United States v. Dixon
Opinion
*1173
Following a jury trial in the United States District Court for the Eastern District of Oklahoma, Defendant-Appellant Nikolle Denise Dixon was convicted on one count of embezzlement and theft from an Indian tribal organization,
Prior to trial, Ms. Dixon filed a Notice of Defense of duress, on the theory that she faced an imminent threat of sexual assault from her stepfather and that her Post Traumatic Stress Disorder ("PTSD") caused her to believe that no recourse to escape that assault was available except through theft. More specifically, Ms. Dixon asked the court to consider her theory of duress under the elements for that defense spelled out in Tenth Circuit Pattern Jury Instruction No. 1.36 ("Pattern Instruction 1.36"). In response, the government filed a motion in limine , asking the court to reject the defense and to exclude all evidence and testimony relevant to the defense. The court granted the government's motion.
To ensure preservation of her objection, shortly before trial, Ms. Dixon's counsel offered Pattern Instruction 1.36 for the court's possible presentation to the jury and filed a written proffer of the expert testimony that would be elicited in support of her duress defense. At trial, however, the court maintained its previous ruling, which rejected the defense, and the jury convicted Ms. Dixon.
On appeal, Ms. Dixon asks us to reverse the district court's decision to reject her duress defense and, more specifically, her related request for a jury instruction. Ms. Dixon contends that her duress defense was viable because her actions were reasonable when viewed through the lens of her history of sexual abuse and her diagnosis of PTSD. Exercising jurisdiction under
I
A
The events relating to Ms. Dixon's conviction for embezzlement occurred in 2013 and 2014, but the events underlying her claimed defense of duress are more historically rooted.
1
Ms. Dixon was employed as a cashier at the Pocola Travel Plaza ("Travel Plaza"), a convenience store owned by the Choctaw Nation of Oklahoma. On January 6, 2014, a Choctaw Tribal officer was dispatched to speak with the Travel Plaza Director, who informed the officer that Ms. Dixon was voiding out cash sales and pocketing the sales at the end of her shifts. A review of three days of surveillance video showed that Ms. Dixon had voided a total of $1,536.81 in sales transactions. A more longitudinal review revealed that Ms. Dixon voided over 845 transactions totaling $16,937.83 during the period between October 20, 2013, and January 4, 2014. Investigators were not able to determine how much was taken prior to October 2013, due *1174 to a lack of transaction journals before that time.
Ms. Dixon admitted to taking the money at a February 21, 2014, interview with an investigator for the Choctaw Tribal Police. In the interview, Ms. Dixon indicated that she felt like she had to steal the money because of the financial situation in her household.
At the time of the theft, Ms. Dixon was twenty-one years old. She lived at home and was a caretaker for her disabled mother. Ms. Dixon attended college during this time but struggled because of severe emotional issues. Those emotional issues accrued during childhood and allegedly were directly related to her stepfather's occupancy of the home that Ms. Dixon shared with her mother; the stepfather began living with them when Ms. Dixon was twelve years old. During his time in the home, Ms. Dixon's stepfather allegedly sexually assaulted her on a near-daily basis. Even after her stepfather moved out of the house, he allegedly continued to abuse her, albeit less frequently. Ms. Dixon never reported the abuse to her mother or the authorities prior to her indictment, in large part due to threats that her stepfather allegedly made against the lives of Ms. Dixon and her mother. 1
Shortly before Ms. Dixon began to steal from the Travel Plaza, her stepfather cut off financial support to the family and refused to assist financially unless he was allowed to move back into the home. Ms. Dixon's mother wanted the stepfather to return in order to alleviate their financial hardship. Ms. Dixon was unable to explain her fear of her stepfather's return to her mother. But this fear allegedly impelled Ms. Dixon to begin embezzling from the Travel Plaza and giving her mother the money to pay the bills, in the hope of keeping her stepfather at bay. Ms. Dixon states that she did so, "knowing that if my mother had enough money, she wouldn't let [her stepfather] move back into the house." R., Supp. Vol. I, at 132 (Aff. of Nikolle Dixon).
