RICHARD W. ROBERTS, District Judge.
Petitioner Curtis Allen Moore, Jr., filed a motion to vacate his sentence under 28 U.S.C. § 2255 or, in the alternative, to conduct an evidentiary hearing, arguing that his counsel provided ineffective assistance, the court misunderstood its discretion to depart from the criminal history category calculation, and the sentencing was unconstitutional in light of United States v. Booker, 543 U.S. 220, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005). The government opposes Moore's motion to vacate his sentence, but requests an evidentiary hearing on whether Moore's attorney failed to appeal when requested. Moore has failed to substantiate most of his claims, and they warrant no hearing or relief. However, because Moore has alleged facts that may entitle him to relief on the issue of whether his attorney failed to file an appeal despite Moore's requests, Moore is entitled to an evidentiary hearing on that issue. In addition, because the court materially misperceived its sentencing discretion, Moore's sentence will be vacated and he will be resentenced.
Moore sold cocaine base ("crack") to undercover police officers on four occasions before his arrest. (Presentence Investigation Report ("PSR") ¶¶ 6-9.) Law enforcement agents also searched Moore's residence and vehicle and recovered additional crack, a loaded revolver, and drug paraphernalia. (Id. ¶¶ 11, 12, 14.) The weight of all of the crack totaled 267.3 grams. (Id. ¶ 15.) Moore was indicted on five counts. The first three counts each charged unlawful distribution of five grams or more of cocaine base. Count 4 charged unlawful distribution of 50 grams or more of cocaine base, and Count 5 charged unlawful
Moore entered a plea agreement with the government. (Gov't Opp'n at 3.) In the plea agreement, Moore agreed to plead guilty to Count 5, acknowledged that he would be treated as a career offender with an enhanced offense level of 37 and a criminal history category of VI under the U.S. Sentencing Guidelines, and agreed not to seek any downward departures from the guidelines. (Pet'r Mem. in Support of § 2255 ("Pet'r Mem."), Ex. 10 ("Plea Agreement") ¶¶ 1, 3, 22.) The government agreed to dismiss the remaining four counts, to file a downward departure motion under § 5K1.1 of the sentencing guidelines if Moore provided substantial assistance in investigating or prosecuting other offenders, to not file papers that would double Count 5's mandatory minimum sentence under 21 U.S.C. § 841(b)(1)(A), to not file any charges pertaining to the recovered firearm, and to consent to a three-level reduction of Moore's offense level for pleading guilty. (Id. ¶¶ 15, 16, 19, 22.) Moore pled guilty to Count 5 at a plea hearing in which the court conducted an extensive colloquy as required by Rule 11 of the Federal Rules of Criminal Procedure. The court found Moore's guilty plea voluntary and accepted the plea. (Pet'r Mem., Ex. 2 ("Plea Hrg. Tr.") at 31.) Moore was detained pending sentencing.
The PSR did classify Moore as a career offender under the sentencing guidelines. (PSR ¶ 27.) That resulted in a total offense level of 34 after a three-point reduction for pleading guilty and a criminal history category of VI, yielding a sentencing guidelines range of 262 to 327 months in prison. (Id. ¶¶ 27-28, 36, 59.) The government did not file a motion to depart under § 5K1.1 because the petitioner, while not at fault, did not provide substantial assistance. (Pet'r Mem., Ex. 1 ("Sent. Tr.") at 8.) Moore was sentenced in 2002 to 262 months of imprisonment. (Id. at 23.) Moore claims that after sentencing, he instructed his attorney, William Gregory Spencer, to file an appeal immediately and that his mother also made this request at a later meeting. (Pet'r Grounds & Supporting Facts for § 2255 Habeas Review ("Pet'r Grounds") at 1.) However, Spencer denies that Moore asked him to appeal. (Gov't Opp'n at 15.) Spencer says he did later speak with Moore's mother, advised her that there was no appealable issue, and said that Moore should contact Spencer if Moore wanted to appeal. (Id.) Spencer reports he did not receive any further contact from Moore and did not file an appeal. (Id.)
Moore asserts that Spencer was ineffective for failing to request or alert the court to certain downward departures at sentencing; for advising Moore to plead guilty while misrepresenting the quantity of the drug evidence and despite Moore's exculpatory claims, resulting in a plea that was not knowing and voluntary; for failing to claim that the government violated the plea agreement by not filing a substantial assistance motion under § 5K1.1; and for failing to file a timely notice of appeal. (Pet'r Grounds at 1-3, 5-17.) Additionally, Moore argues that the court committed error by not recognizing its own discretion to depart downward from his criminal history category (id. at 3-4), and that his sentence was unconstitutional following Booker.
