United States v. Ayers
United States v. Ayers
Opinion of the Court
In many ways, Lee Ayers has locked himself in. He locked himself into legal trouble when he committed a series of crimes that led to both state and federal convictions. He locked himself into a twelve-year prison sentence by agreeing to it in a plea deal. And he locked himself into a sentencing date that happened to occur a month before a landmark bill reducing mandatory minimum sentences was passed into law. Now, Ayers has collaterally attacked his sentence, claiming that his trial counsel rendered ineffective assistance because she did not seek to continue his *49sentencing until after passage of the Fair Sentencing Act (FSA). His argument is not without appeal. However, for the reasons explained below, the Court will deny his claim.
I. BACKGROUND
Ayers was arrested on September 6, 2008, after attempting to flee officers of the District of Columbia Metropolitan Police Department (MPD) who were conducting a traffic stop of his car. Indictment [ECF No. 1] at 1; United States v. Ayers,
A federal grand jury indicted Ayers on four charges: possession with intent to distribute fifty or more grams of cocaine base, in violation of
Ayers pleaded guilty in open court on April 1, 2010, see Min. Order of Apr. 1, 2010; Tr. of Plea Hr'g [ECF No. 80] at 25:13-26:19, and the Court deferred a decision on the plea agreement, Tr. of Plea Hr'g at 23:11-:25. Ayers's attorney, Michelle Peterson, asked the Court to postpone sentencing until "toward the end of July": "[p]art of [her] argument" for concurrent sentencing was to "be based on the changes in the crack cocaine laws," so she wished to "have till the end of July to see how that's developing."
As Ayers pleaded guilty and approached sentencing, the FSA was winding its way through Congress. The FSA was introduced in the Senate on October 15, 2009, but senators did not reach a compromise and pass the bill through the Senate Judiciary Committee until March 11, 2010. See Library of Congress, S.1789-Fair Sentencing Act of 2010, Congress.gov [hereinafter "FSA Enactment History"] (last updated Aug. 3, 2010), https://www.congress.gov/bill/111th-congress/senate-bill/1789/all-actions-without-amendments. The full Senate passed it by voice vote on March 17.
Ayers appealed his sentence, but the D.C. Circuit affirmed in July 2015. Ayers,
II. LEGAL STANDARD
A federal prisoner may bring a habeas corpus action in district court "upon the ground that 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, or is otherwise subject to collateral attack."
*51Massaro v. United States,
III. DISCUSSION
Ayers claims that Peterson rendered ineffective assistance by failing to seek a continuance of his sentencing until after the FSA became law. Ayers also makes the alternative argument that he should be resentenced "in the interests of justice." The Court addresses these arguments in turn.
A. INEFFECTIVE ASSISTANCE OF COUNSEL
Ayers's main contention is that his trial attorney, Michelle Peterson, rendered ineffective assistance of counsel in violation of the Sixth Amendment. The government contests both the idea that Peterson's performance was deficient and the claim that her failure to seek a continuance resulted in prejudice to Ayers. Ultimately, however, the Court need not reach the second prong of the Strickland test, because the Court finds that Ayers has failed to satisfy the first.
To make out a successful IAC claim, a defendant must prove that his counsel was deficient. Under Strickland, "[t]he proper measure of attorney performance" is "reasonableness under prevailing professional norms."
Ayers claims that Peterson's performance was deficient because she "knew that the implementation of the [FSA] was on the horizon" at the time of Ayers's July 9 hearing, yet, "[d]espite this, [she] went forward with the sentencing." Def.'s Reply at 7-8. Ayers asserts that he had nothing to lose by waiting, but could have strengthened his argument for concurrent sentencing by doing so, and that therefore there was no strategic justification for Peterson's not having sought a continuance. Id. at 8. The government argues that Peterson's actions could have been based on a tactical choice, and that in any event her decision not to seek a continuance was reasonable. See U.S.'s Final Opp'n at 11-12; U.S.'s Surreply at 5-6.
*52Ayers's deficiency argument turns almost entirely on the Abney decision; therefore, a thorough summary of that case is in order. Abney pleaded guilty to one count of possession of fifty grams or more of cocaine base with intent to distribute. Abney,
The court first determined that the government's "proffered strategic rationales are implausible," and that, "[o]n this record, ... there is no conceivable strategy that would justify the failure of Abney's counsel to seek a continuance of sentencing."
