Opinion ID: 539182
Heading Depth: 2
Heading Rank: 4

Heading: Berrio's Claim of Duress

Text: 99 Prior to trial, the government moved for an order in limine precluding any of the defendants from presenting to the jury a defense asserting that he or she had participated in the Johnnycake farm operations under duress. Berrio opposed the motion because he wished to assert that he had gone to work at Johnnycake farm without knowing of the cocaine operations, and that he had remained there only under duress. Insofar as is pertinent here, the district court ruled prior to trial that Berrio could not present such a defense, and it adhered to this ruling after twice reconsidering the matter during the trial. 100 On appeal, Berrio contends principally (1) that it was improper for the district court to rule on the government's preclusion motion prior to trial because it forced Berrio prematurely to choose between his Fifth Amendment right to remain silent and his right to present a defense at trial, and (2) that, in any event, the court erred in not permitting the defense. These contentions are without merit.
101 Berrio's contention that it was improper for the district court to rule on the government's preclusion motion prior to trial need not detain us long. The Federal Rules of Criminal Procedure allow pretrial motions seeking limitations on the evidence to be offered at trial, and the district judge may rule on such a motion prior to trial so long as it is capable of determination without the trial of the general issue. Fed.R.Crim.P. 12(b); see Fed.R.Crim.P. 12(e). These provisions authorize the court to rule on a motion to preclude a defendant from presenting a duress defense where the government contends that the evidence in support of such a defense would be legally insufficient. See, e.g., United States v. Alicea, 837 F.2d 103, 107 (2d Cir.), cert. denied, --- U.S. ----, 109 S.Ct. 88, 102 L.Ed.2d 64 (1988); United States v. Bifield, 702 F.2d 342, 346 (2d Cir.), cert. denied, 461 U.S. 931, 103 S.Ct. 2095, 77 L.Ed.2d 304 (1983). The court does not, in ruling on the motion, decide the merits of the defense except to determine whether there is sufficient evidence as a matter of law, to permit the question to be submitted to the jury. If the defendant can make a prima facie showing as to each of the elements of a duress defense, see Part II.D.2. below, the court merely denies the motion to preclude and allows the question to be submitted to the jury. Where the evidence to be presented would be insufficient as a matter of law, however, no proper interest of the defendant would be served by permitting his legally insufficient evidence to be aired at trial, and interests of judicial economy suggest that the jury should not be burdened with the matter. These principles neither foreclose a defendant from presenting any legally sufficient evidence of duress at trial nor affect his right to present evidence on any other subject. See, e.g., United States v. Alicea, 837 F.2d at 107 (only evidence as to the asserted defense is precluded); United States v. Bailey, 444 U.S. 394, 416, 100 S.Ct. 624, 638, 62 L.Ed.2d 575 (1980); United States v. Bifield, 702 F.2d at 350. 102 Accordingly, the district court in the present case properly ruled prior to trial on whether or not the defendants' proposed duress defenses could be deemed sufficient as a matter of law, and whether, therefore, they should be allowed to present such defenses to the jury.
103 Turning to the merits of Berrio's proposed duress defense, we conclude that the defense was properly excluded by the district court. In order to establish a claim of duress such as to constitute a legal excuse for criminal conduct, a defendant must show that (a) at the time of his conduct he was subjected to actual or threatened force, (b) the force or threat was of such a nature as to induce a well-founded fear of impending death or serious bodily harm, and (c) there was no reasonable opportunity to escape from the force or threat other than by engaging in the otherwise unlawful activity. See, e.g., United States v. Mitchell, 725 F.2d 832, 837 (2d Cir.1983); United States v. Alicea, 837 F.2d at 106; United States v. Agard, 605 F.2d 665, 667 (2d Cir.1979). The duress defense will not be submitted to the jury unless the defendant has presented some evidence on each of these elements. United States v. Mitchell, 725 F.2d at 837. 104 Evidence of a mere generalized fear does not satisfy the requirement of a well-founded fear of impending death or serious bodily harm. See, e.g., United States v. Esposito, 834 F.2d 272, 276 (2d Cir.1987). Rather, there must have been a threat that was specific and prospects of harm that were immediate. See United States v. Agard, 605 F.2d at 668 (talk of gunplay and vague threatening motions insufficient); United States v. Jennell, 749 F.2d 1302, 1305 (9th Cir.1984) ([F]ear alone is not sufficient to make a prima facie case of duress.), cert. denied, 474 U.S. 837, 106 S.Ct. 114, 88 L.Ed.2d 93 (1985). 105 The district court heard three offers of proof with respect to Berrio's proposed duress defense: the first at an in camera hearing prior to trial; the second in the presence of the defendants, but in the absence of the jury, midway through trial; and the third in camera near the end of the trial. In each instance, Berrio's offers fell far short of the above standards. 106 At the pretrial hearing, attended only by Berrio's attorney and his interpreter, counsel stated that Berrio would testify as follows. In New York City Berrio had been offered a job by an old Colombian acquaintance; he accepted, believing the job was in New York City. He was picked up in a truck to go to this job, and when he found himself on a long trip, he asked where he was going and was told basically to shut up. Berrio asked no more questions. He arrived at Johnnycake farm three days before the arrests. Once at the farm, Berrio quickly realized that there was an ongoing narcotics operation and inferred that his old acquaintance was involved with one of the Colombian drug cartels, and Berrio was therefore fearful: 107 [MS. VAIDA, Berrio's attorney]:.... 108 He was scared on that realization and as soon as he realized where he was, he was afraid. [H]e was given instructions, very detailed instructions as to what he was to do. He, at one point, asked--do you want me to name which co-defendant it is? He asked the co-defendant if he could leave, and was told nobody was going anyplace until the job was done. 109 The Court: Was he threatened or just told he could not leave? 