After a jury-waived trial, the defendant was found guilty of trafficking in cocaine, G. L. c. 94C, § 32E
The defendant challenges his convictions on the following grounds: (1) The denial of his pretrial motion to suppress was error. (2) The judge erroneously precluded his expert witnesses from testifying. (3) The evidence at trial was insufficient to warrant a finding beyond a reasonable doubt that the substance in which he allegedly trafficked was a controlled substance and therefore the judge erred in denying the defendant’s motion for required findings of not guilty. (4) “Trafficking” is an essential element of the crime described in G. L. c. 94C, § 32E (b) (2), and trafficking was neither clearly alleged in the indictment nor proved at trial. (5) The defendant was denied the effective assistance of counsel. (6) The convictions under both G. L. c. 94C, §§ 32A (a) and 32E (b) (2), are duplicitous. We reject all the defendant’s arguments pertaining to the trafficking indictment and affirm that conviction. In the circumstances, we remand this case to the Superior Court for an order dismissing the indictment for the lesser included offense of possession with intent to distribute, even though that indictment had been filed with the defendant’s consent.
Before trial, the defendant moved to suppress the physical evidence seized from his home pursuant to a warrant issued on the basis of an affidavit executed by Trooper John B. O’Con-nor of the State police. The only ground set forth in the motion on which the defendant relies on appeal is that it is apparent from the affidavit itself that the information in the affidavit that was critical to the issuance of the search warrant was unlawfully obtained. The defendant argues that any evidence traceable to unlawfully obtained information must be suppressed. See
Commonwealth
v.
D’Onofrio,
According to the affidavit, on Tuesday morning, July 19, 1983, Trooper O’Connor observed the placing of three trash bags on the edge of the macadam on Kingston Street in front of the driveway of the defendant’s premises. The officer had previously learned that the strip of land on which the trash bags were placed was owned by the town. Trooper O’Connor seized the bags without a warrant, searched them, and found the following: a letter addressed to the defendant; seven plastic “baggies” containing a white, powdery substance, later determined to be eighty per cent pure cocaine; one hypodermic needle and syringe; and a quantity of marihuana.
On the basis of that affidavit, Trooper O’Connor procured a warrant to search the defendant’s home for controlled substances and other materials relating to the possession and distribution of controlled substances. The judge who heard the motion to suppress found that, in the search conducted pursuant to the warrant, police officers discovered and seized 139.4 grams of a white, powdery substance, later analyzed and found to be seventy-two per cent pure cocaine, ledger paper containing notations apparently referring to drug transactions, three bottles of Inositol, a plastic bag containing two spoons, and a bag containing plastic bags wrapped in newspaper. After seizing the items, the officers arrested the defendant. The judge also found that the trash bags that furnished the information on which the search warrant was based had been placed on town property. He concluded that the defendant did not have a justifiable expectation of privacy in the trash bags and that
Unless the defendant had a reasonable expectation of privacy in the trash bags when the officers opened them and observed their contents, there was no “search” within the meaning of the Fourth Amendment.
Commonwealth
v.
D’Onofrio, supra
at 714. The burden of proof is on the defendant.
Id.
at 715. The “correct inquiry is whether the government’s intrusion infringes upon the personal and societal values protected by the Fourth Amendment.”
Id.
at 718, quoting
Oliver
v.
United States,
There is authority for holding that the defendant had a reasonable expectation of privacy in the trash bags, and that opening and searching them violated his Fourth Amendment rights. See
People
v.
Krivda,
We turn to the remaining issues on appeal, and we set forth the evidence at trial and certain events relevant thereto. A certificate of analysis concerning the 139.4 grams of white powder contained in the three plastic bags seized from the defendant’s home, signed by Kenneth W. Gagnon, a chemist with the Department of Public Safety, was introduced in evidence. The certificate stated that the powder “was found to contain 72% cocaine, a derivative of coca leaves and a Class B Controlled Substance as defined under Chapter 94C, Section 31 of the General Laws.” Gagnon testified for the Commonwealth. He stated his qualifications as a chemist and he confirmed that he had analyzed the substance taken from the defendant’s home and had reduced his findings to writing pursuant to G. L. c. 147, § 4D (1984 ed.).