This case differs from Abney in several crucial ways, and these differences prove fatal to Ayers's IAC claim. To begin with, Ayers was sentenced pursuant to an agreement under Federal Rule of Criminal Procedure 11(c)(1)(C). As will be discussed further below, this meant that, once the Court accepted his plea, it was bound to accept the 144-month sentence outlined in the agreement. Thus, while Abney's sentence would have changed after passage of the FSA, Ayers's sentence could not. The only debate at sentencing was over whether that sentence would run consecutively or concurrently with Ayers's existing Superior Court sentence.
In part because of the 11(c)(1)(C) plea, this case also differs from Abney because there are plausible tactical reasons not to have sought a continuance. "[A]bsent a *53strategic decision by counsel, the ineffectiveness prong of Strickland turns on whether an objectively reasonable attorney would have [sought a continuance] because the issue had a reasonable likelihood of success." Abney,
There is evidence for two alternative courses of events in the record, either of which could have been the result of acceptable trial strategy. According to Ayers's § 2255 motion and his testimony at the evidentiary hearing, Ayers had asked Peterson to file a motion to continue the July 9 sentencing, but when he asked her on July 9 what had happened to the continuance she said "she did not file it because the judge would not have granted it because the case has been going on too long." Mot. to Vacate at 5; accord Evid. Hr'g Tr. at 10:8-11:6. There is conflicting evidence on this claim, to say the least. Peterson testified that, while she could not specifically recall whether Ayers had requested a continuance, she never opposed a client's request for a continuance and she would have asked the Court for a continuance if he had asked her to do so. See Evid. Hr'g Tr. at 46:11-47:7, 58:8-:17, 60:8-:21, 62:17-:22. Ayers's appellate counsel, Beverly Dyer, claimed in response to questioning at the hearing that she "believe[d] he did say" that he had asked Peterson for a continuance and that she had not sought it. See id. at 99:11-:15, 100:23-101:1. But she was far from certain on this point. She also conflated Ayers telling her that he had asked for a continuance with Ayers telling her generally that he was upset he was not sentenced after the FSA.
*54Given the mixed evidence as to whether Ayers asked Peterson to request a continuance, Ayers argues that the Court need not decide whether he actually made the request, because Peterson should have sought a continuance in any event. Def.'s Br. at 11-12. As the Court finds Peterson's testimony more credible than Ayers's, the Court must indeed determine whether Peterson should have sought a continuance on her own. As part of this inquiry, however, Ayers must still rebut the government's proffered rationales for going forward with the July 9 sentencing. In its briefs and in the evidentiary hearings, the government has suggested that Peterson sought to take advantage of the uncertainty around what a final FSA might look like, so Ayers could benefit from the atmosphere of legislative change to the mandatory minimum regime without the possible cost to his arguments if the final FSA turned out not to be that helpful to defendants like him. See Evid. Hr'g Tr. at 26:10-29:22, 45:7-:13, 47:8-48:17, 53:4-:23, 101:7-102:5; U.S.'s Final Opp'n at 12; U.S.'s Surreply at 3.
Ayers has not proven this proffered rationale implausible, and so has not "overcome the presumption that, under the circumstances, [not seeking a continuance] 'might be considered sound trial strategy.' " Strickland,
THE COURT: Did you believe that Mr. Ayers was likely to get a better sentencing result if sentenced after the passage of the FSA than if sentenced before the passage of the FSA?
THE WITNESS: I don't-no, I can't say that I thought it would be better before or after, because I thought we had-everything we needed to make the argument as to why it should be concurrent was in play, with the possible exception of making the argument that it would have been a five-year mandatory doubled to ten with the enhancement papers....
But, obviously, if-had it already-had the mandatory minimums already come into place, maybe that would have been stronger, and if the Court would have reached a different result had the mandatory minimum only been five even though the 11(c) was still to 12, then yes, I think it would have been better for him to have waited.
THE COURT: But you don't know whether you believed it would have been better or not?