2
Ms. Dixon was indicted by a grand jury for her embezzlement offense on December 9, 2015. Thereafter, she began receiving psychological therapy from Dr. Patricia Nation, a licensed counselor, sociologist, and criminologist employed by the Choctaw Nation. Dr. Nation diagnosed Ms. Dixon with PTSD and Dissociative Disorder. Dr. Nation's evaluation found that, consistent with PTSD's clinical criteria, Ms. Dixon was exposed to traumatic events (i.e., the sexual abuse and threats of extreme violence against her mother if she reported the abuse); consequently, she experienced flashbacks, dissociation, distressing memories and the need to avoid them, persistent and exaggerated negative feelings, and feelings of detachment from others. Dr. Nation found that:
Dixon was sexually abused for many years resulting in her mental health diagnoses, as a result she believed there to be no hope, no help coming, and that she had no power over her body or her life .... Dixon saw no alternative to her actions[,] and by taking the money, she was able to secure some momentary peace and safety.
R., Supp. Vol. I, at 27 (Aff. of Patricia Nation, dated Aug. 26, 2016). Dr. Nation *1175 concluded that Ms. Dixon's diagnoses directly stemmed from the long-term sexual abuse she suffered at the hands of her stepfather. As a result of the counseling with Dr. Nation, Ms. Dixon reported the abuse (apparently to law enforcement), but her stepfather died before any criminal action against him could be initiated.
Dr. Curtis Grundy also corroborated Dr. Nation's diagnosis of PTSD and Dissociative Disorder. After conducting a forensic psychological examination of Ms. Dixon, Dr. Grundy agreed that Ms. Dixon's results were "strongly characteristic of an individual with a genuine disorder who is making no efforts to overstate her symptoms."
B
On June 20, 2016, Ms. Dixon filed a Notice of Defense of duress. Therein, Ms. Dixon asked the court to consider her theory of duress under the elements of that defense spelled out in Pattern Instruction 1.36. Specifically, Ms. Dixon averred that she faced an imminent threat of sexual assault from her stepfather and believed that she had no recourse to escape that assault other than by stealing the funds at issue. In support of her proposed defense, Ms. Dixon sought to admit expert testimony tending to show that she suffered from PTSD and that her perception of duress was reasonable when viewed in light of that diagnosis. The Notice of Defense included excerpts from the diagnoses and reports made by Dr. Nation and Dr. Grundy; it predicted that the two medical professionals would "discuss what PTSD is, the methodology commonly used in diagnosing PTSD and the affect that the disorder may have on [a] person's perception of a threat." R., Vol. II, Doc. 46, at 33-43 (Notice of Defense, dated June 20, 2016). The government filed an opposing motion in limine requesting that the trial court deny the defense altogether and urging the court to exclude all evidence and testimony relevant to the defense. The court granted the government's motion.
In particular, in a written order issued on August 11, 2016, the district court concluded that Ms. Dixon failed to establish any of the requisite duress elements-identified in Pattern Instruction 1.36-by a preponderance of the evidence. Consequently, it rejected Ms. Dixon's duress defense and excluded purported duress-related testimony regarding Ms. Dixon's history of sexual abuse, as well as her experts' testimony as to the effects of PTSD on Ms. Dixon's ability to perceive alternative options.
To ensure preservation of her objection, shortly before the trial, Ms. Dixon formally submitted to the court a copy of Pattern Instruction 1.36 and requested that the jury receive it. Further, she filed a written proffer of the evidence she would introduce if her duress defense were allowed. The parties proceeded to a one-day jury trial on August 30, 2016. In the trial, the court adhered to its ruling on Ms. Dixon's duress defense, and the jury convicted her on the embezzlement charge. The present appeal ensued.