110 Ms. Vaida: He was told he could not leave. He assumed, because of the illegal activity that was there that weapons were there. As far as whether or not he actually saw a weapon he believes that he saw a gun in the belt of one of the men that [sic ] was there. 111 (September 29, 1988 Hearing Transcript at 8 (emphasis added).) Counsel argued that because of Berrio's Colombian background, Berrio kn[ew] that if he was to leave they would kill him. 112 THE COURT: ... [I]s it your position that in the truck, on his way to Herkimer from Queens, he had some questions and he was told to shut up? He doesn't have to know anything, and the less he knows the better? 113 MS. VAIDA: Right. 114 THE COURT: And then after arriving at the farm in Herkimer he was again told by one of the co-defendants that no one could leave until all of the work was finished? 115 MS. VAIDA: Right, correct. 116 THE COURT: And that basically there are the two conversations between him and the co-defendant, and a third party from which you intend to present a defense of duress, because of his cultural background, of course, but those are the two conversations? 117 MS. VAIDA: ... [T]hat is basically the gist of it. 118 THE COURT: And he saw no weapons other than possibly he saw a gun in the belt of one of the individuals? 119 MS. VAIDA: That is correct, your Honor. But he assumed, because of the nature of the activity, the size of the cocaine farm, and because of what he knows about how these cartels operate that the place was well protected.... 120 (Id. at 11-12.) 121 This pretrial offer of proof was entirely insufficient to present any prospect that Berrio could make a prima facie showing of duress. As the emphasized portion of the above colloquy reveals, his testimony was to be not so much that he was threatened as merely that he was told he could not leave; he assumed the rest. Such assumptions are insufficient to establish a prima facie case of duress. 122 When Berrio was allowed to make his first new offer of proof during trial, he testified in open court in the absence of the jury. He stated that he had been afraid to leave Johnnycake farm because of the reputation of the Colombian cartels for violence. He also called as a witness an expert in Latin American studies to testify about the activities and reputation of Colombian cartels. In elaborating on his stay at Johnnycake farm, Berrio testified he had been brought to the farm by a man named Carlos Velez; that when Berrio discovered the nature of the operation, he asked Velez if he could leave, and Velez responded that he could not leave until everything was done. He testified that Velez left the farm after Berrio had been there only one day, but that before he left, he told Berrio to help Mr. Heriberto Torrez. Other than Velez, Berrio received orders only from Heriberto Torrez. Berrio never asked Heriberto if he could leave because he thought it was the same relationship between him and Mr. Velez. He never saw Heriberto with a gun. 123 On the basis of this proffer, the court again denied Berrio permission to present his duress defense. It concluded that, even viewing the evidence in the light most favorable to Berrio, his duress defense would be insufficient as a matter of law because he did not allege that Heriberto Torrez in any way threatened or implied any threat to Mr. Berrio and thus there was no showing that there was a well-founded fear of imminent death or serious bodily harm ... beyond the point when Velez left the area. (Trial Transcript at 1772.) 124 Some days later, Berrio's counsel represented to the court that at the midtrial hearing Berrio had been afraid to testify freely because of the presence of Heriberto Torrez. Toward the end of trial, the court therefore allowed Berrio another opportunity to make an offer of proof in the absence of the other defendants. On this final occasion, Berrio's attorney told him he was being given this opportunity so that you can freely testify. With regard to his stay at Johnnycake farm, Berrio reiterated that Velez had told him he could not leave and that when Velez left Velez told him he should obey Heriberto Torrez. Describing Heriberto's conduct at Johnnycake farm, Berrio testified that Heriberto spoke to him in a very rude manner. His entire description of his encounters with Heriberto at the farm was as follows: 125 .... he told me very rude, in a very rude manner, using words that I don't want to repeat here, he asked me what was wrong with me. He asked me where I was coming from. And since I had, well, sort of in a very, very humble way told him that I did not want to be there, he asked me where, where are you coming from and he told me to remember that no one would leave that place until that was done, and to shape up and what kind of a man I was, that I didn't look like a man. 126 Q Were you afraid of [Heriberto] Torrez when you were at the farm? 127 A Yes. Because, well, it was the question of the way that he spoke to me. He spoke to me different from the way he spoke to them. He spoke to me, shouting at me and it was not the same way that he spoke to the other men. And I thought that since there was this difference, there was possibly a relationship between him and Mr. Velez. 128 Q Was the presence of Velez and [Heriberto] Torrez the reason that you did not try to leave the farm? 129 A Yes, obviously. 130 .... 131 MS. VAIDA: Is there anything you want to tell the Court, did we cover everything, John? 132 THE WITNESS: That's the whole truth. What else can I say? 133 (Trial Transcript at 2080-81.) The district court found in this testimony no basis for allowing the duress defense. 134 In light of the record, Berrio's challenge to the exclusion of his proposed duress defense borders on the frivolous. Berrio failed to present evidence of more than a generalized fear, based on the reputation of the Colombian cartels, that caused him to remain at the farm. He did not identify any threats by Heriberto Torrez nor any specific threats by anyone else. He did not proffer any evidence that he had been in immediate danger. In short, Berrio made no showing of a well-founded fear of imminent death or serious bodily harm.