On cross-examination conducted by Mr. Theodore Simon representing the defendant, Gagnon testified concerning the tests that he conducted. He testified also that Cocaine L is an isomer contained in the coca leaf and its derivative,
2
and that Cocaine L is the optical isomer of Cocaine D. Gagnon agreed that he was “not sufficiently familiar to distinguish Cocaine L from Cocaine D.” When asked, “[A]re you familiar that Cocaine D is synthetically produced,” Gagnon responded, “I am familiar that it is potentially possible to produce it, yes.” He also gave testimony concerning his awareness of a “potential for there being six other” isomers of cocaine. Gagnon refused to agree that “it is only Cocaine L which is contained in the coca plant” but he did agree that Cocaine L “is much more pharmacologically active per amount than the D isomer.” On
Called by the Commonwealth, Trooper John R. Sprague of the State police testified to his extensive training and experience as a narcotics investigator. According to his testimony, Trooper Sprague participated in the search of the defendant’s home and he seized from the defendant’s bedroom the white powder that was the subject of the certificate of analysis signed by the chemist Gagnon. The powder itself was admitted in evidence. Trooper Sprague testified that he also seized from the defendant’s bedroom two bottles of “Inositol,” which he explained “is a substance consistent in appearance and in texture with cocaine, [and is] frequently employed by a cocaine distributor to adulterate his cocaine ... to reduce it for subsequent sale.” He also described a newspaper packet covered with duct tape and white tape, found in the defendant’s bedroom, which, he testified, is consistent with the packaging commonly employed for the distribution of cocaine by the kilogram. In the officer’s opinion “based on the quantity of narcotics found at [the defendant’s] residence and of the relatively high percentage [of purity] of his narcotics,” the defendant was not an importer of cocaine but he was one or two rungs below the importer on the ladder of distribution. Lastly, the trooper testified that there were several pieces of paper in a desk drawer in the defendant’s room which contained notations concerning the identity of the defendant’s customers and information about the quality, quantity, and prices of cocaine sales to those customers. Trooper Sprague stated that the prices were consistent with generally accepted market prices for cocaine.
Near the end of Gagnon’s testimony, the judge and counsel engaged in a brief discussion about whether the defendant would be permitted to call three expert witnesses to testify that although Cocaine L, derived from the coca plant, is a controlled substance, numerous other cocaine isomers are not controlled
The Commonwealth rested its case at the conclusion of Trooper Sprague’s testimony, and the subject of the defendant’s expert witnesses arose again. Mr. Simon informed the judge that the witnesses he would call were present in the courtroom, and that one was from Michigan and the other two were from Philadelphia, Pennsylvania. He also told the judge that he had prepared a pretrial memorandum for submission to the judge dealing with the subject the experts’ testimony would address. After hearing the prosecutor’s argument in support of his objection to the witnesses’ being permitted to testify, the judge spoke as follows: “I am going to exclude all of your expert testimony in this case, Mr. Simon and Mr. Chisholm [co-counsel for the defendant]. I find as a matter of fact that the defense has not acted in good faith; that it has deliberately withheld the names of these expert witnesses for the purpose of lulling the Commonwealth into security and . . . creating unfair prejudice to the disadvantage of the Commonwealth in this case. That is my finding, and that is my ruling.”
The trial resumed the next morning. The judge asked Mr. Simon if he were a member of the Massachusetts Bar. The answer was “No, I’m not, sir.” The judge asked Mr. Simon if he had been admitted to practice in this case, and after receiving Mr. Simon’s answer that he had filed an appearance the day before, the judge advised him that he might not further address the court. The judge then accepted an offer of proof from Mr. Chisholm regarding what the three experts’ testimony was expected to be. The judge permitted Mr. Chisholm to consult with Mr. Simon regarding the offer of proof.
After making the offer of proof, the defense rested, and then orally moved for a required finding of not guilty on each indictment based on the contention that the Commonwealth had failed to produce evidence sufficient to warrant a finding beyond a reasonable doubt that the 139.4 grams of powder were a controlled substance. The motions were denied and the judge found the defendant guilty on both indictments.
The defendant argues that by precluding his experts’ testimony, the judge abused his discretion and violated the defendant’s right to present a defense secured by art. 12 of the Declaration of Rights of the Massachusetts Constitution and by the
Of course, the judge’s discretion to impose sanctions for violation of a pretrial agreement is limited by the defendant’s constitutional right to present evidence in his behalf. That right also is not absolute, however.
Commonwealth
v.
Blaikie,
An important reason for notice rules is the prevention of surprise. “In addition to preventing surprise, other factors [which must be] considered before a witness preclusion sanction is employed to enforce discovery rules are: the effectiveness of less severe sanctions, the materiality of the testimony to the outcome of the case, prejudice to the other party caused by the testimony, and the evidence of bad faith in the violation of the discovery rules.”
United States ex rel. Enoch
v.
Hartigan,
Nor did the judge abuse his discretion or violate the defendant’s constitutional rights by refusing to accept the defendant’s suggestions of alternative sanctions. It seems highly unlikely that the interests of the Commonwealth would have received adequate protection by the prosecutor’s being allowed to interview the witnesses before they testified. Furthermore, the defendant could not fairly demand that the completion of the trial
At the close of the evidence, the defendant moved for a required finding of not guilty on the ground that the evidence did not warrant a finding beyond a reasonable doubt that the white powder seized from his home was either a derivative of coca leaves or was chemically equivalent thereto, so as to be a controlled substance as defined in G. L. c. 94C, § 31 (Class B [a] [4]) (1984 ed.).
