Majority
— An indictment filed April 15, 1958, charged that on December 11, 1957, defendant “did . . . feloniously sell, furnish and give awajr . . . marijuana” in violation of section 11500 of the Health and Safety Code and that in 1951 lie had suffered a conviction under the same sec
Defendant personally and counsel for both parties waived trial by jury. By stipulation the court considered the transcript of the proceedings before the grand jury, and each side produced additional evidence.
Officer Cornelius Pryor testified before the grand jury that on December 10, 1957, he “asked [defendant] if we could get together the next day to go out and purchase some marijuana,” and that on the 11th defendant and the officer drove to a housing project, the officer handed defendant $15, defendant left the car, returned in about half an hour, and handed the officer a dollar and a bag which (according to testimony of a chemist) contained 43 grams of marijuana. On cross-examination at the trial Officer Pryor further testified (that he met defendant and his wife through one of their neighbors about a month before December 11; that he had visited defendant’s apartment and occasionally had beer with him at ,a tavern; and that $14 was about the usual price, “maybe a little more,” for 43 grams of marijuana.
The officer further testified as follows concerning his conversations with defendant as to marijuana:
“Q. Was the subject of marijuana first mentioned by you on the 11th or some time prior to that date ? A. No. I mentioned it to him on the 10th, I would say.
“Q. Had you mentioned it to him on a date prior to that? A. That’s pretty difficult to answer, but—I don’t know, maybe I did.
“Q. It would be a fair statement, would it, then, to say that perhaps on two or three occasions prior to the 11th the subject of marijuana was discussed between you and the defendant? A. Yes, I would say so.”
The prosecution placed in evidence a recorded interview of defendant by Sergeant Salagi and Officer Pryor on April 22, 1958. (It should be remembered that the date of the claimed sale was December 11, 1957.) At the beginning of this interview defendant said that he had not previously known that
Salient uncontradicted portions of the defense testimony[1] tend to show that a manifestly reluctant defendant was induced to obtain marijuana for the officer by the latter’s repeated requests, gestures of friendship, and appeals to sympathy. In arguing that the defense of entrapment is established as a matter of law, defendant properly refrains from reliance on such testimony, for the trier of fact was not required to give it credence and it is not our function to reappraise its effect. (People v. Merkouris (1959), 52 Cal.2d 672 , 678 [1] [ 344 P.2d 1 ] ; People v. De Paula (1954), 43 Cal.2d 643 , 649 [9] [ 276 P.2d 600 ] ; People v. Carnine (1953),
1 Defendant’s wife testified that, not knowing that Pryor was a police officer, she had been acquainted with him for about three months during the latter part of 1957; that Pryor made occasional social visits to her and defendant’s apartment and sometimes went out with defendant; and that she once heard Pryor ask defendant to “go with him up to get some pod or weed, or whatever they called it. And my husband paused for a while and said he wouldn’t like to do that, because he had children to raise and they were growing older now.” Defendant in his testimony admitted the transaction of December 11, 1957, and further testified as follows: About three months before that occurrence neighbors brought Pryor to defendant’s home and introduced him as a schoolmate. (On cross-examination Pryor had previously testified that in his presence the neighbors did not refer to him as a schoolmate.) Pryor “started coming over, visiting with me, and we had a few drinks several times. And he asked me did I know where I could get some marijuana. And the first time I told him no, I didn’t know anything about it. So he kept coming and kept asking and buying candy and stuff: for my kids, and gained my influence; and so finally I decided—he told me him and his wife used it and he couldn’t get any down here. ... I told him that X would introduce him to the people, where he wouldn’t have to come by and bother me to get it for him, because I didn’t want to have anything to do with it. And I only did it because he was a friend.” Defendant made no money from the transaction.
In support of defendant’s application to produce evidence on appeal, an affidavit of defendant’s trial counsel (who does not represent defendant on this appeal) avers that from discussions with Officer Pryor before and after the trial he believes that Officer Pryor would testify, in substance, “That defendant declined on more than two occasions to furnish or procure marijuana for said Officer Pryor before eventually agreeing to procure marijuana for him” and “That when the defendant procured the marijuana for Officer Pryor he stated to Officer Pryor in effect that if Officer Pryor again wanted to obtain marijuana through the defendant, defendant would introduce him to the person from whom he had obtained it. ’ ’ The affidavit further avers that trial counsel because of inadvertence did not establish the foregoing matters at the trial.
