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PEOPLE v. RIOS
Summary of Opinion: People v. Rios; People v. Contreras
Factual and Procedural Background
Patrick Contreras and Edward Rios were arrested on October 5, 1956 and charged with unlawful sale of narcotics under MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122). A jury found both defendants guilty on November 30, 1956, and each was sentenced on December 20, 1956 to terms of 20 to 30 years' imprisonment. A delayed motion for a new trial was denied on August 26, 1969. The Court of Appeals affirmed in an opinion dated October 1, 1970 (27 Mich. App. 54). Leave to appeal to the Michigan Supreme Court was granted, and the Supreme Court reversed the convictions on November 9, 1971.
Legal Issues Presented
- Whether, in a prosecution for unlawful sale of narcotic drugs, proof of the defendant's lack of a license is an essential element of the corpus delicti of the offense and therefore must be affirmatively proved by the People beyond a reasonable doubt.
Arguments of the Parties
Defendants' Arguments
- One element of the crime charged was the defendant's failure to have a license, and the prosecutor failed to prove that element.
- The analogous line of cases holding lack of a license as part of corpus delicti (e.g., concealed-weapons cases) supports requiring the prosecution to prove lack of license.
The People's Arguments
- The People contended the case should be decided by statutory construction and argued against addressing whether the legislature could place the burden on the defendant to disprove an element.
- The People argued that circumstantial indications (Rios's criminal record and the defendants' employment not requiring a narcotic license) sufficed to show lack of a license.
- The People contended that forcing the prosecution to prove lack of license would be time-consuming and burdensome, implying administrative impracticality.
- The Court of Appeals had also relied on post-decision legislative changes in the concealed-weapons context to argue that the legislature placed the burden of establishing exceptions on defendants in that field (which the People cited analogously).
Table of Precedents Cited
| Precedent | Rule or Principle Cited For | Application by the Court |
|---|---|---|
| People v. Maurice Thomas (1970), 26 Mich. App. 160 | Applied Court of Appeals' reliance on People v. Baker (1952) to argue negative statutory allegations need not be proved. | Noted as the Court of Appeals' precedent in addressing whether negative allegations (lack of license) must be proved. |
| People v. Baker (1952), 332 Mich. 320 | Held that under MCLA § 767.48 an indictment need not negative statutory exceptions (as to pleading). | Court says Baker's reach is limited to pleading and that to the extent Baker applied § 767.48 to burden of proof, that application is overruled. |
| People v. Gould (1926), 237 Mich. 156, 164 | Explains the primary purpose of an information is to advise the accused of the offense charged. | Used to distinguish pleading requirements from burden of proof and to explain the purpose of MCLA § 767.48. |
| People v. Autry (1967), 7 Mich. App. 480 | Beginning of a line of Court of Appeals cases recognizing lack of license to carry concealed weapons as part of the corpus delicti. | Cited as authority for analogy that lack of license can be an essential element of an offense. |
| People v. Schrader (1968), 10 Mich. App. 211 | Held prosecution must prove lack of pistol license; where no proof of lack of license existed, conviction reversed. | Used to support the proposition that lack of license is an essential element and must be proved by the prosecution. |
| People v. Kelsch (1969), 16 Mich. App. 244 | Stated the prosecutor must prove both carrying a concealed pistol and that the defendant had no license. | Cited to reinforce that lack of license is part of corpus delicti and cannot be established solely by extrajudicial statements of the accused. |
| People v. Baker (1969), 19 Mich. App. 480 | Included among Court of Appeals decisions treating lack of license as element in concealed-weapons prosecutions. | Referenced as part of the line of authority recognizing the prosecution's burden to prove lack of license. |
| People v. Cardenas (1970), 21 Mich. App. 636 | Another Court of Appeals decision recognizing lack of license as essential for certain offenses. | Supported the Court's view that lack of license is an element the People must prove. |
| People v. Gould (1970), 384 Mich. 71 | State Supreme Court approval of the reasoning in the line of cases treating lack of license as part of corpus delicti. | Cited to show the Michigan Supreme Court approved the rationale of the Court of Appeals cases on the corpus delicti issue. |
| People v. Jiminez (1970), 27 Mich. App. 633, 635 | Noted that the legislature enacted a statute placing the burden on the defendant in concealed-weapons prosecutions, responding to prior case law. | Used to demonstrate legislative recognition that the burden had previously been on the prosecution in concealed-weapons cases. |