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Unless the powder had been proved to be a controlled substance within that definition, the evidence would not warrant a conviction under G. L. c. 94C, § 32E
(b)
(2). We review the denial of a motion for a required finding of not guilty by considering “whether the evidence received, viewed in a light most favorable to the Commonwealth, is sufficient so that the [fact finder] ‘might properly draw inferences, not too remote in the ordinary course of events, or forbidden by any rule of law, and conclude upon all the established circumstances and warranted inferences that the guilt of the defendant was proved beyond a reasonable doubt. ’ ”
Commonwealth
v.
Anderson,
The fact that the certificate remains as evidence does not require the conclusion that the judge was warranted in finding beyond a reasonable doubt that the white powder was a controlled substance. See
Commonwealth
v.
Latimore, supra.
Although the certificate continued to have probative effect, its persuasiveness was weakened by the testimony of Gagnon
General Laws c. 94C, § 32E (b) (2), provides as follows: “Any person who trafficks in cocaine or any salt thereof by knowingly or intentionally manufacturing, distributing, or dispensing or possessing with intent to manufacture, distribute, or dispense or by bringing into the commonwealth a net weight of twenty-eight grams or more of cocaine or any salt thereof or a net weight of twenty-eight grams or more of any mixture containing cocaine or any salt thereof shall, if the net weight of cocaine or any salt thereof or any mixture thereof is: . . . (2) One hundred grams or more, but less than two hundred grams, be punished . . . .” The defendant argues that “trafficking” is something more than knowingly or intentionally manufacturing, distributing, or dispensing or possessing with intent to manufacture, distribute, or dispense or bringing into the Commonwealth cocaine in the stated amounts. He argues that trafficking is an element of the statutory offense which is distinct from the specified conduct. He then argues that because the word “trafficks” is not defined in the statute, the statute is unconstitutionally vague. Lastly, he argues that if the word “trafficks” is susceptible to any construction, it would be construed most reasonably as meaning “a series of prohibited transactions or... an ongoing trafficking enterprise or conspiracy.”
The defendant argues that because the indictment charging him with an offense under G. L. c. 94C, § 32E
{b)
(2), fails
Consistent with his argument that the indictment is fatally defective because of its failure to allege continuity of action or an organizational structure, the defendant advances a separate contention that as a matter of law he was entitled to a finding of not guilty of the trafficking offense, because a finding of continuity of action or an organizational structure was not warranted on the evidence. For the reasons stated above, that argument is without merit.
The defendant contends that he was denied his constitutional right to effective assistance of counsel due to his trial counsel’s failure to provide the Commonwealth with notice of his proposed expert witnesses and by Mr. Chisholm’s failure to obtain the judge’s permission for Mr. Simon to participate in his defense. We disagree. The standard for determining whether a defendant has been deprived of the effective assistance of counsel is “whether there has been serious incompetency, inefficiency, or inattention of counsel — behavior of counsel falling measurably below that which might be expected from an ordinary fallible lawyer — and, if that is found, then, typically, whether it has likely deprived the defendant of an otherwise available, substantial ground of defence.”
Commonwealth
v.
Saferian,
We conclude also that the defendant was not denied effective assistance of counsel by Mr. Chisholm’s failure to move for admission pro hac vice of out-of-State counsel, Mr. Simon. Mr. Simon was not barred from addressing the court until after he had cross-examined the Commonwealth’s chemist and after the defendant’s experts were precluded from testifying. Nothing further remained to be done on behalf of the defense except to record an offer of proof with respect to the expected testimony of the experts and to present appropriate motions and final argument. Nothing in the record suggests that Mr. Chisholm did not adequately perform those tasks.
The indictment for possession of cocaine with intent to distribute was placed on file. Ordinarily, we do not consider appeals from indictments placed on file,
Commonwealth
v.
Delgado,
Judgment on Indictment 83-1827 (trafficking) affirmed.
Indictment 83-1828 (possession with intent to distribute) remanded to the Superior Court for the entry of an order of dismissal.
Notes
The defendant does not argue that his rights under art. 14 of the Declaration of Rights of the Massachusetts Constitution are different from his rights under the Fourth Amendment to the United States Constitution.
Stedman’s Medical Dictionary 730 (5th law. ed. 1982) defines “isomer” as “One or more substances displaying isomerism,” and “isomerism” as “The existence of a chemical compound in two or more forms that are identical with respect to percentage composition but differ as to the position of the atoms within the molecule, and ¿Iso in physical and chemical properties.”
The defendant does not argue that his rights under the State Constitution are greater than those secured by the Federal Constitution.
Under G. L. c. 94C, § 31, a Class B controlled substance is defined to include the following: “(4) Coca leaves and any salt, compound, or derivative, or preparation thereof which is chemically equivalent or identical with any of these substances, except that the substances shall not include decocainized coca leaves or extraction of coca leaves, which extractions do not contain cocaine or ecgonine.”
Prior to October, 1984, Schedule II (a)(4) of 21 U.S.C. § 812(c) (1982), contained the same definition of controlled cocaine as G. L. c. 94C, § 31 (Class B
[a]
[4]). In response to assertion in the Federal courts of the sophisticated scientific defense raised in this case, grounded in the chemistry of cocaine, the so-called “cocaine isomer strategy,” see
United States
v.
Ross,