The legislation (Code Civ. Proc., § 956a) which gives appellate courts evidence-talcing and fact-finding powers (pursuant to Cal. Const., art. VI, § 4%) does not convert the appellate courts into triers of fact or abrogate the general rule that findings of the trial court based on substantial evidence are conclusive on appeal. The purpose of section 956a is to enable appellate courts, in appropriate cases, to terminate litigation by affirmance, or modification and affirmance, of the judgment, or by reversal with directions to enter judgment for appellant if it appears that on no reasonable theory could respondent make a further showing in the trial court. (Tupman v. Haberkern (1929), 208 Cal. 256 , 269-270 [ 280 P. 970 ] ; Estate of Schluttig (1950), 36 Cal.2d 416 , 421-422 [ 224 P.2d 695 ].)
Defendant relies upon Bassett v. Johnson (1949), 94 Cal.App.2d 807 , 812 [4] [ 211 P.2d 939 ], which bases a general reversal upon additional evidence received by the appellate court and announces that “where . . . the additional evidence is of such a nature that its effect on the appeal is decisive, such additional evidence, in the discretion of the court, can be and should be taken even though a judgment in favor of appellant is not directed.” The Schluttig case (1950), supra, page 423 [1, 2] of 36 Cal.2d, holds that section 956a of the Code of Civil Procedure does not warrant an appellate court’s general reversal of a judgment on the basis of newly discovered evidence presented in the appellate court and disapproves the contrary view of Estate of Culver (1947), 81 Cal.App.2d 640 , 645-646 [ 184 P.2d 738 ]. In view
Here the officer’s testimony which defendant wishes to produce on appeal would corroborate defense testimony to the effect that defendant was reluctant to obtain the drug for the officer. Although the officer’s testimonjq because of its source, would no doubt have had greater probative value in the trial court than the testimony of defendant and his wife (see People v. Carter (1957), 48 Cal.2d 737 , 748 [7] [ 312 P.2d 665 ]), an appellate court could not weigh the officer’s testimony with the testimony which is transcribed in the record and conclude as a matter of law that defendant was more reluctant than the trial court found him to have been. Furthermore, the failure to adduce the testimony when the officer was on the stand at the trial is not sufficiently explained. Therefore, the application to produce additional evidence should be denied.
The People rely on the holding of People v. Cowan (1940), 38 Cal.App.2d 144 , 153 [ 100 P.2d 1079 ], that “The constitutional provision [art. VI, §4¾] and the code section [Code Civ. Proc., § 956a] do not apply to criminal cases.” This court and other district courts of appeal have expressly or by implication declined to pass on the correctness of this Cowan holding. Instead, applications to produce additional evidence on appeal in criminal cases have been denied on the grounds that a jury trial was not waived (People v. Carmen (1954), 43 Cal.2d 342 , 349 [7] [ 273 P.2d 521 ] ; People v. Mendes (1950), 35 Cal.2d 537 , 549 [9] [ 219 P.2d 1 ] ; People v. McKinney (1957), 152 Cal.App.2d 332 , 335 [3] [ 313 P.2d 163 ] ; People v. Willison (1932), 122 Cal.App. 760 , 762 [5] [ 10 P.2d 766 ] ; People v. Myers (1932), 122 Cal.App. 675 , 678 [3] [ 10 P.2d 498 ]), or that the evidence would be merely cumulative to or contradictory of evidence introduced at the trial (People v. Lariscy (1939), 14 Cal.2d 30 , 33 [6] [ 92 P.2d 638 ]; People v. Dutton (1937), 9 Cal.2d 505 , 507 [5] [ 71 P.2d 218 ] ; People v. Skelly (1936), 5 Cal.2d 283 , 287 [2] [ 54 P.2d 1 ]; People v. Laisne (1958), 163 Cal.App.2d 554 , 559 [8] [ 329 P.2d 725 ]), or that defendant did not show that the evidence was unavailable at the trial (People v. Mayes (1947), 78 Cal.App.2d 282 , 287 [3] [ 177 P.2d 590 ]). At this time it remains unnecessary to decide whether additional evidence could be produced on appeal in an appropriate criminal case.
