Edmond Waker v. United States, 344 F.2d 795, 1st Cir. (1965)

344 F.
2d 795
Edmond WAKER, Defendant, Appellant,

v.
UNITED STATES of America, Appellee.
No. 6421.
United States Court of Appeals First Circuit.

April 28, 1965.
Robert E. Fast, Boston, Mass., with whom Hale & Dorr, Boston, Mass.,
was on brief, for appellant.
Melvin B. Miller, Asst. U.S. Atty., with whom W. Arthur Garrity, Jr., U.S.
Atty., and William J. Koen, Asst. U.S. Atty., were on brief, for appellee.
Before ALDRICH, Chief Judge, WATERMAN,* Circuit Judge and
GIGNOUX, District Judge.
ALDRICH, Chief Judge.
The defendant was convicted of violating 26 U.S.C. 4742(a) forbidding the

transfer of marihuana without a written order upon a form issued by the
Secretary of the Treasury. The defense, essentially, was entrapment. It is clear,
on the government's own case, that a transfer was requested by a government
agent.1 It is also clear, just as in Whiting v. United States, 1 Cir., 1963, 321
F.2d 72, that while the agent apparently had some private reason for suspecting
that the defendant would be amenable, on the evidence presented in court he
had no probable cause. 2 We reaffirm our holding in Whiting that where the
inducement exercised was not 'shocking or offensive per se' the only issue is
whether the defendant was sufficiently predisposed, so that while the particular
offense was brought about by the government agent, the defendant's
criminality, or 'corruption,' was not. On this issue, once inducement has been
shown, the burden is on the government beyond a reasonable doubt.3 United
States v. Landry, 7 Cir., 1958, 257 F.2d 425, 429; Lunsford v. United States, 10
Cir., 1952, 200 F.2d 237, 239-240. However, such predisposition may be
inferred from the circumstances themselves. Defendant's concept that 'an
established pattern of continuing criminal conduct' must be found is erroneous.
As we pointed out in Whiting, supra, entrapment is allowed as a defense not

because the defendant has not committed the acts constituting the crime, but
because entrapment, as legally defined, is unacceptable to a sense of justice and
fair play. It would be excessive to extend it to a defendant who showed himself
ready and willing, and merely had to be persuaded that this was a safe
opportunity to commit the offense. In such circumstances we would not impose
on the government the very heavy burden of proving beyond a reasonable doubt
that the defendant was a habitual offender, or even that he was a prior offender
at all. Our discussion in Whiting of the purpose behind the entrapment defense
and the countervailing policies need not be repeated.
2
Although the instant defendant had to be 'played with' a bit, the jury was
warranted in concluding, to continue in the vernacular, that he was willing to
take the bait. We see no purpose in detailing the evidence in the body of this
opinion.4 The difficulty comes with the charge. The court did not separate out
the issue of probable cause, as it might appear to the agent, to solicit the
defendant, and defendant's actual predisposition to engage in illicit activities,
i.e., whether he was in fact entrapped. It charged the jury that the prosecution
could establish the defendant's predisposition by showing that the agent knew
that he was predisposed to commit the crime, either from 'personal knowledge,
or from information from an established authority that is to be believed.' This
was either a total failure to charge on the more basic issue of predisposition as
distinguished from probable cause, or a charge that on this basic issue hearsay
could be considered. In either event it was directly contrary to Whiting v.
United States, 1 Cir., 1961, 296 F.2d 512, 517-519. The defendant duly saved
his rights. On this essential matter we have no alternative but to reverse.5
The defendant made another request which, since the matter may well come up
at a second trial, we must deal with. The defendant requested the court to
instruct the jury that it might find him 'guilty of the lesser offense of unlawful
acquisition or possession of marihuana.' On this appeal he identifies this as
meaning a violation of 26 U.S.C. 4744(a), prohibiting the acquisition of
marihuana without having paid the tax imposed upon a transferee. If this was
'an offense necessarily included in the offense charged,' F.R.Crim.P. 31(c), the
defendant was entitled to the requested instruction. It may be conceded, in the
light of the presumptions established by 26 U.S.C. 4744(a) and 7491, that the
evidence in fact warranted a finding that the defendant was guilty of this lesser
offense.
We have found very little articulation of the reason why a defendant, as

