T.S. ELLIS, III, District Judge.
Petitioner Joseph Emmanuel Mann, a federal inmate convicted of conspiracy to distribute oxycodone, in violation of 21 U.S.C. §§ 841(a)(1) and 846, has filed a motion to vacate, set aside or correct his sentence, pursuant to 28 U.S.C. § 2255, based on four claims of ineffective assistance of counsel. Specifically, petitioner contends that Counsel was ineffective because: (i) Counsel failed to move for an evaluation of petitioner's competence based on petitioner's past medical history and repeated drug use; (ii) Counsel failed to give petitioner proper advice regarding both a plea agreement offered by the government and the possibility that he could plead straight up to the indictment, and instead erroneously advised petitioner to proceed to trial; (iii) Counsel failed to argue for a downward departure in petitioner's Guidelines based on U.S.S.G. §§ 5K2.13 or 5H1.3; and (iv) Counsel failed to object to the drug amount attributable to petitioner on the ground that some of the pills charged to the conspiracy were obtained and used by petitioner pursuant to valid prescriptions for back pain. As the parties have fully briefed the issues presented and neither oral argument nor an evidentiary hearing would aid the decisional process, petitioner's motion is ripe for disposition.
For the reasons that follow, petitioner's motion must be denied with respect to his first three claims, but granted with respect to his fourth claim, and accordingly, petitioner is entitled to a new sentencing hearing
A brief summary of the factual and procedural history of the case places petitioner's motion in context. Thus, the record reflects that from May 2007 to approximately June 2010, petitioner conspired with others to distribute oxycodone in the Eastern District of Virginia and elsewhere. Petitioner operated largely out of Washington, D.C. In his role in the conspiracy, petitioner obtained oxycodone prescriptions from a doctor, filled the prescriptions, and then sold many of those pills for profit at various locations. In his criminal proceedings through trial, petitioner was represented by court-appointed counsel (hereinafter "Counsel").
On July 28, 2011, a federal grand jury in the Eastern District of Virginia returned a one-count indictment charging petitioner with conspiracy to distribute oxycodone, in violation of 21 U.S.C. §§ 841(a)(1) and 846. Subsequently, on August 5, 2011, petitioner appeared for an arraignment and pled not guilty to the indictment and requested a jury trial. Thereafter, in early August, the government offered petitioner a plea agreement that would result in a recommended low-end Guidelines sentence of 168 months.
Prior to sentencing, the Probation Officer conducted a detailed investigation and prepared a Presentence Investigation Report (PSIR). The Probation Officer calculated petitioner's offense level as 34, pursuant to U.S.S.G. § 2D1.1(c)(3). This calculation was based on the Probation Officer's estimate, based solely on patient prescription records obtained from CVS Pharmacies in Washington, D.C. and Virginia, that it was reasonably foreseeable to petitioner that the conspiracy was responsible for the distribution of 8,587 80 mg oxycodone pills and 1,986 40 mg oxycodone pills, which the Probation Officer correctly concluded was equivalent to between 3,000 to 10,000 kilograms of marijuana.
During the course of petitioner's sentencing hearing, Counsel raised no objection to the drug amount calculation in the PSIR, nor did Counsel object to any other aspect of the PSIR's calculation of petitioner's offense level. Counsel did argue, however, for a two-level sentencing credit for acceptance of responsibility based on U.S.S.G. § 3E1.1. This argument failed. After hearing testimony from an FBI
Thereafter, petitioner, by counsel,
After the failure of petitioner's appeal, petitioner, pro se, filed this timely motion to vacate, set aside or correct his sentence, pursuant to 28 U.S.C. § 2255. Petitioner's motion is based entirely on Counsel's alleged constitutionally ineffective assistance. Specifically, petitioner makes the following four ineffective assistance of counsel claims:
It is well-established that petitioner's § 2255 claims of ineffective assistance
Petitioner's first ineffective assistance of counsel claim is that Counsel did not move for an evaluation of petitioner's mental competence based on his past medical history and repeated drug use. In this respect, it is well-settled that "[a]n attorney's duty, of course, does not mandate the exploration of the issues of sanity and/or competency in every instance." Wood v. Zahradnick, 430 F.Supp. 107, 111 (E.D.Va.1977), aff'd, 578 F.2d 980 (4th Cir. 1978). But where "the facts known and available, or with minimal diligence accessible, to defense counsel raise a reasonable doubt as to a defendant's mental condition, counsel has an affirmative obligation to make further inquiry" regarding defendant's mental condition. Id. And where such reasonable doubt arises, a lawyer "is not entitled to rely on his own belief about a defendant's mental condition," but instead must make a reasonable investigation when the facts known and available raise a question as to a defendant's competence. Becton v. Barnett, 920 F.2d 1190, 1192 (4th Cir.1990). Importantly, demonstrating ineffective assistance of counsel does not require proof of incompetence under the test set out in Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960).