II
On appeal, Ms. Dixon contends that the district court wrongly denied her a jury instruction as to duress because she adduced sufficient evidence to put the defense at issue. Resolving her argument under the legal framework that Ms. Dixon *1176 advanced before the district court and on appeal-based on Pattern Instruction 1.36-we reject her challenge.
A
In reviewing whether a proffer was sufficient to establish an affirmative defense, we "respect the trial judge's role as gatekeeper" and review "the denial of a duress defense for abuse of discretion."
United States v. Portillo-Vega
,
B
The Tenth Circuit recognizes the affirmative defense of duress.
See
United States v. Patton
,
1. [T]he defendant was under an unlawful and present, imminent and impending threat of such a nature as to induce a well-grounded apprehension of death or serious bodily injury to himself [or a family member, or others];
2. [T]he defendant had no reasonable, legal alternative to violating the law, that he had no chance both to refuse to do the criminal act and also to avoid the harm; and
3. [A] direct causal relationship could have been reasonably anticipated between engaging in the criminal action and avoiding the threatened harm.
Tenth Cir. Crim. Pattern Jury Inst. No. 1.36 [hereinafter Pattern Inst. 1.36] (second alteration in original). 3
*1177
As Ms. Dixon acknowledges, the defendant bears the burden of proving all three elements of a duress defense by a preponderance of the evidence.
See
United States v. Beckstrom
,
A district court must refuse to issue a duress-defense instruction when the defendant fails to make "a threshold showing" of duress sufficient to place the defense in issue.
United States v. Scott
,
Thus, Ms. Dixon was entitled to have the court present a duress defense to the jury if she produced sufficient evidence that would permit the jury to find in her favor by a preponderance on each element of the defense.
See
Portillo-Vega
,
*1178
In determining whether the evidence was sufficient to raise a jury issue, we review the evidence in the light most favorable to the defendant.
See
Butler
,
*1179 C
Based on the record evidence, we conclude that Ms. Dixon failed to make out the threshold showing to present a duress defense to the jury. We are content to resolve this case by determining that Ms. Dixon failed to establish the second element of her duress defense-
viz.
, Ms. Dixon failed to show that she had no reasonable, legal alternative to violating the law. "[T]his failure alone justified a rejection of the defense" of duress.
Portillo-Vega
,
The
sine qua non
of any justification defense is a lack of a reasonable, lawful alternative.
See
Bailey
,
For one, Ms. Dixon could have reported the abuse to the police. Indeed, "[t]he ability to contact law enforcement will generally constitute a reasonable alternative to illegal activity."
Beckstrom
,
More specifically, Ms. Dixon needed to show more than just a subjective belief that going to the police would be futile: she had to put forth "specific reasons to doubt that the law enforcement alternative was viable."
Beckstrom
, 647 F.3d at 1017 ;
see also
United States v. Gonzalez
,
Indeed, mere allegations that "police would have been ineffective or unwilling to protect [Ms. Dixon] .... fall well short of satisfying a defendant's burden."
Beckstrom
, 647 F.3d at 1017
; see
Butler
,
Yet, even assuming that Ms. Dixon could not report the abuse to the police because she feared retribution from her stepfather, she has offered no evidence that other alternatives were unavailable to her. As the district court observed,
reporting the abuse was only one alternative. She could have left the home. She could have sought out a family member to move in with, even if only temporarily. Also, as the Government argues, she could have sought out friends or coworkers to move in with or she could have sought housing assistance through the tribe. She could have attempted to acquire a loan .... [S]he had reasonable alternatives available to her.
R., Vol. I, at 99-100 (emphases added). In other words, Ms. Dixon could have done any number of things. And, significantly, she could have done them at any time during the three months in which she was embezzling.
See
Butler
,
Accordingly, we conclude that Ms. Dixon failed to prove that she had no reasonable, legal alternatives to embezzling. This was a sufficient basis for the district court to rebuff her duress defense.
See, e.g.