In a § 2255 motion, the petitioner can move the sentencing court to "vacate, set aside, or correct the sentence" if the sentence was "imposed in violation of the Constitution or laws of the United States, or that the court was without jurisdiction to impose such sentence, or that the sentence was in excess of the maximum authorized by law...." 28 U.S.C. § 2255(a). The petitioner bears the burden by a preponderance of the evidence. United States v. Pollard, 602 F.Supp.2d 165, 168 (D.D.C.2009). An evidentiary hearing need not be held when the "motion and the files and the records of the case conclusively show the prisoner is entitled to no relief." United States v. Horne, No. 99-3080, 2000 WL 60246, at *2 (D.C.Cir. Jan. 4, 2000) (per curiam) (noting that it is within the court's discretion whether to hold a hearing when it is the same court that presided over the petitioner's criminal proceedings) (internal quotation marks omitted).
In order to prove ineffective assistance of counsel, Moore must show (1) that counsel's representation fell below an objective standard of reasonableness, and (2) that there is a reasonable probability that, but for counsel's errors, the result of the proceeding would have been different. Strickland v. Washington, 466 U.S. 668, 687-88, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). Counsel's performance is evaluated on the basis of how counsel would have viewed it at the time without the benefit of hindsight. Id. at 689, 104 S.Ct. 2052. To satisfy the first prong, the petitioner must show that counsel did not provide reasonable service under the "prevailing professional norms" given the circumstances. Id. at 688, 104 S.Ct. 2052. Courts will look to "an attorney's ethical duties, including those which require counsel to bring skill and knowledge to the case and to provide zealous representation." Best v. Drew, Civil Action No. 01-262(RWR), 2006 WL 2035652, at *3 (D.D.C. July 18, 2006).
As for the second prong, a reasonable probability is a "probability sufficient to undermine confidence in the outcome." Strickland, 466 U.S. at 694, 104 S.Ct. 2052. The two-part Strickland test also applies where a petitioner has pled guilty. Hill v. Lockhart, 474 U.S. 52, 58, 106 S.Ct. 366, 88 L.Ed.2d 203 (1985). To satisfy the prejudice requirement, a petitioner who has pled guilty "must show that there is a reasonable probability that, but for counsel's errors, he would not have pleaded guilty and would have insisted on going to trial." Id. at 59, 106 S.Ct. 366; see also Missouri v. Frye, ___ U.S. ___, 132 S.Ct. 1399, 1409, 182 L.Ed.2d 379 (2012) (affirming that the Hill standard continues to govern "cases where a defendant complains that ineffective assistance led him to accept a plea offer as opposed to proceeding to trial"). When the evidence supports a petitioner's assertion that he would not have accepted the plea agreement, but for counsel's erroneous advice, a
Moore contends that Spencer advised him to plead guilty after Spencer mischaracterized the government's evidence and even after Moore asserted exculpatory facts. Specifically, Moore asserts that Spencer misstated the weight of the drugs recovered as 50.1 grams when the lab report indicated a weight of 48.2 grams. (Pet'r Grounds at 10-11.)
Moore's plea hearing began with a request that Moore let the court know if at any time Moore did not understand what was happening or what was being explained. Moore promised to do so. (Plea Hrg. Tr. at 4-5, 8.)
Moore's own sworn admissions at his guilty plea pose a "formidable barrier" for him to overcome. Taylor, 139 F.3d at 933.
Additionally, it is unlikely that Moore would have gone to trial even if the government had been unable to prove that the crack cocaine weighed at least 50 grams, as charged in Counts 4 and 5, or that distribution occurred within 1000 feet of a school, as charged in Count 5. Conviction on any of the five counts still would have been sufficient to trigger the application of the career offender provision, raising his offense level and criminal history. Moore still faced three counts of unlawful distribution of five grams or more of cocaine base, which he concedes that he committed.
Moore argues that Spencer was ineffective by not seeking downward departures on three bases: (1) criminal history category VI overstated Moore's criminal history, see United States v. Johnson, 98 Fed. Appx. 5, 7 (D.C.Cir.2004) (referring to the Strickland test to evaluate whether counsel was deficient in not seeking a downward departure from the defendant's classification as a career criminal); (2) the drug transaction did not occur within 1000 feet of a school; and (3) the government engaged in "sentence factor manipulation," or entrapment.