Defendant urges that the California law as to entrapment
The theoretical basis of the defense, according to the United States Supreme Court, is that “Congress could not have intended that its statutes were to be enforced by tempting innocent persons into violations.” (Sherman v. United States (1958), supra, 356 U.S. 369 , 372.) In California recognition of the defense is said to rest upon the broadly stated
2 Petitioner Sherman was convicted of three sales of narcotics to an informer. Defendant here emphasizes the holding (pp. 375-376 of 356 U.S.) that the government had not "overcome the defense of entrapment” for the reasons, among others, that "There is no evidence that ' petitioner himself was in the trade,” and that petitioner’s "nine-year-old sales conviction and a five-year-old possession conviction are insufficient to prove petitioner had a readiness to sell narcotics at the time [the entrapping informer] approached him, particularly when we must assume from the record he was trying to overcome the narcotics habit at the time.” Here, defendant points out, there is no evidence that ho was engaged in the trade, he had only a prior conviction for the offense of possession committed seven years before the present offense, and there was no evidence that he had ever used narcotics. Defendant over- , looks the fact that the People did not, and the law (hereinafter more l fully stated) that the People could not, introduce evidence of past j criminal involvement of defendant with narcotics to show that he was ’ not improperly entrapped. Also cited by defendant to show circumstances where a federal court will reverse on the ground that entrapment appears as a matter of law, and also emphasizing the government’s failure to show defendant’s criminal background or tendencies, are Henderson v. United States (1958, C.A. 5), 261 F.2d 909 , 912, and Morales v. United States (1958), 260 F.2d 939 , 940.
Nevertheless, the tests and definitions of entrapment stated by the California courts, like those stated by the United States Supreme Court, place at least as much emphasis on the susceptibility of the defendant as on the propriety of the methods
The California courts say that “It is not the entrapment of a criminal upon which the law frowns, but the seduction of innocent people into a criminal career by its officers . . .” (People v. Roberts (1953), supra, 40 Cal.2d 483 , 489 [9], quoting from People v. Schwartz (1952), 109 Cal.App. 2d 450 , 455 [3] [ 240 P.2d 1024 ].) The United States Supreme Court says that ‘ ‘ To determine whether entrapment has been established, a line must be drawn between the trap for the
3 Manifestly, in the typical entrapment case, the intent to commit the ‘particular crime with which defendant is charged, the crime in which the entrapping officer or other decoy participates, originates in the mind of the latter, although defendant may have had a general willingness to commit that type of crime whenever the opportunity arose. (See Frankfurter, J., concurring in the Sherman case, supra, p. 382 of 356 U.S.; Mickel, The Doctrine of Entrapment in the Federal Courts (1942), 90 Pa.L.Rev. 245, 251; Cowen, The Entrapment Doctrine (1959, Comment), 49 Journ. Crim. Law 447, 453.)
Prom the foregoing statements of the doctrine of entrapment it might seem to follow that where defendant invokes the defense the prosecution may prove his willingness to commit the crime charged by evidence that he has committed other crimes of the same sort or that he has a criminal reputation. This is the federal rule. “ [I] f the defendant seeks acquittal by reason of entrapment he cannot complain of an appropriate and searching inquiry into his own conduct and predisposition as bearing upon that issue.” (Sorrells v. United States (1932), supra, p. 451 of 287 U.S.; Sherman v. United States (1958), supra, p. 369 of 356 U.S.)[4]
In California, however, evidence that defendant had previously committed similar crimes or had the reputation of being engaged in the commission of such crimes or was suspected by the police of criminal activities is not admissible on the issue of entrapment. (People v. Roberts (1953), supra, 40 Cal.2d 483 , 490 [13] ; People v. Makovsky (1935), supra, 3 Cal.2d 366 , 370 [5].)
A number of California eases state the view that where a defendant is regularly engaged in committing prohibited acts, it is no defense that an officer of the law furnished the opportunity for commission of the offense charged or, as is sometimes said, provided the occasion for defendant to ply his unlawful trade. But in none of those cases did the prosecution at the trial undertake to prove, for the purpose of re
4 Not only do the federal cases hold that the prosecution may prove that defendant was a criminal in' order to show that he was not improperly induced to commit the crime charged; some of them go so far as to frankly state that the police may use more reprehensible methods to trap those whom they reasonably suspect of being engaged in crime than they may use against the ordinary citizen. For example, it is said in Trice v. United States (1954, C.A. 9), 211 F.2d 513 , 516 [1], cert, den., 348 U.S. 900 [ 75 S.Ct. 222 , 99 L.Ed. 707 ], “Here we have a government agent using a consumptive narcotic ex-convict of ill repute to double-cross a friend. Here is entrapment in fact . . . The question is: Is it illegal entrapment and the answer to that question is to be found in the testimony of the narcotic agents on whether they had reasonable grounds to believe that Trice was predisposed to engage in the illicit traffic.” This view seems difficult to reconcile with our fundamental concepts of governmental fairness and equal protection of the law. In effect it permits the police to obtain conviction of a once rehabilitated criminal whom they have badgered into resumption of crime, whereas a man of blameless past, similarly induced, could not be convicted. (And cf. People v. Cahan (1955), supra, 44 Cal.2d 434 , 439 [5]: “it would be manifestly impossible to protect the rights of the innocent if the police were permitted to justify unreasonable searches and seizures on the ground that they assumed their victims were criminals.”)