THE WITNESS: At the time I have no recollection because I don't remember when it became clear exactly what was happening on the Hill and what-I can't recreate in my mind exactly when things changed. I know the guidelines had changed. I don't remember whether it was clear that the mandatory minimum-when it was clear to us that the mandatory minimums had in fact changed.
Id. at 56:10-57:10. And, while Peterson could not recall what her reason was at the time for not seeking a continuance, she *55admitted that there could have been strategic reasons not to do so. See, e.g., id. at 45:11-:13 ("That is possible [that the pre-FSA ambiguity benefitted Ayers], yes. That is the only argument that was left to us, for court, was whether it should be concurrent or consecutive."). Peterson made similar admissions many times.
Even if one were to discount the government's proffered reasons for Peterson's not seeking a continuance, the differing legislative environments rendered Peterson's actions far more reasonable than Abney's counsel's. Unlike at Abney's sentencing on August 2, it was difficult to know, either at Ayers's plea on April 1 or his sentencing on July 9, 2010, whether the FSA had a likely or even a reasonable chance of passing. The Senate reached a deal and passed the FSA by unanimous consent on March 17, after having passed the bill out of the Judiciary Committee six days earlier. See FSA Enactment History. Prior to this sudden burst of activity, the FSA had languished in committee for five months. See
There must have been internal movement in the House before July 28 to set up this final vote. But nothing in the record suggests that a reasonable observer following the FSA's course through Congress would have thought the House was particularly *56likely to pass the bill in the final few weeks before the August recess in an election year. House Democrats "had previously criticized the Senate-passed version" of the FSA for not fully reducing the crack-powder disparity, and had to be convinced "to move the upper chamber's version."
Peterson indicated during the November 2017 evidentiary hearing that her office was tracking the progress of the FSA, and responded "yes" when asked whether she had expected it to pass in late July 2010. See Evid. Hr'g Tr. at 40:15-41:2. Yet Peterson did not say as much during the sentencing hearing in 2010, stating only: "I know the Court is sentencing him today and not in the future, but we know that Congress is reducing these mandatory minimums as we speak." Sentencing Tr. at 18:8-:11. This statement could have been spin, or a reference to the Senate's passage of the bill in March. There was no indication at sentencing that Peterson believed Congress was going to pass the FSA later that month. And, in any event, it would be unreasonable to require Peterson to have known the FSA would pass at a particular time to deem her effective, given the inconclusive evidence of legislative activity. Indeed, the government and the Court both believed at the time that it was unclear whether the FSA would pass:
THE COURT: Well, I think the problem is even though that might be an arguably accurate prediction for what this Congress would do if it got to the issue, we've got an election in November. We have no idea what the Congress is going to look like after November, and it may not look like the Congress that we currently have.
MR. VARGHESE: That's exactly right, Your Honor. I think it would be disingenuous to try to use a concurrent sentence to try to evade what is the statute right now. And it may not or it might be the statute six months from now or a year from now, but we just don't know.
Moreover, unlike in Abney, there appears to have been uncertainty at the time of sentencing as to what any final FSA bill would look like. During the evidentiary hearing, Peterson repeatedly said that she did not recall whether she knew at the time of sentencing if Congress was definitely planning to change the mandatory minimums for crack cocaine (and if so by how much). Evid. Hr'g Tr. at 45:15-:17, 47:8-:17, 55:19-57:10. At the sentencing hearing, Peterson noted the common understanding that Congress was looking to reduce the minimums, but did not indicate that she had any further knowledge about the contours of the specific proposals being considered by the House. See Sentencing Tr. at 18:8-:17. Thus, evaluating Peterson's conduct "from counsel's perspective at the time," Strickland,
This case therefore is unlike Abney, in which the defense "counsel was aware that the FSA had passed both houses of Congress," "it was well known that the President would promptly sign the legislation," and counsel "also contemplated that the FSA might be applied to benefit Abney."
Finally, unlike the plea in Abney, the plea here included a Rule 11(c)(1)(C) stipulation, in which the parties agreed on the sentence length ahead of time. This matters for two reasons. The nature of the plea made it less likely that any difference in mandatory minimums brought on by the FSA would be relevant to Ayers's sentencing. As explained above, there did not appear to be much benefit to delaying sentencing, since the sentence itself was not at issue but rather only the question of concurrence with Ayers's Superior Court sentence. There was thus no "substantial sentencing benefit" from the drop in minimums "that was reasonably likely to apply to [Peterson's] client if his sentencing were postponed."