A downward departure request by Spencer would have violated the plea agreement and jeopardized the benefits in it that Moore bargained for. Moore agreed in his plea agreement that the career offender provisions would apply and that he would not "seek a downward departure for any reason from the otherwise applicable guideline range established by the Sentencing Guidelines." (Plea Agreement ¶¶ 3, 22.) He also agreed under oath at his plea hearing that he sold crack within 1000 feet of the Takoma Elementary School. Spencer's failure to request a downward departure was not deficient and did not prejudice Moore when the plea agreement limited such requests. See United States v. Calderon, 163 F.3d 644, 646 (D.C.Cir.1999) (finding the defendant's claim was barred because she had "agreed as part of a valid plea bargain not to seek any other downward adjustments to her sentence"); Douglas v. United States, 306 F.Supp.2d 16, 18 n. 1 (D.D.C.2004) (noting that the defendant's express waiver in his plea agreement of his right to request a downward departure could be a basis for denying his post-sentencing motion for a departure); United States v. Eli, 227 F.Supp.2d 90, 96 (D.D.C.2002), aff'd, 379 F.3d 1016 (D.C.Cir.2004) (stating that once the defendant pled guilty, the attorney's decision not to contest the drug evidence at sentencing "was not ineffective assistance of counsel[,] but the only reasonable decision he could have reached").
Moore has not established that law enforcement entrapped him or "`orchestrated' the crime[ ] to occur within 1000 feet of a school." United States v. Glover, 153 F.3d 749, 756 (D.C.Cir.1998). The attachments to Moore's petition reflect that Moore willingly met and entered the undercover officer's car, instructed the officer to drive north on Piney Branch Road, which is toward the school,
Moore asserts that his attorney was ineffective for not arguing that the government breached the plea agreement when it failed to file a § 5K1.1 motion. He states that his ability to cooperate was hindered by the government's bad faith.
A decision about whether to file a § 5K1.1 motion is committed to the discretion of the government. United States v. Motley, 587 F.3d 1153, 1159 (D.C.Cir.2009). Courts can review the government's decision to not "`file a substantial-assistance motion and [can] grant a remedy if they find that the refusal was based on an unconstitutional motive.'" Id. (quoting Wade v. United States, 504 U.S. 181, 185-86, 112 S.Ct. 1840, 118 L.Ed.2d 524 (1992) (stating, for example, that refusal due to race or religion would entitle the defendant to relief)). In addition, "a court may grant a remedy if it finds that the government's refusal to file a [downward departure motion] violates due process because it is `not rationally related to any
Finally, "[a] district court may... grant relief if the government's refusal [to file a downward departure motion] breaches its agreement to file such a motion." Id. (citing In re Sealed Case No. 97-3112, 181 F.3d 128, 142 (D.C.Cir.1999)). When a plea agreement provides for it, the government has a contingent obligation to file a § 5K1.1 motion for substantial assistance if it finds that substantial assistance was provided. United States v. Jones, 58 F.3d 688, 691 (D.C.Cir.1995). Fair dealing obligates the prosecutor to evaluate accurate information about the extent and nature of the defendant's cooperation. Id. at 692. If the contingency is not met, though, the government does not have an obligation to file the motion. Id. at 691.
A defendant carries the burden of proving bad faith. The court does not need to inquire into the government's decision "`unless the defendant makes a substantial threshold showing that the government acted in bad faith,'" United States v. Shah, 263 F.Supp.2d 10, 33 (D.D.C.2003), aff'd, 453 F.3d 520 (D.C.Cir.2006) (quoting United States v. Alegria, 192 F.3d 179, 187 (1st Cir.1999)), and once that showing is made, "the defendant would at least have `to demonstrate that he provided the degree of assistance contemplated by the agreement,'" id. at 33 n. 9 (quoting United States v. Conner, 930 F.2d 1073, 1076 (4th Cir.1991)); see also United States v. Burch, 156 F.3d 1315, 1327 (D.C.Cir.1998) (stating that because the government complied with the terms of the plea agreement, the defendant's counsel could not have requested the court to compel a § 5K1.1 motion).
Moore's claim that the government acted in bad faith by removing agents from the matter in which he was cooperating and transferring him to a facility in Virginia falls short. Moore has not shown anything in the record that imposed upon the government obligations to staff any investigation in any particular way or to house him in any particular venue. Nor does anything in the plea agreement impose such obligations. Moore agreed in the plea agreement that he would not be released pending sentencing and that any cooperation efforts would occur while he was in custody. (Sent. Tr. at 7.)
Moore has shown no unconstitutional motive, violation of due process, or breach of the plea agreement by the government in reaching that conclusion. The record reflects that the United States Marshal transferred Moore due to space considerations and that the agent was taken off the case due to events surrounding the terrorist attacks of September 11, 2001. (Sent. Tr. at 7, 9.) The government concurred with Spencer's recitation of Moore's limited cooperation and explained that despite Moore's efforts, the information provided did not result in any further investigations or could not be used. (Sent. Tr. at 17.) Moore has not established that Spencer's failure to allege bad faith by the government was objectively unreasonable or prejudiced Moore.
