Tuesday, January 20, 2015

A trial court may err by failing to ferret out inconsistencies at a Rule 11 plea colloquy.



Sequarn Tibbs v. United States, No. 13-CF-1425 (decided January 15, 2015)

Players: Thompson, Newman, Ferren.  Opinion by Judge Thompson.  Nancy E. Allen for Mr. Tibbs.  Trial Judge: Herbert B. Dixon, Jr.

Facts: Mr. Tibbs and two co-defendants pled guilty to assault with a deadly weapon (“ADW”), conspiracy to commit ADW, two counts of voluntary manslaughter, and carrying a pistol without a license.  The government proffered the following facts during the Rule 11 plea colloquy: Late one night, the two co-defendants and three co-conspirators went to Clay Terrace, where one of the co-defendant’s mothers—Ms. Wilkins—lived.   The group suspected that Clay Terrace residents had stolen a handgun from Ms. Wilkins’ home.   Armed with guns of their own, the group went to retrieve the gun.  They approached a group of Clay Terrace residents, demanded the return of the gun, and spent the night awaiting its return.  Mr. Tibbs joined the group in the early morning hours.  Later that morning, a Clay Terrace resident returned Ms. Wilkins’ gun.  Satisfied, the group left Ms. Wilkins’ home.  According to the prosecutor, “instead of leaving the neighborhood, [the group] went into a courtyard where a number of Clay Terrace residents were present.”  A gun battle ensued.  Two people died and three people were wounded.

The court did not ask the defendants if the government’s proffer was correct.  Instead, the court asked each defendant about his “participation as far as the shootout is concerned.”  In their responses, Mr. Tibbs and his co-defendants contradicted a key part of the proffer—all three insisted that they attempted to leave the neighborhood, and only went to the Clay Terrace courtyard after a resident called them there.  They also insisted that they drew their guns in self-defense.

At sentencing, Mr. Tibbs’ counsel moved to withdraw the guilty plea, contending there was no factual basis for the plea since Mr. Tibbs described an act of self-defense.  The court summarily denied the motion. 

Holding: No.  The trial judge erred by failing to address whether appellant made a valid assertion of legal innocence.  See Gooding v. United States, 529 A.2d 301 (1987).  The government argued any error was harmless, as Mr. Tibbs had no valid claim of self-defense because he “voluntarily placed himself in a position which he could reasonably expect would result in violence.”  See, e.g., Howard v. United States, 656 A.2d 1106, 1111 (D.C. 1995).  This argument fails because the line of precedent on which it relies deals with defendants who had violent or threatening encounters with specific individuals and then sought out those same individuals.  Here, the government’s proffer made no mention of any threatening or violent encounter, and even if there was such an encounter, the group never sought to reinitiate.  Put simply, the trial court “did not make a full inquiry to ferret out additional details during the plea proceeding to determine whether appellant could avail himself of a self-defense claim.”  The Court remanded for further consideration.    

How to Use/Of Note:
·     The trial court must consider all three Gooding factors and any inconsistencies between the government’s proffer and the defendant’s statement should be fully resolved.  When making a motion to withdraw a guilty plea, make sure to highlight any factual inconsistencies or claims of error supporting the motion.
·     The line of precedent holding that a claim of self-defense is unavailable to defendants who place themselves in situations that could reasonably be expected to result in violence has been cabined.  Now, it is incumbent upon the government to show a recent history of threatening or violent interactions and that the defendant reinitiated contact.  DSH

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