Even if the Court credited Ayers's claim instead of Peterson's, Ayers's testimony suggests Peterson's decision not to seek a continuance was a tactical one. The question then becomes whether that decision was reasonable-and it was. "Although there are basic rights that the attorney *58cannot waive without the fully informed and publicly acknowledged consent of the client, the lawyer has-and must have-full authority to manage the conduct of the trial." Taylor v. Illinois,
For all of these reasons, reading the record in light of Strickland and Abney, the Court finds that Peterson was not deficient for not having sought a continuance. Ayers has not rebutted the strong presumption of reasonableness that Strickland sets in place. Hence, Ayers's IAC claim fails at the first step, and the Court need not determine whether Peterson's actions were prejudicial.
B. Interests of Justice
Ayers also asserts, as an alternative to an IAC ruling, that the Court order resentencing "in the interests of justice." Def.'s Br. at 12; Def.'s Reply at 9. "Federal courts normally do not have the authority to modify a sentence once it has been imposed...." United States v. Butler,
First, the BOP has not filed a motion requesting modification of Ayers's sentence, and the government has actively opposed Ayers's § 2255 motion.
Second, there is no statutory hook for Ayers's request. Rule 35 does not apply here, since the fourteen-day window to seek correction of a clear error has long passed, and since Ayers has not rendered *59the government substantial assistance. See Fed. R. Cr. P. 35(a)-(b)(1). Ayers has not pointed to any other statute that would permit modification of his sentence. See Def.'s Br. at 12-14; Def.'s Reply at 9. The habeas statute under which Ayers is suing allows a court to modify a sentence on grounds that it "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, or is otherwise subject to collateral attack."
Third, there is no applicable reduction in the Sentencing Guidelines. The D.C. Circuit has held that § 3582(c)(2) -which allows for resentencing of a defendant "based on a sentencing range that has subsequently been lowered by the Sentencing Commission"-applies to Rule 11(c)(1)(C) agreements when the sentencing judge's decision to accept the plea was based in some way on the Guidelines. United States v. Epps,
Ayers does not acknowledge or engage with § 3582, but rather cites two cases in which appellate courts remanded cases for resentencing in the interests of justice because of a party's "confusion or misapprehension of the law." Def.'s Br. at 12-13. However, neither case is comparable to this one, nor does either's reasoning suggest that Ayers can circumvent § 3582. In the first, United States v. Bailey, the district court had sentenced the defendant after the FSA under a pre-FSA mandatory minimum, and Dorsey had since clarified that the old minimum did not apply; the Seventh Circuit determined that the defendant could not receive a sentence modification under § 3582, but that a § 2255 claim would be meritorious. See
In the other case, United States v. Collins,
IV. CONCLUSION
The Court recognizes that Ayers is, in some respects, a victim of poor timing. There is an inherent arbitrariness to being kept in jail longer because one received an agreed-upon sentence a month before the legal status quo changed in a way that might have worked in one's favor. But there was no firm indication at the time of sentencing that the FSA would soon pass, or that it would benefit Ayers if it did. In any event, Ayers had agreed to a particular sentence under Rule 11(c)(1)(C), which allowed him to argue only for concurrent sentencing rather than for a shorter prison term. Thus, even if the FSA had passed, Peterson's argument would have been very similar to the one she in fact made. For the reasons explained above, then, the Court finds that Peterson was not deficient under the Strickland test. The Court also finds that there is no basis for resentencing "in the interests of justice." Ayers's § 2255 petition will therefore be dismissed.
Since Ayers's time to file a petition for certiorari did not run out until October 2015, his habeas petition fell within the one-year statute of limitations. See
The following two exchanges, the first with the government and the second with the Court, provide the best examples of Dyer's ambiguity on this point:
Q. All right. At any time during your representation of Mr. Ayers, do you ever recall Mr. Ayers complaining about the quality of Ms. Peterson's representation?
A. I don't remember it in those terms. I do remember that he was frustrated about the-a continuance and the Fair Sentencing Act.