Moore complains that he received ineffective assistance of counsel because Spencer did not comply with Moore's request to file an appeal. A lawyer who disregards specific instructions from the petitioner to file a notice of appeal acts in a professionally unreasonable manner. United States v. Taylor, 339 F.3d 973, 977 (D.C.Cir.2003). Counsel's failure to file an appeal requested by the client "cannot be considered a strategic decision." Roe v. Flores-Ortega, 528 U.S. 470, 477, 120 S.Ct. 1029, 145 L.Ed.2d 985 (2000). A petitioner is entitled to resentencing and to an appeal without having to show that it would likely have had merit when his counsel does not file a requested appeal. See Peguero v. United States, 526 U.S. 23, 28, 119 S.Ct. 961, 143 L.Ed.2d 18 (1999) (citing Rodriquez v. United States, 395 U.S. 327, 329-30, 89 S.Ct. 1715, 23 L.Ed.2d 340 (1969)). If a petitioner's attorney does not comply with a request to file an appeal, the sentence will be vacated and the petitioner will be resentenced to allow him to appeal. See United States v. Ramos, 807 F.Supp. 1, 3 (D.D.C.1992).
The court must grant a hearing under § 2255 unless "`the motion and the files and records of the case conclusively show that the prisoner is entitled to no relief.'" United States v. Pollard, 959 F.2d 1011, 1030 (D.C.Cir.1992) (quoting 28 U.S.C. § 2255). The court has discretion to make this determination and "[o]nly where the § 2255 motion raises detailed and specific factual allegations whose resolution requires information outside of the record or the judge's personal knowledge or recollection must a hearing be held." Id. at 1031 (internal quotation marks omitted) (noting that "[e]ven if the files and records of the case do not clearly rebut the allegations of the prisoner, no hearing is required where his claims are vague, conclusory, or palpably incredible").
The parties present conflicting factual accounts. Moore asserts that he immediately asked Spencer to file an appeal after his sentencing and that his mother repeated that request for Moore in a later meeting with Spencer. According to the government, Spencer discussed the issue of an appeal with Moore's mother, but was not told by Moore or his mother to file an appeal. The government concedes that a hearing should be held on this issue. (Gov't Opp'n at 15.) Moore would be entitled to relief if his version of the events were found true. Therefore, Moore is entitled to an evidentiary hearing to resolve the factual dispute.
Moore argues that the court erred by concluding that it was bound to impose a sentence within the guideline range produced by the career offender provision of § 4B1.1. Under the sentencing guidelines in effect when Moore was sentenced, a court was authorized to depart downward where "a defendant's criminal history category significantly over-represent[ed] the seriousness of a defendant's criminal history[.]" U.S. Sentencing Guidelines Manual § 4A1.3 (2001). The Sentencing Commission did not exclude from the coverage of this authority career offenders or other offenders in criminal history category VI. United States v. Beckham, 968 F.2d 47, 54 (D.C.Cir.1992). An appellate court may review and remand for resentencing a case where a sentencing court was unaware that it could depart under § 4A1.3. Id. at 53, 55; In re Sealed Case No. 98-3116, 199 F.3d 488, 490 (D.C.Cir.1999).
Moore's plea agreement barred him from seeking any downward departure. Spencer therefore did not raise the availability of a § 4A1.3 departure either
Moore sought leave to amend his § 2255 petition to challenge his sentence on the ground that it is unconstitutional under Booker because a sentence was imposed based on enhancements not found by a jury and that the guideline provisions are advisory.
Moore failed to substantiate most of his claims regarding ineffective assistance of counsel and the application of Booker. However, a factual dispute exists about whether Moore asked Spencer to file an appeal, and that dispute must be resolved in a hearing. In any event, Moore is entitled to a resentencing hearing since the court misperceived its sentencing discretion. Therefore, it is hereby
ORDERED that Moore's § 2255 motion [21] be, and hereby is, GRANTED in part and DENIED in part. It is further
ORDERED that the Clerk direct the Criminal Justice Act coordinator to appoint
ORDERED that the government confer with Moore's new counsel and file a joint status report within 60 days reflecting their proposal for how the case should proceed in light of the relief awarded and reflecting three mutually agreeable dates on which to schedule further proceedings. It is further
ORDERED that the petitioner's motion [31] for leave to amend his § 2255 motion be, and hereby is, GRANTED. It is further
ORDERED that the United States Attorney promptly process all writs necessary to bring defendant Curtis Allen Moore, Jr. to the District of Columbia timely for resentencing.