,
Portillo-Vega
,
D
To be sure, Ms. Dixon contests such an outcome and argues that we should assess her actions from the perspective of a reasonable person in the same circumstances as she confronted-that is, through the lens of a "reasonable person of ordinary firmness who [has been] abused for years" and who now suffers from PTSD. Aplt.'s Opening Br. at 15. According to Ms. Dixon, such an approach would give added texture to the first two elements of duress. Specifically, the sexual abuse and resultant PTSD "may [have] affect[ed] the objective reasonableness of [her] fear," id . at 14, and "altered [her] psychology ... in [such] a way that demanded her to engage in an unlawful act to prevent" what-through years of conditioning-she perceived to be an "omnipresent," "certain harm." Id. at 11; Aplt.'s Reply Br. at 7.
1
We reject Ms. Dixon's argument because it finds no home under the legal framework that Ms. Dixon herself has advanced as the proper basis for her duress defense-that is, Pattern Instruction 1.36. The plain text of that instruction makes clear that the legal propriety of a defendant's assessment of, and response *1181 to, the circumstances that allegedly have subjected her to duress is determined by applying an objective lens-that is, a defendant's subjective beliefs or perspectives are only relevant insofar as they are objectively reasonable. The pattern instruction requires "a well-grounded apprehension," a lack of a "reasonable, legal alternative," and a direct causal link that could have been "reasonably anticipated."
This language makes clear that a particular defendant's subjective beliefs or perspectives are not controlling; they must be objectively reasonable.
See
Butler
,
Notably, at least the most salient federal decisions that have demonstrated a receptivity to arguments akin to Ms. Dixon's have relied in significant part on the linguistic formulation of the duress defense adopted by the Model Penal Code ("MPC"), which frames the inquiry as whether a defendant "was coerced" to commit the crime by "the use of, or a threat to use, unlawful force against his person or the person of another, that a person of reasonable firmness
in his
situation
would have been unable to resist." MODEL PENAL CODE AND COMMENTARIES§ 2.09(1), at 367 (Am. Law Inst. 1985) (emphasis added) (bold font omitted) [hereinafter MPC];
see
United States v. Nwoye
("
Nwoye II
"),
However, the linguistic formulation of Pattern Instruction 1.36 is patently different from the MPC's and, perhaps most notably, does not include the MPC's "in his situation" language, which appears to have been taken by the aforementioned courts as an invitation to consider, in assessing the propriety of an asserted duress defense, evidence regarding a psychological disorder that even the government here acknowledges is "similar" to PTSD, Aplee.'s Resp. Br. at 25-that is, BWS. Consequently, given this linguistic difference, we do not read our Pattern Instruction 1.36 as offering the same or similar invitation to consider evidence relating to conditions like PTSD. And, more specifically, we conclude that under our pattern instruction the legal propriety of a defendant's assessment of, and response to, the circumstances that allegedly have subjected her to duress is determined by applying an objective lens-a lens that is closed to Ms. Dixon's evidence that would ostensibly demonstrate the subjectively distorting impact of PTSD on her ability to reasonably perceive the threat of harm and legal alternatives to avoid it. Under our pattern instruction, the touchstone is still what is objectively reasonable-not what is reasonable only through the PTSD-distorted lens of Ms. Dixon.
