesses now arrayed against him in the footnotes of the Court’s opinion. Nor does it apparently matter to the Court that the fact-finding role it undertakes today is constitutionally vested not in this Court but in the jury. If Congress wants to make simple possession of
For the reasons stated here, I would without hesitation reverse petitioner’s convictions under Counts 1, 2, 3, and 4.
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