United States v. Johnson

956 F.2d 894
CourtCourt of Appeals for the Ninth Circuit
DecidedFebruary 11, 1992
DocketNos. 90-30344, 90-30348, 90-30366, 90-30370 and 90-30373
StatusPublished
Cited by99 cases

This text of 956 F.2d 894 (United States v. Johnson) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Johnson, 956 F.2d 894 (9th Cir. 1992).

Opinion

NOONAN, Circuit Judge:

Carolyn Sue Johnson, Trisha Ranae Wood, Kristy Ann Breck, Ulualoaiga Eme-lio, and Angela Baracco were convicted of a variety of drug offenses. All of them appeal. We affirm all of the convictions, but remand all of the cases for resentencing.

BACKGROUND

These cases arise out of a drug ring run in Portland, Oregon by Daniel Longoria, Sr. He was the kingpin. His son, Daniel, Jr., operated as an assistant. A group of large, rough men, collectively known as “The Samoans,” although some were of other origin, acted as the boss’s bodyguards, enforcers and collectors. Emelio was one of this group. At the lowest level of the structure were a number of women, some of whom are the defendants here.

The testimony presented at trial and the verdict of the jury leave no doubt that the defendants did the things with which they are charged. The issues raised on appeal go to rulings of the court which affected either the defenses offered or the sentencing. The dominant issue on the appeals of Breck, Johnson and Wood is the duress defense as it interacts with sentencing. The Defense of Duress

The defense of duress is a common law concept that federal criminal law has incorporated. United States v. Bailey, 444 U.S. 394, 100 S.Ct. 624, 62 L.Ed.2d 575 (1980). The defense assumes that the defendant has voluntarily performed the criminal act; his or her will has not been so overcome that another choice was impossible; the act done was intentional. As the defense has been phrased in standard, but not completely comprehensive, terms in this circuit:

There are three elements of the duress defense: (1) an immediate threat of death or serious bodily injury, (2) a well-grounded fear that the threat will be carried out, and (3) no reasonable opportunity to escape the threatened harm.

United States v. Contento-Pachon, 723 F.2d 691, 693 (9th Cir.1984).

[898]*898The formula is addressed to the impact of a threat of force upon a reasonable person: The fear must be “well-grounded.” There must be no “reasonable” opportunity to escape. The formula is in harmony with the analysis of duress in the Model Penal Code which recognizes duress in the use of unlawful force “that a person of reasonable firmness in his [or her] situation would have been unable to resist.” American Law Institute, Model Penal Code § 2.09(i) (1985).

In determining if the fear was “well-grounded,” the defense does permit the fact-finder to take into account the objective situation in which the defendant was allegedly subjected to duress. Fear which would be irrational in one set of circumstances may be well-grounded if the experience of the defendant with those applying the threat is such that the defendant can reasonably anticipate being harmed on failure to comply.

The question, relevant to the defense of duress in the cases before us, is whether a special vulnerability to fear — a vulnerability not produced by those persons causing the defendant’s criminal action— may be taken into account. As a defense to a charge of criminal conduct, such subjective vulnerability has not been admitted. Here, as elsewhere in the criminal law, there is “an unwillingness to vary legal norms with the individual’s capacity to meet the standards they prescribe, absent a disability that is both gross and verifiable.” Model Penal Code, § 2.09 comment 2. “Stark, tangible factors that differentiate the actor from another, like his [or her] size, strength, age, or health, would be considered in making the exculpatory judgment.” Id. at comment 3. As has been evident by the need to add the personal feminine pronoun in quoting from the Model Penal Code, its makers apparently did not consider gender as one of the “stark, tangible factors.” As will be seen, however, there are sets of circumstances in which gender is also a factor to be considered.

Moreover, a purely subjective element that cannot be taken into account in determining criminal liability may be taken into account in sentencing. Id., comment 2; LaFave and Scott, Criminal Law (Rev. ed. 1986) § 5.3(d). Federally, the Sentencing Guidelines specifically provide for the possibility of downward departure if the defendant “committed the offense because of serious coercion, blackmail or duress, under circumstances not amounting to a complete defense.” U.S.S.G. § 5K2.12. The Commission’s Policy Statement on this guideline declares: “The extent of the decrease ordinarily should depend on the reasonableness of the defendant’s actions and on the extent to which the conduct would have been less harmful under the circumstances as the defendant believed them to be.” The perception of the particular defendant thus must be taken into account.

Evidently the Commission had in mind the showing of duress less than what constitutes a defense to a crime; for if the defense were “complete,” there would have been no crime requiring a sentence. United States v. Cheape, 889 F.2d 477, 480 (3d Cir.1989). Consequently, it has been held that the injury threatened need not be imminent and may include injury to property; and there need not be proof of inability to escape. Id. Moreover, the Commission emphasizes not only “the reasonableness of the defendant’s actions” but “the circumstances as the defendant believed them to be.” U.S.S.G. § 5K2.12. The latter clause directs the sentencing court’s attention to the defendant’s subjective evaluation of the circumstances in which the defendant was placed.

With these principles and precedents in mind, we turn to the eases at hand.

The Duress Defense In Relation To Wood.

According to Trisha Wood’s testimony, she began to work for Longoria only after he had hit her in the face and one of his enforcers had thrown her across the room. Given the violence that she had already observed on the part of Longoria, including his putting of dynamite in her housemate Kathy King’s mouth, she was under threat of immediate severe physical harm. She tried to escape three times. [899]*899The first time she was caught her life was threatened. The second time she was subjected to severe physical abuse. The third time Longoria put a gun in her mouth and also threatened to kill her daughter. If Wood’s testimony were believed, she met the strictest test for having been under duress.

The court so charged the jury. But the jury either did not believe Wood’s story or at least did not believe that she was without reasonable opportunity to escape. The jury convicted her of the single count with which she was charged, distribution of heroin on September 14, 1989.

Wood’s conviction must stand, but duress remains relevant. In imposing sentence, the court took into account all the drugs that she had distributed while working for Longoria from July 1, 1989 to September 14, 1989. Wood had admitted these distributions while contending that they had been made under duress. She cannot fairly be made accountable for them without passing on her claim of duress. The jury verdict as to her act on September 14, 1989 does not speak to her state prior to this date. If her contention is correct, she committed no crime prior to this date.

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Bluebook (online)
956 F.2d 894, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-johnson-ca9-1992.