This is not to say that the linguistic formulation of Pattern Instruction 1.36 is purely objective. The instruction's focus is on the perceptions and actions of "the defendant," not on those of some hypothetical reasonable person. Compare Objective Standard , BLACK'S LAW DICTIONARY(10th ed. 2014) ("A legal standard that is based on conduct and perceptions external to a particular person. [ ] In tort law, for example, the reasonable-person standard is considered an objective standard because it does not require a determination of what the defendant was thinking."), and Bryan A. Garner, A DICTIONARY OF MODERN LEGAL USAGE737 (2d ed. 1995) (noting that "[t]he reasonable person" is "a hypothetical legal standard"), with Robinson, supra , § 177(f) (questioning the advisability of a purely objective statutory standard for duress that would permit an excuse so long as a reasonable person would be coerced by the threatened harm, and noting that ordinarily "the excusing condition of the duress defense requires that at the time of the *1183 conduct constituting the offense the actor suffer an impairment of his ability to control his conduct such that he cannot properly be held accountable for it," that is " the actor must in fact suffer the relevant disability" (first emphasis added) ), and id. § 161(b)(5) ("What is critical is whether the disability in fact causes the necessary loss of control of the conduct that constitutes the offense."). The formulation of the pattern instruction does demand, however, that those perceptions and actions be reasonable. And, because the focus is on a particular defendant (rather than a hypothetical one), certain specific circumstances confronting that particular defendant may influence the factfinder's evaluation of whether her conduct is reasonable. For example, as salient here, if the particular defendant is a quadriplegic, ordinarily it would not be a "reasonable, legal alternative" for that defendant to physically run away from an "unlawful and present, imminent and impending threat ... of death or serious bodily injury" that was presented by an able-bodied assailant, Pattern Inst. 1.36-but it might be reasonable for a defendant not afflicted by quadriplegia to do so.
The fact, however, that the linguistic formulation of Pattern Instruction 1.36 contemplates consideration of whether the objective reasonableness of a particular defendant's conduct has been materially influenced by external, concrete factors unique to her does not mean that this language similarly contemplates that the factfinder should take into account whether the objective reasonableness of the defendant's conduct has been influenced by non-tangible psychological conditions that ostensibly alter the defendant's subjective beliefs or perceptions. Indeed, even some language in the seemingly less restrictive MPC envisions that, while externally verifiable circumstances may be factored into the duress calculus, circumstances that are not so verifiable may not be.
See
MPC § 2.09, cmt. 3, at 375 (noting that "account is taken of the actor's 'situation,'.... [s]tark,
tangible
factors that differentiate the actor from another, like his size, strength, age or health, would be considered in making the exculpatory judgment," but "[m]atters of temperament would not" (emphasis added) );
see also
Marx v. State
,
It is helpful in understanding this distinction to note that the objective lens-which is embodied in the language of Pattern Instruction 1.36-reflects an historical view that the characteristics of this particular "excuse" for criminal conduct (i.e., the duress defense) call for the imposition of clearly defined and concrete boundaries to distinguish between those defendants who are worthy of exculpation and all others.
See
2 Robinson,
supra
, § 177(c)(3) ("It may seem that duress is unique among excuses in requiring that the threat causing the disability meet an objective standard .... [T]he special objective restriction on the cause of the disability in duress is necessary to ensure conformity with a characteristic that is inherent in the other excuses. By requiring that an actor be intoxicated or insane, those excuses automatically ensure that an excuse will be available only for defendants with a demonstrable defect that distinguishes them from the general population. In contrast, the bare, unqualified disability in duress, a state of coercion, carries no such assurance; everyone is subject to pressures, demands, and urges every day.");
id.
§ 161(b)(1) ("[W]here an actor engages in criminal conduct with the same knowledge and appreciation of its nature, consequences, and wrongfulness or criminality
*1184
as a normal person, yet claims an impairment of control, rather than a gross condition of involuntary conduct, then society is generally unwilling to excuse unless there is a clear, confirmable, almost compelling disability.");
cf.
Al-Rekabi
,
In sum, the analytical framework established by our Pattern Instruction 1.36-which Ms. Dixon herself has advanced before the district court and on appeal-makes clear that the legal propriety of a defendant's assessment of, and response to, the circumstances that allegedly have subjected her to duress is determined by applying an objective lens. That lens is closed to Ms. Dixon's evidence that would ostensibly demonstrate the subjectively distorting impact of PTSD on her ability to reasonably perceive the threat of harm and legal alternatives to avoid it. As relevant here, the guidepost of our pattern instruction is not what is reasonable only through the PTSD-distorted lens of Ms. Dixon but, rather, what is objectively reasonable. And, as demonstrated in Part II.C, supra , the district court did not err in finding that Ms. Dixon's duress defense was legally insufficient under the analytical framework of our pattern instruction because she had reasonable, legal alternatives to violating the law.