Counsel has submitted an affidavit in which he correctly notes that a review of petitioner's medical records "did not raise a concern about his mental health, nor did the records show brain injuries."
An examination of the record provides further confirmation of petitioner's competence. Thus, at the pre-trial motion hearing on September 16, 2011, petitioner effectively communicated his complaints about proper medical care to the Court and at this hearing, petitioner complained only of sleep apnea and swollen glands, but did not raise his competence as a medical issue.
In sum, the record demonstrates that the facts known to Counsel — a history of drug abuse and bouts with polio and meningitis — raised no reasonable doubt concerning petitioner's mental competence. As to a history of drug use, circuit precedent makes clear that withdrawal effects from drug use do not establish "inadequate competence to stand trial." Barfield v. Woodard, 748 F.2d 844, 851-52 (4th Cir. 1984). Equally unpersuasive is petitioner's conclusory assertion that a series of maladies he had as a young child, polio and meningitis, should have put Counsel on notice to file a motion regarding petitioner's
Petitioner also contends that his apparent confusion over pleading guilty immediately prior to trial should have alerted Counsel as to his incompetence. This contention is similarly meritless. The record reflects that immediately before the jury was empaneled, petitioner advised the Court that he wished to plead guilty, whereupon the Court, after giving petitioner earphones to assist petitioner since he was hard of hearing, advised him of the following:
In response, petitioner replied "Yes."
In an effort to buttress his claim that Counsel should have filed a motion for a mental competency evaluation, petitioner contends that his case is analogous to Wood and Becton. He is mistaken; both cases are plainly inapposite. In Wood, the petitioner, a 27-year old man, committed the heinous and bizarre crime of brutally beating and raping a 67-year old woman, and counsel in that case stated he observed petitioner to be "confused, unresponsive, and suffering from withdrawal symptoms." Wood, 430 F.Supp. at 111. Thus, in Wood, petitioner's ineffective assistance claim was sustained because with "minimal effort, counsel could have learned of the petitioner's low I.Q. scores." Id. Similarly, in Becton, the petitioner there was also charged with raping an elderly woman, and was similarly unresponsive, exhibited withdrawal symptoms, and displayed "bizarre behavior." Becton, 920 F.2d at 1193. Given this, the Fourth Circuit held that counsel should have been on notice as to petitioner's lack of competence. Id.
Both Wood and Becton are clearly significantly different from the case at bar. In sharp contrast to the facts in Wood and Becton, petitioner's crime was not bizarre or heinous, nor did petitioner exhibit withdrawal symptoms, bizarre behavior, or unresponsiveness to Counsel's questions in the preparation of his case. In sum, petitioner,
Nor can petitioner demonstrate that he suffered any prejudice even assuming Counsel's failure to move for a hearing on petitioner's mental competence fell below an objective standard of reasonableness. To show prejudice, petitioner would have to show a reasonable probability that Counsel could have established that he was "not competent to stand trial" by showing that petitioner was unable to consult with Counsel with a reasonable degree of rational understanding and unable to understood the proceedings against him, or in the alternative, that petitioner was "not guilty by reason of insanity." Becton, 920 F.2d at 1194. Given the numerous indicators of petitioner's competence, petitioner cannot demonstrate a reasonable probability that he would have been declared incompetent to stand trial had Counsel moved for a hearing pursuant to 18 U.S.C. § 4241 to determine petitioner's competence or that he would have been declared insane. In sum, petitioner's ineffective assistance claim based on the failure to seek a competency hearing fails both Strickland prongs.