Q. Okay. You said you knew he was upset about the continuance. What do you mean by that?
A. That he would have-he would have wanted-he wanted to be sentenced under the Fair Sentencing Act. It's something that he was concerned about throughout his case.
Q. Right, but did he ever complain to you, in the course of your representation, about the quality of Ms. Peterson's representation as it pertains to the continuance and the passage of the Fair Sentencing Act?
A. I don't recall him complaining about the quality of her representation.
Evid. Hr'g Tr. at 79:19-80:10.
[THE COURT:] Did Mr. Ayers say to you at any time ... that he had requested a continuance from Ms. Peterson but she had declined to seek it?
THE WITNESS: I believe he did say that.
THE COURT: And what do you think he told you? I mean, as best you can recall, what would he have told you?
THE WITNESS: The same way I recall him being very concerned about the Fair Sentencing Act and the crack/powder disparity throughout his case. I believe he expressed to me that he had given the same concerns to Ms. Peterson and that she had been aware of his concerns, that he had made those-the same concerns relevant to her or he had communicated them to her.
See Evid. Hr'g Tr. at 45:22-46:2 ("I had no reason to want to do it earlier or later. So it would have-I'm sure it would have been either because we thought there was something going on that would either make it more likely or less likely that we would be able to convince Judge Bates, but I would have followed the request of the client at that point."), 48:15-:21 ("The one [reason] you're suggesting [for accepting a July 9, 2010 sentencing date] is what makes the most sense, unless the client had a particular reason that he wanted to be sentenced."), 55:21-:24 ("Well, the advantage that Mr. Lucas suggested was perhaps there were some strategic reasons, if we weren't sure exactly what was going to be passed, that maybe we had a stronger argument."), 58:13-:16 ("I just don't remember what happened late July that made us think it was better to just go ahead as opposed to ask for a continuance. But, certainly, if I had been asked to ask for a continuance, I would have done so."), 64:12-:15 ("I know I knew what the law was at the time, and I knew what was going on the Hill. I was paying attention to it. We made decisions, and we made our best pitch as to why we should have concurrent versus consecutive."), 66:11-:14 ("[O]bviously, if in fact there was a strong chance it wasn't going to be made retroactive, then we would have been better arguing that it was still a possibility that it was going to be retroactive and therefore you should apply it retroactively.").
The government also made the plausible argument during the evidentiary hearing that, if the sentencing had been continued until after the FSA had been passed and the mandatory minimums had dropped, the Court could have rejected the plea agreement or the government could have withdrawn from the agreement because the basis of the bargain had been undermined. In either situation, the government could have then brought back its original charges, which could have saddled Ayers with a significantly higher sentence-and this was a possibility that could have led a reasonable attorney to have preferred a pre-FSA sentencing. See Evid. Hr'g Tr. at 52:18-53:3.
Lauren Victoria Burke & J. Taylor Rushing, Congress Passes Bill on Cocaine Sentencing Law Disparities, The Hill (July 29, 2010), http://thehill.com/homenews/house/111561-congress-passes-bill-on-cocaine-sentencing-laws.
Editorial, House Can Reduce Powder Cocaine vs. Crack Cocaine Disparity, Wash. Post (July 21, 2010), http://www.washingtonpost.com/wp-dyn/content/article/2010/07/20/AR2010072005364.html.
Editorial, The House Should Listen and Learn, N.Y. Times (July 25, 2010), http://www.nytimes.com/2010/07/26/opinion/26mon3.html.
Dyer's testimony on cross-examination at the evidentiary hearing also lends support to the idea that Ayers's case differed from those in which the defense bar had sought continuances:
Q. Isn't it true that at about the time that Mr. Ayers was being sentenced, or just prior to that, there were a number of attorneys who were seeking continuances so that their clients could take advantage of the Fair Sentencing Act?
A. Absolutely.
Q. Okay. So why is it that you did not think that was noteworthy in Mr. Ayers' situation?
A. Because I didn't think his (c) plea would change, and because I thought that the same arguments would be-I thought those arguments would be equally compelling before and after with respect to whether the sentence could be concurrent.
Evid. Hr'g Tr. at 86:22-87:7.
The circuits are split 10-2 over whether to follow the plurality opinion in Freeman v. United States,
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