| United States v. Vuitch (1971), 402 U.S. 62, 70 (91 S Ct 1294, 1298; 28 L Ed 601, 608) | General guide: when an exception is in the enacting clause of a statute, the burden is on the prosecution to plead and prove that the defendant is not within the exception. | Applied as supportive authority that, regardless of analytical approach, the burden to prove lack of license lies with the prosecution. |
| People v. Mallory (1966), 2 Mich. App. 359 | Recognized that not having a license is an element of the crime under MCLA § 335.152. | Used as authority that other panels had treated lack of license as an element for narcotics prosecutions. |
| People v. Bagwell (1940), 295 Mich. 412 | Supports that the People must prove elements of the crime as they would other elements. | Cited to state that lack of license must be proved like any other element of a crime. |
| People v. Gadson (1957), 348 Mich. 307, 310 | States that a guilty verdict in a criminal case must be based on proof beyond a reasonable doubt and not merely on a preponderance. | Invoked to reject the People's reliance on circumstantial indicators (criminal record, employment) as insufficient proof of lack of license. |
| People v. Morrow (1970), 21 Mich. App. 603, 606 | Referenced for the standard that criminal convictions require proof beyond a reasonable doubt. | Cited to reinforce the insufficiency of the People's evidence on the license element. |
| People v. Smith (1932), 260 Mich. 486 | Referenced in the context that judgments cannot stand where the prosecution fails to meet its burden. | Used to support reversal when the People failed to prove an essential element. |
| People v. Braswell (1968), 12 Mich. App. 685 | Addressed proof of lack of a concealed-weapons license by certified statement from public official and admissibility of such certification. | Applied to show that statutes allowing certified statements (regarding lack of license) make proof of lack of license practicable and constitutionally acceptable. |
Court's Reasoning and Analysis
The Court began by stating the case should be resolved by statutory construction and declined to address whether the legislature could, by express legislation, place the burden of disproving an element on a defendant.
First, the Court distinguished pleading rules from burden of proof. It observed that MCLA § 767.48 pertains to indictment pleading requirements (that an indictment need not negative exceptions, excuses or provisos), citing People v. Baker (1952) as limited to pleading; the Court expressly overruled Baker to the extent that Baker applied § 767.48 to shift the burden of proof. The Court emphasized that shifting the burden of proof requires express statutory language and will not be inferred from a pleading statute.
Second, the Court considered the line of concealed-weapons cases from the Court of Appeals (beginning with People v. Autry) that recognized proof of lack of a license as part of the corpus delicti and thus a burden on the prosecution. The Supreme Court noted that the legislature later enacted a statute (PA 1968, No 299, MCLA § 776.20) placing the burden of establishing exceptions in pistol/firearm prosecutions on the defendant; the Court interpreted that legislative action as evidence that the burden previously rested with the prosecution in those cases.
Third, applying the statutory language of MCLA § 335.152, which punishes "Any person not having a license ... who shall sell ... any narcotic drug," the Court concluded that lack of a license is an element of the offense. The Court invoked the Supreme Court's guidance in United States v. Vuitch that when an exception is incorporated in the enacting clause the burden is on the prosecution to plead and prove the defendant is not within the exception.
Fourth, the Court evaluated the People's evidence and found it legally insufficient. The People relied on circumstantial indicators (Rios's criminal record and the defendants' employment) to infer lack of a narcotic license, but the Court held such proof did not meet the constitutional standard of proof beyond a reasonable doubt, citing People v. Gadson and other authorities on that standard.
Finally, the Court addressed practicality concerns by noting statutes permitting certified statements concerning licenses. The Court cited MCLA § 335.54a, which allows a certificate from the director of drugs and drug stores, certified and bearing the state board of pharmacy's seal, to be received in evidence as prima facie proof of licensing status, and analogized to the Braswell recognition that certified statements by public officials are admissible and practical for proving nonexistence of records.
On this basis the Court held that lack of a license is an element of the crime under MCLA § 335.152 and that the prosecution must prove that element beyond a reasonable doubt. Because the prosecution failed to meet this burden in the present case, the convictions could not stand.
Holding and Implications
Holding: The Michigan Supreme Court reversed the judgments of conviction. The Court held that lack of a license is an element of the offense charged under MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122) and that the prosecution bears the burden of proving lack of a license beyond a reasonable doubt.
