United States v. Pestana

865 F. Supp. 2d 357, 2011 WL 4000841
CourtDistrict Court, S.D. New York
DecidedSeptember 8, 2011
DocketNo. S6 09 Cr. 109(JSR)
StatusPublished
Cited by2 cases

This text of 865 F. Supp. 2d 357 (United States v. Pestana) is published on Counsel Stack Legal Research, covering District Court, S.D. New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Pestana, 865 F. Supp. 2d 357, 2011 WL 4000841 (S.D.N.Y. 2011).

Opinion

MEMORANDUM

JED S. RAKOFF, District Judge.

On May 12, 2009, the Government filed a Sixth Superseding Indictment (“Indictment”) against defendants Edilberto Berrio Ortiz (a/k/a “El Gavilan”), Alejandro Palacios Rengifo (a/k/a “El Gato” or “Yimi”), Anderson Chamapuro Dogirama (a/k/a “El Tigre” or “El Dairon”), and six alleged co-conspirators. The Indictment charged the defendants with conspiring to take hostages in violation of 18 U.S.C. § 1203 (Count One) and taking hostages in violation of 18 U.S.C. § 1203 and 2 (Count Two). Indict. ¶¶ 1-4. Both Counts of the Indictment arise from the April 4, 2008 kidnapping of Cecilio Padrón (the “Victim”), an American citizen living in Panama, by the 57th Front of the Fuerzas Acamadas Revolucionarias de Colombia (the “FARC”). The Indictment alleges that Ortiz, Rengifo, and Dogirama participated in the kidnapping by guarding the Victim from April 6, 2008 to February 10, 2009, a period of over ten months. See Indict. ¶ 3(f).

In March 2011, all three defendants filed motions seeking to raise at trial the affirmative defense of duress. All three defendants filed various affirmations, declarations, and reports in support of their respective motions. Following full briefing and oral argument, the Court concluded that an evidentiary hearing was necessary to determine whether the defendants could present sufficient evidence to enable the defense to be raised at trial. See United States v. Paul, 110 F.3d 869, 871 (2d Cir.1997) (“[I]t is appropriate for a court to hold a pretrial evidentiary hearing to determine whether a defense fails as a matter of law. If, after the hearing, the court finds that the defendant’s evidence is insufficient as a matter of law to establish the defense, the court is under no duty to give the requested jury charge or to allow the defendant to present the evidence to the jury.”) (internal citations omitted). During the three-day evidentiary hearing, which commenced on May 9, 2011, all three defendants took the stand to testify. Additionally, expert witnesses were called to testify by two defendants.1 On May 23, 2011, after careful consideration, the Court issued a “bottom-line” Order denying the motions. This Memorandum explains the reasons for the Court’s decision.

Fundamentally, the defendants mistake a mitigating factor that should be raised at sentencing for an affirmative defense to substantive criminal liability. As the Supreme Court has explained, “Criminal liability is normally based upon the concurrence of two factors, ‘an evil-meaning mind [and] an evil-doing hand....’” [361]*361United States v. Bailey, 444 U.S. 394, 100 S.Ct. 624, 62 L.Ed.2d 575 (1980) (quoting Morissette v. United States, 342 U.S. 246, 251, 72 S.Ct. 240, 96 L.Ed. 288 (1952)). Or, to use the familiar formulation of Blackstone, there must be both mens rea, a guilty mind, and actus reus, a guilty act. But even when these basic conditions are satisfied, however, there are narrow circumstances in which criminal liability may be excused.

Duress is such a defense. “The rationale of the defense is not that the defendant, faced with the unnerving threat of harm unless he does an act which violates the literal language of the criminal law, somehow loses his mental capacity to commit the crime in question. Nor is it that the defendant has not engaged in a voluntary act. Rather it is that, even though he has done the act the crime requires and has the mental state which the crime requires, his conduct which violates the literal language of the criminal law is excused” because it is coerced. Dixon v. United States, 548 U.S. 1, 7 n. 5, 126 S.Ct. 2437, 165 L.Ed.2d 299 (2006) (internal quotation marks and citations omitted). Accord, United States v. Bailey, 444 U.S. 394, 402, 100 S.Ct. 624, 62 L.Ed.2d 575 (1980). The defense of duress, however, must be narrowly construed, since “any rule less stringent than this would open the door to all sorts of fraud.” The Diana, 74 U.S. (7 Wall.) 354, 360-61, 19 L.Ed. 165 (1868). Accordingly, the case law makes clear that the defense of duress is viable “only ... if there is a real emergency leaving no time to pursue any legal alternative.” United States v. Posadar-Rios, 158 F.3d 832, 874 (5th Cir.1998).

Coercion that does not rise to this high level of legal duress may nevertheless be relevant, but only as to sentencing, rather than guilt or innocence. Thus, it is important to note “[o]ne who commits a crime while subject to coercion, but whose situation does not come under the rules which permit him to be excused ... may nevertheless properly urge that his punishment, within the permissible limits of punishment for the crime in question, should be lower than it would have been if he had not been coerced.” Wayen R. La-Fave, Criminal Law § 9.7(d) (4th ed.2003). In other words, even when the strict letter of the law does not permit a defendant’s crime to be excused as a result of duress, the Court may properly consider evidence of coercion as a mitigating factor in determining the defendant’s sentence.

So far as liability is concerned, however, “[d]uress is a legal excuse for criminal conduct [only] if, at the time the conduct occurred, the defendant was subject to actual or threatened force of such a nature as to induce a well-founded fear of impending death or serious bodily harm from which there was no reasonable opportunity to escape other than by engaging in the unlawful activity.” United States v. Paul, 110 F.3d 869, 871 (2d Cir.1997) (internal quotation marks and citations omitted). Three discrete elements must be met to establish coercion or duress: “(1) a threat of force directed at the time of the defendant’s conduct; (2) a threat sufficient to induce a well-founded fear of impending death or serious bodily injury; and (3) a lack of a reasonable opportunity to escape harm other than by engaging in the illegal activity.” United States v. Gonzalez, 407 F.3d 118, 122 (2d Cir.2005). A defendant is entitled to submit the defense to the jury only if he can make “a prima facie showing as to each of the elements.” United States v. Villegas, 899 F.2d 1324, 1343 (2d Cir.1990). By contrast, where the evidence to be presented would be insufficient as a matter of law, “no proper interest of the defendant would be served [362]*362by 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.” Id.

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Bluebook (online)
865 F. Supp. 2d 357, 2011 WL 4000841, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-pestana-nysd-2011.