Petitioner next argues that Counsel was ineffective by advising petitioner to forego a proffered plea agreement and proceed to trial. Specifically, with respect to this claim, petitioner advances two separate arguments: (i) that a factual dispute exists over whether Counsel advised petitioner to accept the government's first plea offer, necessitating an evidentiary hearing; and (ii) that Counsel failed to explain the advantages of pleading "straight up" to the indictment
It is well-settled that defense counsel has a duty to communicate to a defendant all formal plea offers from the prosecution. See Missouri v. Frye, ___ U.S. ___, 132 S.Ct. 1399, 1410, 182 L.Ed.2d 379 (2012). But importantly, although a criminal defense attorney is required to communicate a formal plea offer to a client and to provide the client all relevant facts along with potential alternatives, "an attorney is under no obligation to recommend a particular course of action to a client." Carillo-Morales v. United States, 952 F.Supp.2d 797, 804 (E.D.Va. 2013) (citing Jones v. Murray, 947 F.2d 1106, 1110 (4th Cir.1991)). Thus, it is the defendant who ultimately must decide whether to accept or reject a plea offer, and counsel is required only to advise the client of available alternatives and important factors to consider in weighing the client's options. See Jones, 947 F.2d at 1111. In order for a petitioner to show prejudice in the context of the plea process, a petitioner must demonstrate a "reasonable probability he would have accepted the earlier plea offer had he been afforded effective assistance of counsel." United States v. Dickerson, 546 Fed.Appx. 211, 213 (4th Cir.2013). Petitioner contends that an evidentiary hearing is necessary because although Counsel's affidavit states that he "recommended that [petitioner] accept the [first] plea offer," petitioner asserts
It is settled that "evidentiary hearings on [§ ]2255 petitions are the exception, not the norm, and there is a heavy burden on the petitioner to demonstrate that an evidentiary hearing is warranted." Moncrieffe v. United States, No. 1:11cv118, 2012 WL 488259, at *4 (E.D.Va. Feb. 13, 2012). Moreover, an evidentiary hearing is "not required ... on a § 2255 motion if the record of the case conclusively shows that the petitioner is entitled to no relief." United States v. Yearwood, 863 F.2d 6, 7 (4th Cir.1988). Here, petitioner is not entitled to an evidentiary hearing because the record conclusively demonstrates that petitioner cannot demonstrate either ineffective performance or prejudice under Strickland, even accepting as true his assertion that Counsel advised him to reject the government's first plea offer.
Petitioner cannot demonstrate that Counsel's performance was deficient because even accepting petitioner's assertion that Counsel advised him to reject the government's first plea offer, such advice is within the range of reasonable professional judgment under Strickland. With respect to the first plea offer, the Assistant United States Attorney "had a reverse proffer with [petitioner] and [reviewed] the [first] plea offer with [petitioner] in early August" of 2011.
Petitioner also cannot show prejudice because as multiple courts have recognized, "after the fact testimony concerning [petitioner's] desire to plead, without more, is insufficient to establish that but for counsel's alleged advice or inaction, he would have accepted the plea offer." Berry v. United States, 884 F.Supp.2d 453, 463 (E.D.Va.2012) (citing Diaz v. United States, 930 F.2d 832, 835 (11th Cir.1991)). Here, petitioner cannot point to any record evidence showing that he would have accepted the government's first plea offer, even assuming Counsel had advised him to do so. Instead, petitioner relies solely on his unsubstantiated assertions which are insufficient to demonstrate prejudice. In sum, the record establishes that petitioner cannot demonstrate prejudice under Strickland, because even if Counsel had advised him to accept the government's first plea offer — which is what occurred according to Counsel's affidavit — petitioner lacks evidence showing he would have accepted this advice. Indeed, petitioner's steadfast adherence to his not guilty plea — which was one reason petitioner did
Petitioner next contends that Counsel was ineffective in failing to advise petitioner to plead straight up to the indictment which would have resulted, he claims, in a lighter sentence than the one eventually imposed. Specifically, petitioner argues that if he had pled straight up to the indictment, he would have received a two-level credit for acceptance of responsibility under U.S.S.G. § 3E1.1,
It is clear that to qualify for the safety valve provision, petitioner "must establish the existence of five prerequisites" and the burden is on the petitioner to prove that "all five safety valve requirements have been met." United States v. Arreola, 451 Fed.Appx. 313, 314 (4th Cir. 2011). One of the five prerequisites is "not later than the time of sentencing hearing, the defendant [must have] truthfully provided to the Government all information and evidence the defendant has concerning the offense or offenses that were part of the same course of conduct or of a common scheme or plan...." U.S.S.G. § 5C1.2(a)(5). This did not occur; indeed there is no record evidence that petitioner ever provided the government all of the relevant information regarding the oxycodone conspiracy. Nor can petitioner plausibly argue that if he had pled straight up, he would then have supplied the government with the necessary information. First, the record is clear that petitioner never admitted all of the offense relevant conduct in his unsuccessful effort to win acceptance of responsibility, so it is doubtful that petitioner would have satisfied U.S.S.G. § 5C1.2(a)(5). Second, petitioner's after-the-fact assertions in this regard do not demonstrate ineffective assistance under Strickland. See Berry, 884 F.Supp.2d at 463 ("[A]fter the fact testimony concerning a [defendant's] desire to plead, without more, is insufficient to establish that but for counsel's alleged advice or inaction, he would have accepted the plea offer.") (internal quotation marks and citations omitted).