2
We recognize that on appeal Ms. Dixon appears to tacitly ask us to apply a different rubric than the one Pattern Instruction 1.36 establishes. In this regard, she cites for the first time before us the salient federal cases that have embraced the MPC's linguistic formulation of the duress defense and, more specifically, its "in his situation" language, in holding that evidence of a psychological condition arguably akin to PTSD (i.e., BWS) might be factored into the duress calculus. See Aplt.'s Opening Brief at 12 (citing Marenghi in arguing that "[i]t is informative for the Court to look at the whole picture and not just the snapshot of the time immediately prior to the theft to assess the viability of the defense of duress"); id. at 14-15 (citing Johnson , in contending that "Ms. Dixon suffered from repeated abuse such that a reasonable juror could find that her fears were well-grounded"); Aplt.'s Reply Br. at 8 (citing Nwoye II , in asserting that "[t]o understand the reasonableness of the response, or lack thereof, one has to understand the effects of long-term abuse"). Yet, even with her citations to cases like Johnson , Nwoye II , and Marenghi , Ms. Dixon still paradoxically points to Pattern Instruction 1.36 for the "three elements" of her defense, Aplt.'s Opening Br. at 11, and does not expressly disclaim that instruction's framework.
The consequence of Ms. Dixon's litigation approach for her arguments on appeal is probably readily apparent, but lest there be any doubt, we state the matter plainly: Ms. Dixon has failed to preserve any opportunity to argue for reversal under a duress-defense rubric other than the one that Pattern Instruction 1.36 defines. Notably, she forfeited such an argument before the district court, and has waived it before us by failing to "run the gauntlet created by our rigorous plain-error standard
*1185
of review."
United States v. McGehee
,
***
In light of the foregoing, we conclude that the district court did not err in rejecting Ms. Dixon's duress defense and her tendered duress instruction. Specifically, under the framework of Pattern Instruction 1.36-which Ms. Dixon herself endorsed-she could not show that she had no reasonable, legal alternative to violating the law.
III
For the foregoing reasons, we AFFIRM the district court's judgment.
In her affidavit, Ms. Dixon states that:
I never reported the abuse to my mother or authorities due to threats made by [my stepfather]. No one had ever protected me and I did not believe that any one could and [my stepfather] threatened to kill my mother if I told. I did not believe that the police could prevent [my stepfather] from hurting us and I did not know if I would even be believed.
R., Supp. Vol. I, at 132 (Aff. of Nikolle Dixon).
Some of our cases have expressed a degree of uncertainty as to the applicable standard of review. For example, in
United States v. Patton
,
Our pattern instruction for duress includes elements that are consistent with the elements for the defenses of "justification and necessity," as set out in our decision in
United States v. Virgil
,
Ms. Dixon cites to our decision in
United States v. Haney
in suggesting that an instruction may be granted on a showing of less than a preponderance of the evidence.
Furthermore, quite apart from
Beck
, we cannot conclude that
Haney
holds that a defendant may carry her burden of proof to secure a theory-of-defense instruction by less than a preponderance of the evidence. Specifically, this follows because
Haney
's reference to "some evidence" cannot be isolated from the larger body of jury-instruction jurisprudence. As the Supreme Court emphasized in
Bailey
, the defendant's proffer in support of a theory of defense must meet a "minimum threshold" of proof before a theory-of-defense instruction can be put before the jury.
Bailey
,
In sum, based on the foregoing, we reject Ms. Dixon's invitation to take
Haney
's "some evidence" language out of context. Instead, as relevant here, we underscore our holding in
Portillo-Vega
that the "issue is whether [the defendant] carried his burden of establishing, by a preponderance of the evidence, each element of a duress defense."
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff - Appellee, v. Nikolle Denise DIXON, Defendant - Appellant.
- Cited By
- 12 cases
- Status
- Published