Opinion
No. 26081
Decided February 9, 1976. Rehearing denied March 15, 1976.
Defendant was convicted of sale of a narcotic drug with intent to induce or aid another to unlawfully use or possess the drug, was also found to be an habitual criminal, and was sentenced to a term of not less than twenty nor more than thirty years in the state penitentiary.
Affirmed in Part, Reversed in Part.
1. DRUGS AND DRUGGISTS — Sale With Intent to Aid or Induce — Insufficient Evidence — Simple Sale — Evidence — Sufficient. Although evidence was insufficient to support jury's verdict finding defendant guilty of sale of narcotic drug with intent to aid or induce another to unlawfully use or possess the drug in violation of C.R.S. 1963, 48-5-20, nevertheless, record does support conviction of lesser included offense of simple sale of narcotics under C.R.S. 1963, 48-5-2.
2. Sale — Intent to Induce or Aid Another — Absence of Evidence — Conviction — Negative. A conviction of sale of a narcotic drug with intent to induce or aid another to unlawfully use or possess the drug cannot stand in the absence of evidence from which it could reasonably be inferred that accused initiated the transaction, solicited the sale, persuaded or enticed buyers to make the purchase or sold with intent to aid or induce the buyers to use and possess the narcotic, or in the absence of such evidence, of further circumstances from which such an intent could reasonably be drawn.
3. WITNESSES — Informant — Disclosure — Fixed Rule — Negative — Balancing — — Determination — Own Facts. No fixed rule with respect to disclosure of an informant's identity is justifiable; the problem is one that calls for balancing the public interest in protecting the flow of information against the individual's right to prepare his defense; each case involving a drug transaction must therefore be determined on its own facts.
4. Anonymous Informant — Disclosure of Identity — Required — Factors — — Determination. Some of the many factors to be considered in determining whether disclosure of identity of anonymous informant is required are: whether informant was eyewitness and earwitness to criminal transaction and whether informant is available or could in the exercise of reasonable diligence, be made available; whether other witnesses to the transaction are in a position to testify; the likelihood that testimony of informer will vary significantly from that of other available or potentially available witnesses; whether accused himself knows identity of informant or could without undue effort discover his identity; and whether informant was deeply or only peripherally involved.
5. Calling — Matter for Accused — Showing — Need for Disclosure — Informant — Anonymous. Although the desirability of calling a witness is a matter for the accused rather than for the government, nevertheless, the accused must at least make some minimal affirmative showing of his need for disclosure of identity of an anonymous informant.
6. Drugs — Anonymous Informant — Disclosure of Identity — Denial — Lack of Error. In prosecution for sale of a narcotic drug with intent to induce or aid another to unlawfully use or possess the drug, trial court did not err in denying defendant's pretrial motion to compel prosecution to disclose identity of anonymous informant — who set up and was present at illegal drug transaction — particularly where another witness to the transaction was available to accused and where accused made no affirmative showing of his need for disclosure or any showing that he did not know the informant.
7. DRUGS AND DRUGGISTS — Sale With Intent to Induce — Statute — Attack — Moot — Constitutional. Defendant's attack on the constitutionality of the statute — under which he was convicted of sale of a narcotic drug with intent to induce or aid another to unlawfully use or possess the drug — was moot where such conviction was reversed; nevertheless, it is well to note that the constitutionality of the drug statute was upheld in People v. Bowers, 187 Colo. 233, 530 P.2d 1282.
8. CRIMINAL LAW — Habitual Criminal Statute — Constitutional. Habitual criminal statute does not violate constitutional prohibitions against cruel and unusual punishment and does not deny due process of law.
Appeal from the District Court of the City and County of Denver, Honorable Zita L. Weinshienk, Judge.
John P. Moore, Attorney General, John E. Bush, Deputy, J. Stephen Phillips, Assistant, for plaintiff-appellee.
Busacca, Goldstein, Hazelton Temko, Jeanne Busacca, for defendant-appellant.