Implications:
- The direct consequence in this case is reversal of the convictions and sentences for unlawful sale of narcotics because the prosecution failed to prove the license element beyond a reasonable doubt.
- The Court overruled, to the extent previously applied, any authority relying on MCLA § 767.48 to relieve the prosecution of proving negative statutory allegations (i.e., shifting burden of proof). The opinion recognizes that certified-statute mechanisms exist to make proof of licensing status practicable (e.g., MCLA § 335.54a and related authority discussed in Braswell).
Opinion by Swainson, J.; T.M. Kavanagh, C.J., and Justices Adams, T.E. Brennan, T.G. Kavanagh, and Williams concurred; Black, J., concurred in the result.
SWAINSON, J.
Patrick Contreras and Edward Rios were arrested on October 5, 1956 and charged with unlawful sale of narcotics in violation of MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122). They were found guilty by a jury on November 30, 1956. The trial judge sentenced each defendant to from 20 to 30 years imprisonment on December 20, 1956. A delayed motion for new trial was denied on August 26, 1969. In an opinion dated October 1, 1970, the Court of Appeals affirmed. 27 Mich. App. 54. We granted leave to appeal. 384 Mich. 789.
Defendants raise four issues on appeal. However, in view of our disposition of the case we find it necessary to only deal with the first issue. The issue for decision is: Whether in a prosecution for unlawful sale of narcotic drugs, proof of defendant's lack of license is an essential element of the corpus delicti of the criminal offense and, therefore, must affirmatively be proved by the people beyond a reasonable doubt?
I.
It should be noted at the outset that we agree with the people that this case should be decided on the basis of statutory construction. We do not consider the issue of whether the legislature may by appropriate legislation place the burden of proof on the defendant to disprove an element of a crime.
Defendants contend that one of the elements of the crime was the failure to have a license and that the prosecutor failed to prove this element of the crime. The Court of Appeals answered this contention as follows (p 56):
"The same argument was made in People v. Maurice Thomas (1970), 26 Mich. App. 160.
"In the Thomas case was decided that People v. Baker (1952), 332 Mich. 320, held that under the authority of MCLA § 767.48 (Stat Ann 1954 Rev § 28.988) it was unnecessary for the people to prove negative allegations contained in the statute. If the defendant wished to defend by showing that he had a license, it was incumbent upon him to produce evidence tending to show that fact."
In People v. Baker (1952), 332 Mich. 320, defendant was convicted of the possession of barbituric acid in other than the original container. Baker contended that the people must prove that she did not come within any of the exceptions under the statute. Our Court held (p 323) that under MCLA § 767.48 (Stat Ann 1954 Rev § 28.988) it was not necessary to allege or prove the negative allegation of the statute.
MCLA § 767.48 (Stat Ann 1954 Rev § 28.988) provides:
"No indictment for any offense created or defined by statute shall be deemed objectionable for the reason that it fails to negative any exception, excuse or proviso contained in the statute creating or defining the offense. The fact that the charge is made shall be considered as an allegation that no legal excuse for the doing of the act exists in the particular case." (Emphasis added.)
However, this section deals with pleading and not with burden of proof. Our Court has pointed out that: "The primary purpose of an information is to plainly advise an accused of the offense with which he is charged." People v. Gould (1926), 237 Mich. 156, 164. The legislature, in passing the above statute was attempting to simplify the rules of pleading. A defendant is not prejudiced if an indictment fails to negative an exception, excuse or proviso, because defendant will still have notice of the impending charge. However, shifting the burden of proof goes to the heart of the judicial process. Our Court will not infer a change in the burden of proof without express statutory language to that effect. MCLA § 767.48 (Stat Ann 1954 Rev § 28.988) only deals with indictments. To the extent that People v. Baker, supra, holds that MCLA § 767.48 (Stat Ann 1954 Rev § 28.988) also applies to burden of proof, it is overruled.