Since the prosecution in California cannot prove prior criminality of defendant to overcome the defense of entrapment, the absence of such evidence here does not in and of itself have the significance which it had under federal law in the Sherman case (1958), supra, 356 U.S. 369 . Our inquiry is not, as defendant’s argument suggests, whether the prosecution has “overcome the defense of entrapment” (p. 375 of 356 U.S.) but, as he states elsewhere in his briefs, whether the prosecution evidence as a matter of law shows entrapment.
From the testimony of Officer Pryor, the dates of
5 Although we are primarily concerned with the officer’s conduct as constituting excessive persuasion, not with the officer’s state of mind, it is to be noted that the just stated circumstances are “quite persuasive” that the officer believed that defendant had some knowledge of illicit drug traffic which would enable the officer to detect and apprehend persons engaged in the traffic. (See People v. Makovsky (1935), supra, 3 Cal.2d 366 , 371; People v. Farrara (1956), 46 Cal.2d 265 , 268 [3a] [ 294 P.2d 21 ].) We cannot assume, in the face of the presumptions of innocence of wrong, regular performance of official duty, and obedience to law (Code Civ. Proc., § 1963, subds. 1, 15, 33; see People v. Farrara, supra, p. 269 of 46 Cal.2d; People v. Citrino (1956), 46 Cal.2d 284 , 287 [2] [ 294 P.2d 32 ]) that the officer’s dealings with defendant had as their purpose the manufacturing rather than the investigation of crime.
The suggestion that Officer Pryor, unknown to defendant, made defendant his agent to detect and apprehend the peddler from whom defendant obtained the weed is somewhat similar to an argument presented in People v. Seely (1944), 66 Cal.App.2d 408 , 412 [ 152 P.2d 454 ]. In that case officers for some days stealthily observed a peddler of marijuana plying her trade. Immediately after she made a sale to the defendant and another person, the three were arrested. Since the officers did not participate in any of the narcotics transactions, but merely watched them unknown to the criminal participants, the defense of entrapment could not be invoked. Defendant, however, invoked “public policy” and argued that “in knowingly permitting the peddler ... to continue her traffic after having ascertained her vocation the state became her partner. ’ ’ The appellate court correctly held that the facts showed no violation of the public policy of this state, and pointed out that “ [2] as protectors of society it is [the officers’] duty to suppress crime by the employment of any legal, reasonable stratagems. [3] In attempting to defeat illicit dealers in narcotics the police are justified in assuming that a salesman has
We disagree with the further statement in the Seely case, unnecessary to the decision, that (p. 412 of 66 Cal.App.2d [4]) ‘‘The conduct of arresting officers is of no concern to the courts so long as their behavior does not tend to influence the judicial inquiry into the merits of the accusation against the prisoner by violating his rights of due process of law. (McNabb v. United States, 318 U.S. 332 [ 63 S.Ct. 608 , 87 L.Ed. 819 ].) ” To the contrary the McNabb (1943) decision (which holds that confessions obtained by officers while they illegally detained defendants without bringing them before a magistrate are not admissible in the federal courts) was expressly based, not upon due process, but upon the view that ‘‘Judicial supervision of the administration of criminal justice in the federal courts implies the duty of establishing and maintaining civilized standards of procedure and evidence. Such standards are not satisfied merely by observance of those minimal historic safeguards for securing trial by reason which are summarized as ‘due process of law’ and below which we reach what is really trial by force.” (P. 340 of 318 U.S.) Similarly, California bases exclusion of evidence obtained by unconstitutional search and seizure, not upon due process, but upon the court’s ‘‘regard for its own dignity as an agency of justice and custodian of liberty.” (People v. Cahan (1955), supra, 44 Cal.2d 434 , 441, 445.)
