Tate v. Wood
| Citation | 963 F.2d 20 |
| Decision Date | 01 May 1992 |
| Docket Number | D,No. 936,936 |
| Parties | Otis TATE, Plaintiff-Appellant, v. Frank W. WOOD, Warden, and the Attorney General of the State of New York, Defendants-Appellees. ocket 91-2326. |
| Court | United States Courts of Appeals. United States Court of Appeals (2nd Circuit) |
Abraham L. Clott, Legal Aid Society, Federal Defender Services Appeals Unit, New York City, for plaintiff-appellant.
David Huey, Asst. Dist. Atty. (Francis D. Phillips, II, Dist. Atty. of Orange County, Goshen, N.Y., of counsel), for defendants-appellees.
Before OAKES, Chief Judge, MESKILL and CARDAMONE, Circuit Judges.
While serving an 18-year federal sentence petitioner Otis Tate stabbed and killed a fellow inmate at the Otisville Federal Correctional Institution in Otisville, New York. The fatality occurred on April 9, 1983 during a fight between petitioner and the victim, Emanual Stewart. It was witnessed by Benjamin Charles, a correctional officer, and the government's chief witness before the grand jury. Several weeks after this fatality, petitioner was indicted for murder in the second degree. Upon arraignment Gary Abramson, Esq. of the Legal Aid Society of Orange County was appointed as his counsel. A not guilty plea was entered.
Not satisfied with Mr. Abramson's representation, Tate moved on January 30, 1984 for the appointment of different counsel or, in the alternative, to proceed pro se. The request for the appointment of another attorney was denied, but the state trial court allowed petitioner to proceed pro se, with attorney Abramson assigned to serve as "standby counsel." During much of the period from his May 1983 arraignment until his March 1984 plea Tate was held in solitary confinement. His state habeas petition for release from such confinement in order to prepare his defense was denied. In February 1984 defendant wrote a letter to attorney Abramson in which he requested that counsel meet with him to discuss his case. He received the following reply in response:
... please be advised that responsibilities here to clients I actually represent preclude my coming to Otisville to assist you in my assigned capacity as your "legal advisor." As I understand that assignment, I am to be available in court during the trial, should you have any questions about the proceedings, and I will be. By electing to appear pro se you are responsible for your own preparation.
On March 6, 1984 petitioner appeared before the Orange County Court with attorney Abramson. The record indicates that at that time he consented to this representation. Counsel spoke for petitioner and informed the court that he and his client had spoken together to Assistant District Attorney Singer, and that petitioner now wished to withdraw his previous plea of not guilty, and instead plead guilty to a reduced charge of manslaughter in the first degree, with the condition that he be sentenced to four and one-half to nine years imprisonment. The Assistant District Attorney then asked petitioner a series of questions to establish that the plea was freely and voluntarily given. Tate indicated that he was guilty of the crime charged and was pleading of his own volition. The state court then entered into a plea allocution with defendant and, upon being assured that the plea was valid, accepted his guilty plea. Tate was sentenced to the agreed-upon term.
After exhausting his state remedies, Tate filed the instant petition for a writ of habeas corpus in the Southern District of New York alleging that his plea must be vacated on the grounds that the state trial court failed to inquire into the possibility of a self-defense claim or to assure itself that adequate representation was provided. Tate also claimed that he was entitled to habeas relief because the state prosecutor ignored its obligation to turn over to him exculpatory material and impeachment evidence in its files, and because he was generally denied effective assistance of counsel. The district court denied the petition without a hearing. For the reasons that follow, we reverse this summary denial and remand the case for a hearing on petitioner's claim that his rights under Brady v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963), had been violated and that he had been denied the effective assistance of counsel.
We analyze first the proceedings held in the state court. Tate contends his In accepting a guilty plea, a trial court must assure that the plea is entered voluntarily and represents an intelligent choice between the different courses open to a defendant. When a defendant fails to bring any matter to the trial court's attention, such as a denial of guilt, that would suggest the need for a factual inquiry, one is not required. See, e.g., Panuccio v. Kelly, 927 F.2d 106, 110-11 (2d Cir.1991); Willbright v. Smith, 745 F.2d 779, 780 (2d Cir.1984). Here the fact that petitioner stated the stabbing occurred during a fight was not in itself sufficient to indicate that a valid claim of self-defense might be present. A review of the record discloses nothing in the plea colloquy sufficient to put the trial court on notice of a potential claim of justification. Instead, when asked "And did you, in fact, on April 18, 1983--did you take an object in your hands and with the intent to cause serious physical injury to Emanual Stewart, stab him and thereby cause his death?" petitioner replied, without qualification, "Yes, I did." When asked whether he had considered all possible defenses, and whether he was pleading guilty because he was in fact guilty of the crime charged, defendant again answered in the affirmative. When later asked to state the facts underlying the plea, defendant reiterated, "We had a fight and I had a weapon and I stabbed him with the intent to cause him harm."
guilty plea must be vacated because the state trial court at the plea proceedings failed to make any inquiry into a potential claim of self-defense or to assure itself that he received the effective assistance of counsel. He asserts when he related that he stabbed the victim during a fight, the trial court was put on notice that he might be innocent of the crime to which he was pleading guilty, as justification is a complete defense to homicide, N.Y.Penal Law § 35.15 (1987). Justification must be disproved by the government at trial beyond a reasonable doubt, id. § 25.00. Petitioner believes the fact that the victim's death occurred during an acknowledged fight was sufficient indicia of the existence of a self-defense claim to require the court taking the plea to develop a further factual basis for guilt before accepting it. We disagree
We are satisfied upon reviewing the plea minutes that the state trial court made sufficient inquiry into the validity of petitioner's plea. Nothing in Tate's allocution suggested that the doctrine of self-defense was applicable; on the contrary, the court received unqualified assurance from petitioner that he knowingly and voluntarily entered his plea. Thus, petitioner's reliance on United States ex rel. Dunn v. Casscles, 494 F.2d 397 (2d Cir.1974) is misplaced. In that case, where the defendant maintained during the allocution that he was innocent of the crime charged, the record did not contain strong evidence of guilt, and no inquiry into the factual basis for the plea had been made, we held defendant's guilty plea was invalid. Id. at 400. Here, in contrast, petitioner did not assert his innocence or point to any defense that would negate guilt. Under these circumstances, the plea court's inquiry into the basis for the plea was sufficient.
We also are unable to accept petitioner's contention that the trial court was required to inquire further into the adequacy of defense counsel's representation. The minutes of the plea proceeding do not suggest any reason to doubt that defendant was sufficiently counseled with regard to the plea agreement. Tate indicated he was entering his plea after consulting with his attorney, was familiar with the criminal process, and understood its consequences. Moreover, attorney Abramson--after having been previously relieved of representing petitioner--was present and acting in a stand-by capacity as counsel solely for the purpose of the plea proceedings.
We turn now to the proceedings in the federal district court. Tate contends that it was error for the district court to deny his habeas...
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