Petitioner's argument regarding acceptance of responsibility under U.S.S.G. § 3E1.1 is similarly unavailing chiefly because the record demonstrates that even on the day of his sentencing, despite the fact that Counsel vigorously argued for an acceptance of responsibility credit pursuant to U.S.S.G. § 3E1.1, petitioner still did not accept full responsibility for his crime.
In sum, even assuming, as petitioner contends, that Counsel advised him to reject the first plea offer and even assuming Counsel failed to advise him that he could plead straight up to the indictment, the record shows that petitioner fails Strickland's performance and prejudice prongs.
Petitioner next claims that Counsel was ineffective in failing to argue for a downward departure pursuant to U.S.S.G. § 5K2.13 and § 5H1.3. This claim is meritless.
Under U.S.S.G. § 5K2.13, a downward departure is warranted only if the defendant committed the offense while suffering from a significantly reduced mental capacity and the significantly reduced mental capacity contributed substantially to the commission of the offense. Significantly, to be eligible for a diminished capacity departure, a "defendant must show an inability to process information or to reason." United States v. Withers, 100 F.3d 1142, 1148 (4th Cir.1996). Here, petitioner has offered no evidence that he was unable to process information or reason during the period of his offense conduct. The record suggests the opposite conclusion, as the very nature of petitioner's crime — participation in a large scale conspiracy to obtain and then distribute thousands of pills of oxycodone — is further evidence that petitioner did not have diminished mental capacity. See Withers, 100 F.3d at 1148 (noting that diminished capacity reduction was not warranted in part because defendant was "fully capable of following a complex set of instructions to transport heroin successfully into the United States").
Petitioner's argument based on diminished mental capacity due to his drug use fares no better as U.S.S.G. § 5K2.13 is clear that the "court may not depart below the applicable guideline range if ... the
Not only is it abundantly clear that petitioner did not suffer from diminished mental capacity to qualify for a downward departure under U.S.S.G. § 5K2.13, but the record is also clear that Counsel advocated for a reduction in petitioner's sentence in a variety of other ways.
Equally unpersuasive is petitioner's argument based on U.S.S.G. § 5H1.3. That provision states that a departure may be warranted based on mental conditions which are "present to an unusual degree and distinguish the case from typical cases covered by the [G]uidelines." U.S.S.G. § 5H1.3 (emphasis added). Petitioner has not shown that he suffered from any mental conditions that were present to an unusual degree. Thus, there is simply no basis to conclude that Counsel's performance was objectively unreasonable in not arguing for a downward departure under U.S.S.G. § 5H1.3, or that petitioner suffered any prejudice in this regard.
In sum, petitioner cannot demonstrate either ineffective performance or prejudice under Strickland with respect to his argument that counsel should have argued for a downward sentencing departure based on U.S.S.G. § 5K2.13 and § 5H1.3.
Petitioner's final argument for ineffective assistance of counsel is that Counsel was ineffective in failing to object to the PSIR's calculation of the drug amount attributable to petitioner on the ground that the Probation Officer did not reduce petitioner's offense level based on oxycodone pills petitioner consumed for personal use pursuant to his valid prescriptions.