Defendant was convicted by a jury of sale of a narcotic drug with intent to induce or aid another to unlawfully use or possess the drug, in violation of C.R.S. 1963, 48-5-20. He was also found to be an habitual criminal under C.R.S. 1963, 39-13-1(1), having been previously twice convicted of felonies in Colorado. Defendant was sentenced to a term of not less than twenty nor more than thirty years in the state penitentiary. We affirm in part and reverse in part.
Now section 12-22-322, C.R.S. 1973.
Now section 16-13-101, C.R.S. 1973, as revised and re-enacted.
The charges against defendant arose out of the following circumstances, as established by the People's evidence. On October 7, 1971, an anonymous informant, at the instance of the Denver police, arranged for a meeting of defendant with undercover agent Phil Perez, at defendant's residence in Denver. The informant and Agent Perez went to defendant's home, where the informant introduced Perez to the defendant. The informant announced they were there to purchase narcotics. They were invited into the house, where they sat on a couch in the living room. The informant asked defendant: "Do you have it?" Defendant replied, "Yes, I do." Defendant then went to a table and picked up a red balloon which contained heroin and handed it to the informant, who in turn handed it to Agent Perez. Perez then paid defendant sixty-five dollars.
Present in the room at the time when Perez and the informant entered was a young man, James Cortez, who was seated in a chair watching television. The evidence was not clear whether Cortez was present during the entire transaction, or whether he watched or overheard the narcotics sale. In any event, though he was available as a witness at trial, he was not called by either the People or the defendant.
Agent Perez and the informant then left the premises. It was not until December 8, two months later, that charges against defendant were filed. The delay in filing charges was purposeful, with the hope that defendant might lead the police to a "bigger dealer" in narcotics.
At trial, defendant elected not to testify and he presented no defense witnesses.
I.
[1,2] We agree with defendant's assertion that the evidence was insufficient to support the jury's verdict finding defendant guilty of sale of narcotics with intent to aid or induce another to unlawfully use or possess. In oral argument, the attorney general conceded this to be so.
The record is totally devoid of any evidence from which it could reasonably be inferred that defendant initiated the transaction, solicited the sale, persuaded or enticed the buyers to make the purchase, or sold with intent to aid or induce the buyers to use or possess the narcotic. In the absence of such evidence, or of further circumstances from which such an intent could reasonably be drawn, a conviction cannot stand under this section of the drug statute. People v. Morris, 190 Colo. 215, 545 P.2d 151; People v. Steed, 189 Colo. 212, 540 P.2d 323; People v. Duran, 188 Colo. 420, 535 P.2d 505; People v. Patterson, 187 Colo. 431, 532 P.2d 342; People v. Bowers, 187 Colo. 233, 530 P.2d 1282.
The conviction of defendant of sale with intent to aid or induce must therefore be vacated and set aside. The record, however, without dispute, supports the conviction of the lesser included offense of simple sale of narcotics under C.R.S. 1963, 48-5-2, and upon remand the district court should enter a judgment of conviction under this section of the drug statute and re-sentence defendant accordingly.
Now section 12-22-302, C.R.S. 1973.
II.
[3] Defendant argues that we should reverse for the reason that the court denied his pretrial motion to compel the prosecution to disclose the identity of the anonymous informant who set up and was present at the illegal drug transaction. It is clear that the informant was an eyewitness and an earwitness. It is not at all clear, however, and no showing was made by the defendant, that disclosure of the informant's identity would have in any way assisted his defense. In Roviaro v. United States, 353 U.S. 53, 77 S.Ct. 623, 1 L.Ed.2d 639, the Supreme Court stated:
"We believe that no fixed rule with respect to disclosure is justifiable. The problem is one that calls for balancing the public interest in protecting the flow of information against the individual's right to prepare his defense. Whether a proper balance renders nondisclosure erroneous must depend on the particular circumstances of each case, taking into consideration the crime charged, the possible defenses, the possible significance of the informer's testimony, and other relevant factors."