distinguished from the government, is entitled to a charge that he may be found
guilty of an offense of a lesser character than the one specified in the
indictment. However, it is not what might be regarded as the humanitarian

approach, to give a jury, reluctant to find the defendant guilty of the larger
offense but possibly prepared to do so if necessary, the opportunity to temper
justice. See Sansone v. United States, 85 S.Ct. 1004 (3/29/65). The rule is not
applicable unless the lesser offense is made out by some, but less than all, of
the factual elements constituting the greater offense, Sansone v. United States,
supra. Furthermore, the lesser offense must not require some additional element
not needed to constitute the greater offense. Larson v. United States, 10 Cir.,
1961, 296 F.2d 80, 81; Giles v. United States, 9 Cir., 1944, 144 F.2d 860, 10
Alaska 455. 26 U.S.C. 4742(a), under which the indictment was brought, makes
transfer by 'any person,' with certain exceptions, without the proper written
order an offense. The legality of the transferor's acquisition is irrelevant. The
government would clearly have been entitled to an instruction that lawful
acquisition by the transferor would not have been a defense to the indictment.
Consequently the request was properly refused.
5
Judgment will be entered reversing the judgment of the court below and
vacating the verdict, and remanding the action for further proceedings not
inconsistent herewith.
WATERMAN, Circuit Judge (concurring).
I concur in the result.
Sitting by designation
Not this particular transfer. See fn. 4, infra
See fn. 5, infra
The question of the weight of his burden was expressly reserved in Whiting,
supra, 321 F.2d at 75, n. 6. We have concluded that although, strictly, an
element of the offense is not involved, it would be unduly confusing to instruct
the jury that the government's burden is any the less on this issue than it is on
other parts of its case
The facts in this case were somewhat unusual. Briefly, the defendant, on being
introduced to the government agent by an acquaintance, was asked by the agent
whether he knew 'Reb.' An affirmative answer quickly led to a request by the
agent and the furnishing of a packet in exchange for $30. The defendant also
gave the agent his telephone number. The packet proved to be 'turkey,' or non-
narcotic. The agent telephoned the defendant and urged him, at first
unsuccessfully, to rectify the error. Later the defendant apologized and said that
he would do so. However, at the appointed time, defendant transferred another
'turkey' in exchange for another $10. Then, possibly to assure the agent of his
good faith, or to placate a guilty conscience, defendant offered to share the
smoking of a 'reefer.' The agent took it; it proved to be genuine marihuana, and
its transfer alone formed the basis of the present indictment. While these facts
were perhaps unusual there was no unusual pressure placed upon the defendant
to make the transfer
5
Had there been no hearsay evidence we might possibly have considered this
charge erroneous but not prejudicial. Cf. Elgin, J. & E. Ry. Co. v. United
States, 7 Cir., 1918, 253 F. 907, 912-913, cert. den. 249 U.S. 601, 39 S.Ct. 259,
63 L.Ed. 797. There was, however, such evidence, namely that the government
agent, before searching out the defendant, conversed with two Coast
Guardsmen. The inference is obvious that they gave him information about the
defendant. The natural consequences of this charge, referring to external
authoritative sources, was to emphasize this inference. Morris v. United States,
9 Cir., 1963, 326 F.2d 192; Surratt v. United States, 1959, 106 U.S.App.D.C.
49, 269 F.2d 240, cert. den. 371 U.S. 880, 83 S.Ct. 152, 9 L.Ed.2d 116. In fact,
since it does not appear what the Coast Guardsmen told the agent, the evidence
would not have any proper bearing even on the issue of his probable cause

Edmond Waker v. United States, 344 F.2d 795, 1st Cir. (1965)

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344 F.

Edmond WAKER, Defendant, Appellant,

United States Court of Appeals First Circuit.

The defendant was convicted of violating 26 U.S.C. 4742(a) forbidding the

As we pointed out in Whiting, supra, entrapment is allowed as a defense not

We have found very little articulation of the reason why a defendant, as

indictment. However, it is not what might be regarded as the humanitarian

WATERMAN, Circuit Judge (concurring).

I concur in the result.

Not this particular transfer. See fn. 4, infra

See fn. 5, infra

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