In Bell, a sixty-five year old defendant obtained oxycontin pills pursuant to valid prescriptions, but did not consume all of the prescribed pills. Instead, she sold some of the pills to buy lottery tickets. Bell, 667 F.3d at 434. In determining the quantity of drugs attributable to that defendant, the district court rejected the argument that pills taken for personal use should have been deducted from the total drug amount, relying on the principle that "[w]here a drug conspiracy is involved, drugs obtained by the defendant for her personal use are properly included in the quantity of drugs that the defendant knew were distributed by the conspiracy." Id. at 439.
The Fourth Circuit rejected this reasoning. Judge Davis, writing for the panel, noted that although that principle might be applicable and valid for a conspiracy involving Schedule I drugs or for conspiracies involving non-Schedule I drugs where those drugs were not lawfully obtained, the principle has no application in a conspiracy involving non-Schedule I drugs where a co-conspirator claims to have used some of the drugs pursuant to a lawful and valid prescription. Id. at 442. To do otherwise, according to Judge Davis, creates a risk that a coconspirator will be punished for lawful conduct. As Judge Davis put it,
Id. at 443. To address this high risk, Judge Davis made clear that where, as here, a co-conspirator claims to have made personal use of some of the drugs involved in a conspiracy pursuant to a lawful, valid prescription, the district court must make factual findings as to the amount of drugs properly attributable to that co-conspirator. Four factual findings a district court might make were identified in Bell: (i) that the conspiracy actually distributed a
In this case, of course, no such findings were made because Counsel did not object to the drug amount in the PSIR and did not argue that a lesser drug amount was properly attributable to petitioner. Ultimately, then, this is a case where Counsel's failure to raise an objection to the PSIR based on Bell was objectively unreasonable because Counsel did not conduct a "reasonable investigation of law." Powell v. Kelly, 562 F.3d 656, 670 (4th Cir.2009).
In response, the government relies on Counsel's affidavit, in which Counsel states that based on the evidence at trial, Counsel believed that "an argument that the pills were mainly for personal use [was] difficult, if not counterproductive."
Nor is there any doubt that petitioner was prejudiced by Counsel's failure to object to the PSIR based on Bell. In order to show prejudice, petitioner must demonstrate that "but for counsel's failure to object, there is a `reasonable probability' that he would have received a shorter sentence." United States v. Smith, 497 Fed. Appx. 269, 274 (4th Cir.2012) (citing Strickland, 466 U.S. at 694, 104 S.Ct. 2052).
First, petitioner has shown that there is a reasonable probability that his criminal offense level would have been a 32 instead of a 34, which would have reduced his Guidelines sentencing range from 151 to 188 months to 121 to 151 months. In this respect, petitioner claims he consumed three pills a day for personal use over a period of four years, nine months. To be sure, the Court might not have accepted this claim, but at least, the Court would have made the necessary factual findings on this issue pursuant to Bell, which would have included petitioner's testimony. Therefore, the simple fact that the necessary factual findings were not made as to the proper drug quantity attributable to petitioner ensures that petitioner has carried his burden on this point because a reasonable probability is simply
In sum, because petitioner's argument has undermined confidence in his offense level, and because an erroneous criminal offense level calculation infects all results which follow, including the ultimate sentence imposed, petitioner has demonstrated a reasonable probability that he would have received a shorter sentence.
As a result, the "most appropriate remedy" is to hold a resentencing hearing in order for the Court to make the requisite factual findings with respect to the quantity of drugs properly attributable to petitioner and thus accurately ascertain petitioner's criminal offense level. See United States v. Hillary, 106 F.3d 1170, 1172 (4th Cir.1997) ("Certainly the most `appropriate' remedy is to put § 2255 defendants in the same boat as direct appellants, i.e. to permit resentencing.").
In sum, although petitioner has not demonstrated ineffective assistance of counsel with respect to his first three arguments, petitioner has demonstrated ineffective assistance of counsel with respect to his fourth argument. Specifically, Counsel's performance was objectively unreasonable in not objecting to the PSIR based on Bell, and because there is a reasonable probability that upon making this objection petitioner would have received a shorter sentence, petitioner was prejudiced as well. Therefore, petitioner is entitled to a new sentencing hearing on this ground.
An appropriate Order will issue.