II.Defendants contend that this matter is analogous to cases involving the carrying of a concealed weapon. The Court of Appeals answered this contention in footnote 2 of its opinion in this case, wherein it stated (pp 56, 57):
"We are not unmindful of the line of cases, beginning with People v. Autry (1967), 7 Mich. App. 480 and including People v. Schrader (1968), 10 Mich. App. 211; People v. Kelsch (1969), 16 Mich. App. 244; and People v. Baker (1969), 19 Mich. App. 480. These cases hold that proof of lack of a license to carry a concealed weapon is part of the corpus delicti of the crime and thus a burden of the state. PA 1968, No 299, added MCLA § 776.20 (Stat Ann 1970 Cum Supp § 28.1274[1]), placing the burden of establishing any exception, excuse, proviso, or exemption in such prosecutions on the defendant. Thus, these cases have no longer any application to the case at bar."
The Court of Appeals in a series of decisions beginning with People v. Autry (1967), 7 Mich. App. 480, recognized that proof of the lack of a license to carry concealed weapons was part of the corpus delicti of the crime.
In People v. Schrader (1968), 10 Mich. App. 211, defendant was convicted of robbery armed and carrying a concealed weapon. The Court of Appeals reversed as to the count of carrying a concealed weapon. The Court stated (pp 216, 217):
"It will be noted that an essential element of this statute, as regards a pistol, is `without a license to so carry said pistol as provided by law,' and this in turn is a matter of proof as to the lack of a license. * * *
"It will be noted that there is no showing of a lack of a pistol license at the time of the alleged commission of the crime. * * *
"In view of the complete failure of proof of this essential element of the crime, we hold that defendant was improperly convicted of the crime of carrying a concealed weapon * * *."
In People v. Kelsch (1969), 16 Mich. App. 244, 245, the Court said:
"To establish the corpus delicti of this felony, the prosecutor must prove not only that the defendant carried a concealed pistol, but also that he had no license to do so. People v. Autry (1967), 7 Mich. App. 480, 483. It is well settled in this state that the corpus delicti of a crime, or any essential element of it, cannot be established solely by the extrajudicial statements of the accused."
See, also, People v. Baker (1969), 19 Mich. App. 480, and People v. Cardenas (1970), 21 Mich. App. 636.
Our Court has approved the reasoning advanced in this line of cases. People v. Gould (1970), 384 Mich. 71.
The Court of Appeals stated that this analogy is not applicable because the legislature changed the law and now places the burden of proof on the defendant. However, the change in the law by the legislature is evidence that the state did have the burden of proof in these cases. As the Court of Appeals stated in People v. Jiminez (1970), 27 Mich. App. 633, 635:
PA 1968, No 299 (MCLA § 776.20; Stat Ann 1971 Cum Supp § 28.1274[1]), reads: "In any prosecution for the violation of any acts of the state relative to use, licensing and possession of pistols or firearms, the burden of establishing any exception, excuse, proviso or exemption contained in any such act shall be upon the defendant but this does not shift the burden of proof for the violation."
"However, in that year [1968] the legislature took notice of our decisions holding that it was the burden of the prosecutor to prove that the defendant did not come within a statutory exception. The legislature responded by enacting a law which held that, in trials for carrying concealed weapons, the burden is on the defendant to show that he comes within one of the exemptions." (Emphasis added.)
Thus, it is clear that before the enactment of MCLA § 776.20 (Stat Ann 1971 Cum Supp § 28.1274 [1]), proof of lack of a license was part of the corpus delicti and the burden of such proof was on the prosecutor.
Thus, an analogous situation applies in the case of unlawful sale of narcotics. MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122) provides:
"Any person not having a license under the provisions of Act No. 343 of the Public Acts of 1937, as amended, being sections 335.51 to 335.78, inclusive, of the Compiled Laws of 1948, who shall sell, manufacture, produce, administer, dispense or prescribe any narcotic drug shall be deemed guilty of a felony, and upon conviction thereof shall be punished by imprisonment in the state prison for a term of not less than 20 years nor more than life."
The elements of this crime are: (1) the lack of license; (2) sale of a prohibited narcotic drug; (3) to another identifiable person.
Moreover, even if this was not held to be an element of the crime, the result would still be the same. The United States Supreme Court recently pointed out in United States v. Vuitch (1971), 402 U.S. 62, 70 ( 91 S Ct 1294, 1298; 28 L Ed 601, 608):
"It is a general guide to the interpretation of criminal statutes that when an exception is incorporated in the enacting clause of a statute, the burden is on the prosecution to plead and prove that the defendant is not within the exception."
Thus, regardless of which analysis is applied, the burden of proof is upon the prosecution.