Each case must therefore be determined on its own facts. This is demonstrated by the diverse results obtained in the various cases concerned with the problem. See, e.g., United States v. Herbert, 502 F.2d 890 (10th Cir. 1974); United States v. Williams, 488 F.2d 788 (10th Cir. 1973); United States v. Martinez, 487 F.2d 973 (10th Cir. 1973); People v. Duran , supra; People v. Musgrave, 187 Colo. 135, 529 P.2d 313.
[4,5] The foregoing cases suggest some of the many factors that must be considered in the balancing process mandated by Roviaro, supra: whether the informant was an eyewitness and earwitness to the criminal transaction and whether the informer himself is available or could, in the exercise of reasonable diligence, be made available; whether other witnesses to the transaction are in a position to testify; the likelihood that the testimony of the informer will vary significantly from that of other available or potentially available witnesses; whether the defendant himself knows the identity of the informant or could without undue effort discover his identity; whether the informant was deeply or only peripherally involved in the criminal transaction. And while, as the Supreme Court noted in Roviaro, the desirability of calling a witness is a matter for the accused rather than for the government, the accused must at least make some minimal affirmative showing of this need for disclosure. Parlapiano v. Dist. Ct., 177 Colo. 36, 492 P.2d 626. It would defeat the purpose of the balancing process to require such disclosure upon the defendant's unsupported assertion that he desires it.
[6] In the present case, the trial court conducted an evidentiary hearing on defendant's motion to disclose, and concluded under the facts that the public interest in protecting the anonymity of the informant outbalanced the need for disclosure to defendant. The court reasoned that defendant had available to him a witness to the transaction, James Cortez, who could have testified concerning the details of the transaction had the defendant chosen to avail himself of this source of information. We do not disagree with the court's conclusion where, as here, the defendant made no affirmative showing of his need for disclosure. Had he called the witness, James Cortez, at the pretrial hearing on the motion and demonstrated that the testimony of this witness would not have shed any light on the transaction — in that although present he did not observe or hear the transaction, or in fact he had left the room before the transaction occurred — then the court might have concluded, as it did in People v. Musgrave, supra, that in fact there were no witnesses to the illicit transaction who could shed light on the defendant's participation therein. Further, we observe that defendant made no showing that he in fact did not know the informant, who had first telephoned him to arrange the meeting and thereafter introduced defendant to the agent, Perez. Indeed, defendant's position at the pretrial hearing was that because of the two-month delay in the filing of charges against him he could not remember anything concerning the transaction with which he was charged.
Under these circumstances, we conclude the ruling of the trial court protecting the anonymity of the informant was correct.
III.
[7] Defendant attacks the constitutionality of the drug statute under which he was convicted. We observe that, even though his argument is now moot in view of our reversal of the conviction on the basis of insufficiency of the evidence, the constitutionality of the statute was upheld in People v. Bowers, supra.
[8] It is also asserted that the habitual criminal statute is unconstitutional in that sentencing under it constitutes cruel and unusual punishment; and, further, that it denies those subject to it due process of law in violation of the federal and state constitutions. These arguments have been answered in numerous cases, the most recent of which are People v. Bergstrom, 190 Colo. 105, 544 P.2d 396; People v. Thomas, 189 Colo. 490, 542 P.2d 387.
IV.
We have considered defendant's other arguments for reversal concerning the testimony relating to a second visit to defendant's home by Agent Perez, and concerning the two-month delay between the illegal sale and defendant's arrest, and we find the arguments to be unpersuasive and without merit.
The judgment is reversed and the cause is remanded with directions to vacate the verdict of guilty and the judgment of conviction entered thereon, and to enter a judgment of conviction of simple sale under C.R.S. 1963, 48-5-2, and for re-sentencing of defendant.
MR. CHIEF JUSTICE PRINGLE, MR. JUSTICE DAY and MR. JUSTICE ERICKSON dissent.