The punishment to which this defendant has been sentenced is imprisonment from 10 years to life, for section 11713 of the Health and Safety Code prescribes that punishment for ‘‘Any person convicted under this division for . . . furnishing . . , any narcotic” where he ‘‘has been previously convicted of any offense described in this division” and the previous conviction is ‘‘found to be true by the court.” This punishment seems very harsh for a defendant who, without
For the reasons above stated the application to present additional evidence on appeal is denied and the judgment is affirmed.
Gibson, C. J., Traynor, J., Spence, J., McComb, J. Peters, J., and Peek, J. pro tem.,[6] concurred.
* Assigned by Chairman of Judicial Council.
Cases cited
- People v. Merkouris 52 Cal.2d 672 at 678 p. 5
- People v. De Paula 43 Cal.2d 643 at 649 p. 5
- People v. Carnine 41 Cal.2d 384 at 389 p. 6
- People v. Frankenthal 91 Cal.App.2d 189 at 195 p. 6
- Tupman v. Haberkern 208 Cal. 256 at 269-270 p. 6
- Clements v. McGrath 36 Cal.2d 416 at 421-422 p. 6
- Bassett v. Johnson 94 Cal.App.2d 807 at 812 p. 6, p. 7
- Smith v. Anglo California National Bank of San Francisco 81 Cal.App.2d 640 at 645-646 p. 6
- People v. Carter 48 Cal.2d 737 at 748 p. 7
- People v. Cowan 38 Cal.App.2d 144 at 153 p. 7
- People v. Carmen 43 Cal.2d 342 at 349 p. 7
- People v. Mendes 35 Cal.2d 537 at 549 p. 7
- People v. McKinney 152 Cal.App.2d 332 at 335 p. 7
- People v. Willison 122 Cal.App. 760 at 762 p. 7
- People v. Myers 122 Cal.App. 675 at 678 p. 7
- People v. Lariscy 14 Cal.2d 30 at 33 p. 7
- People v. Dutton 9 Cal.2d 505 at 507 p. 7
- People v. Skelly 5 Cal.2d 283 at 287 p. 7
- People v. Laisne 163 Cal.App.2d 554 at 559 p. 7
- People v. Mayes 78 Cal.App.2d 282 at 287 p. 7
- Sherman v. United States 356 U.S. 369 at 372, at 380 p. 8, p. 9, p. 10, p. 12
- People v. Makovsky 3 Cal.2d 366 at 369, at 370 p. 9, p. 10, p. 11
- People v. Gallagher 107 Cal.App. 425 at 529 p. 9
- In re Moore 70 Cal.App. 483 at 487 p. 9
- People v. Barkdoll 36 Cal.App. 25 at 28 p. 9
- People v. Cahan 44 Cal.2d 434 at 445-446, at 441, 445 p. 9, p. 15
- Sorrells v. United States 287 U.S. 435 at 454-455, at 442, 451 p. 9, p. 10
- People v. Braddock 41 Cal.2d 794 at 803, at 802 p. 9, p. 10
- People v. Terry 44 Cal.2d 371 at 377, at 372, at 375 p. 9, p. 10
- Casey v. United States 276 U.S. 413 at 423 p. 9
- Olmstead v. United States 277 U.S. 438 at 470 p. 9
- People v. Nunn 46 Cal.2d 460 at 471 p. 10
- People v. Jackson 42 Cal.2d 540 at 547 p. 10
- People v. Werner 16 Cal.2d 216 at 223 p. 10
- People v. Malotte 46 Cal.2d 59 at 64 p. 10
- People v. Roberts 40 Cal.2d 483 at 489, at 490 p. 10, p. 11
- People v. Schwartz 109 Cal.App. 2d 450 at 455 p. 10, p. 12
- People v. Ramos 146 Cal.App.2d 110 at 113 p. 12
- People v. Caudillo 138 Cal.App.2d 183 at 186 p. 12
- People v. Neal 120 Cal.App.2d 329 at 333 p. 12
- People v. Branch 119 Cal.App.2d 490 at 494 p. 12
- People v. Raffington 98 Cal.App.2d 455 at 460 p. 12
- People v. Cherry 39 Cal.App.2d 149 at 153 p. 12
- People v. Schubin 166 Cal.App.2d 267 at 270 p. 12
- People v. Herrera 171 Cal.App.2d 551 at 557 p. 12
- People v. Seely 66 Cal.App.2d 408 at 412 p. 14
- McNabb v. United States 318 U.S. 332 p. 15