Other panels of the Court of Appeals have recognized that not having a license is an element of the crime charged under MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122). People v. Mallory (1966), 2 Mich. App. 359; People v. Cardenas (1970), 21 Mich. App. 636. Thus, the people must prove the element of lack of a license the same as all other elements of a crime. People v. Bagwell (1940), 295 Mich. 412.
The people contend that because Rios had a criminal record and that both Rios and Contreras had jobs not requiring a narcotic license, this was sufficient proof that they did not have a license. However, this was not sufficient proof for a criminal conviction. As our Court pointed out in People v. Gadson (1957), 348 Mich. 307, 310:
"A verdict of guilty in a criminal case cannot properly rest on a mere preponderance of the evidence, but should be based on proof that leaves no reasonable doubt of guilt."
See, also, People v. Morrow (1970), 21 Mich. App. 603, 606. Hence, the people failed to meet their burden of proof and the judgments cannot stand. People v. Smith (1932), 260 Mich. 486.
III.
The people contend that if they are forced to prove lack of license, this would be a very time consuming and costly expense on an overburdened administration of justice. A similar problem occurred in cases involving concealed weapons.
In People v. Braswell (1968), 12 Mich. App. 685, the Court affirmed defendant's conviction of carrying a concealed pistol without a license. The trial court had admitted into evidence, over defendant's objection, a certified statement that no record existed showing defendant to be licensed to carry a concealed weapon. Defendant contended that the evidence was hearsay and that its admission denied her the right to confrontation of cross-examination of witnesses against her. The opinion by then Judge T.G. KAVANAGH [now Supreme Court Justice] thoroughly analyzed the pertinent authorities on both sides of the issue. The opinion pointed out that while courts had readily permitted certified documents into evidence to substantiate a certain fact or occurrence, they had been reluctant to do so when used to prove no record existed. Michigan, however, had passed a statute which allowed the lack of license to be proved at trial by a statement certified by the Commissioner of the Michigan State Police.
MCLA § 28.201 (Stat Ann 1969 Rev § 4.470) provides:
"Copies, including photostatic copies, of all records and papers in the files of the Michigan state police, certified as true copies by the commissioner of the Michigan state police, shall be evidence in all cases equally and with like effect as the originals. A statement similarly certified as true by the commissioner of the Michigan state police that no records and papers are in the files of the Michigan state police with respect to a particular matter shall be evidence in all cases equally and with like effect as testimony to that effect by any member or employee of the Michigan state police."
The Court in the Braswell case stated (p 689):
"We hold therefore that where it is the statutory duty of a public official to keep certain records, as was the case here, a certified statement by him concerning those records is both trustworthy and reliable. In view of the impracticability of requiring the commissioner's testimony concerning the search, we hold that the admission of his certified statement in such cases is a necessity. This statute establishes a valid exception to the hearsay rule without violating defendant's constitutional rights to confront and cross-examine all witnesses against her."
A similar statute applies in the case of narcotic licenses. MCLA § 335.53 (Stat Ann 1957 Rev § 18.1073) requires a license for anyone to process, sell, manufacture, et cetera, narcotic drugs. MCLA § 335.54a (Stat Ann 1971 Cum Supp § 18.1074[1]) provides:
"At the trial of any civil or criminal cause, or at the hearing of any matter by an administrative tribunal or a hearing officer thereof, in this state, a certificate stating that any person named therein is or is not licensed pursuant to the provisions of sections 3 and 4 of this act for the period, or at the time stated therein and certified and signed by the director of drugs and drug stores and bearing the seal of the state board of pharmacy, shall be received in evidence if material to the determination of the cause, and it shall be deemed to be prima facie proof of the facts stated therein." (Emphasis added.)
Thus, as pointed out in Braswell, the lack of a license could be inexpensively and easily proved, and the fact that the statute was enacted in 1960 would equally indicate that the lack of the prescribed license was and is essential to conviction.
We, therefore, hold that lack of a license is an element of the offense charged under MCLA § 335.152 (Stat Ann 1957 Rev § 18.1122). The prosecution has the burden of proof beyond a reasonable doubt on this element, as all other elements of crime. The prosecution failed to meet its burden of proof in this case and the convictions cannot stand. The judgments are reversed.
T.M. KAVANAGH, C.J., and ADAMS, T.E. BRENNAN, T.G. KAVANAGH, and WILLIAMS, JJ., concurred with SWAINSON, J.
BLACK, J., concurred in the result.
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