Opinion ID: 1611878
Heading Depth: 2
Heading Rank: 2

Heading: Applicant's Specific Ineffective Assistance of Counsel Claims.

Text: We first consider the ineffective assistance claims alleged against Jose's trial counsel. If we find Jose does not establish a sufficient ineffective assistance claim against his trial counsel, we need not address his ineffective assistance of appellate counsel claim.
Counsel is required to conduct a reasonable investigation or make reasonable decisions that make a particular investigation unnecessary. Strickland, 466 U.S. at 691, 104 S.Ct. at 2066, 80 L.Ed.2d at 695. Thus, the duty to investigate is not unlimited, and trial counsel is not required to interview every potential witness. Heaton v. State, 420 N.W.2d 429, 431 (Iowa 1988). There is no need to investigate a particular matter, for example, if the defendant has given counsel a reason to believe the investigation would be fruitless or unwarranted. Strickland, 466 U.S. at 691, 104 S.Ct. at 2066, 80 L.Ed.2d at 695; Mulligan v. Kemp, 771 F.2d 1436, 1441-42 (11th Cir.1985). Similarly, investigation of a defense may be curtailed or eliminated if the facts are already known to counsel through another source. See Mulligan, 771 F.2d at 1442-43. In each instance, the decision to investigate a particular matter must be judged in relationship to the particular underlying circumstances. Strickland, 466 U.S. at 691, 104 S.Ct. at 2066, 80 L.Ed.2d at 695; Chambers v. Armontrout, 907 F.2d 825, 828 (8th Cir.1990); see Schrier v. State, 347 N.W.2d 657, 662 (Iowa 1984) ([t]he extent of the investigation required in each case turns on the peculiar facts and circumstances). In this case, Jose claims his trial counsel breached an essential duty by failing to investigate and interview the 7-Eleven store clerk and by failing to investigate potential witnesses from the Western Tavern. To analyze this claim, it is important to consider the pretrial background of the case. The evidence against Jose essentially came from Marie. Jose told his attorney he and Marie went to the secluded area and engaged in sexual intercourse, but maintained his and her actions were voluntary. Consequently, the defense developed by trial counsel centered on consent. Counsel acknowledged this defense was a fact question dependent upon the credibility of the witnesses. Notwithstanding, trial counsel testified he did not interview any employees or patrons of the bar. The reason he believed the investigation was unnecessary was because Marie had acknowledged she voluntarily left the bar with the three men after it closed. Thus, he claimed the information sought by any investigation was known and undisputed. On the other hand, he did not offer an explanation for not attempting to locate the store clerk, despite knowing that the clerk could have testified to observing no unusual behavior while Marie and the three men were at the store. Although the evidence uniformly showed Marie voluntarily left the bar with the three men, the important question in the case centered on the reason she left with the men. An investigation of the patrons and employees of the bar could have helped flush out Marie's claim that she thought the men were taking her to someone's home for an after-bar party. More importantly, Jose had told his attorney that Marie was acting very friendly towards the three men at the bar, and made some statements to others that she wanted to go with them. While a reasonable attorney under the circumstances may not have investigated the witnesses at the tavern for the purpose of determining whether Marie voluntarily left with the men, there were serious questions concerning the reason she voluntarily left which demanded investigation. Furthermore, the justification offered by trial counsel for failing to interview the bar patrons and employees cannot extend to failing to interview the 7-Eleven store clerk. By the time Marie and the three men arrived at the 7-Eleven store, Marie claimed her presence in the car was no longer voluntary. Thus, an investigation was absolutely necessary. Moreover, trial counsel was aware such an investigation could have been helpful to Jose's case. Based on the information provided to trial counsel, Jose essentially had a single defenseconsent. Trial counsel, however, failed to conduct even a minimal investigation to support this defense. Under these circumstances, trial counsel's pretrial investigation was unreasonable. See Workman v. Tate, 957 F.2d 1339, 1345-46 (6th Cir.1992) (failure of counsel to locate and interview only witnesses that could support defendant's defense); Blackburn v. Foltz, 828 F.2d 1177, 1182-83 (6th Cir.1987) (failure to interview sole alibi witness). The failure to investigate the only reasonable and realistic defense rendered trial counsel's assistance ineffective. Chambers, 907 F.2d at 830 (citing Code v. Montgomery, 799 F.2d 1481, 1483 (11th Cir.1986)).
A defendant has a constitutional right to testify at a criminal trial. Rock v. Arkansas, 483 U.S. 44, 51, 107 S.Ct. 2704, 2708, 97 L.Ed.2d 37, 46 (1987). Moreover, it is a fundamental right that can only be waived by the defendant, which can only be done voluntarily, knowingly, and intelligently. Foster v. Delo, 11 F.3d 1451, 1457 (8th Cir.1994). The decision whether or not to testify belongs to the defendant, and the role of counsel is to provide advice to enable a defendant to make the decision. See Taylor, 352 N.W.2d at 687-88. Counsel has a duty to advise the defendant about the consequences of testifying so that an informed decision can be made. See id. The decision is often extremely difficult to make, but can be the single most important factor in a criminal case. Boyd v. United States, 586 A.2d 670, 673 (D.C.1991). Generally, the advice provided by counsel is a matter of trial strategy and will not support a claim of ineffective assistance absent exceptional circumstances. However, when a defendant follows the misinformed advice of counsel concerning the consequences of testifying, ineffective assistance of counsel may occur. See Foster, 11 F.3d at 1457 (counsel misinformed defendant of the risks of testifying and failed to inform defendant of the benefits); Blackburn, 828 F.2d at 1181-82 (counsel misinformed defendant that government could use prior convictions if defendant testified). But see Rogers-Bey v. Lane, 896 F.2d 279, 283 (7th Cir.1990) (counsel's advice to defendant not to testify based on erroneous belief that prior convictions could be used to impeach was still reasonable where counsel advanced other reasonable grounds for not testifying). There may be numerous reasons to support the advice by counsel to a defendant not to testify. See, e.g., Schrier, 347 N.W.2d at 663-64 (counsel did not want to jeopardize expected verdict of acquittal); People v. Reed, 57 Ill.App.3d 533, 15 Ill.Dec. 192, 373 N.E.2d 538, 543-44 (1978) (belief that prosecution failed to establish guilt beyond a reasonable doubt and that defendant would not make a good witness based on simulated examination and a prior false statement made by the defendant). In this case, trial counsel intended to call Jose to testify, but changed his mind just prior to the planned testimony and advised Jose that it would be bad for him to testify. Trial counsel gave this advice after learning from Jose that Sylvester told him he intended to have sexual intercourse with Marie and wanted Jose to drive him some place so he could do so. [1] Trial counsel believed this revelation supported the specific intent to subject the victim to sexual abuse element of the kidnapping charge. See Iowa Code § 710.1 (there are five alternatives to the intent element of kidnapping, including the intent to subject the person to sexual abuse). While the reason for the advice given by trial counsel not to testify falls within the parameters of trial strategy, trial counsel failed to gather all of the necessary information about Jose's revelation and failed to advise Jose of the consequences of not only testifying, but also the consequences of not testifying. Jose was only told by his trial counsel that it would be bad to testify. It is important to recognize that trial counsel only learned from this last minute disclosure that Sylvester wanted Jose to drive him some place so he could engage in sexual intercourse with Marie. However, Jose gave no further indication to his trial counsel whether or not Sylvester was talking about consensual or nonconsensual intercourse. Trial counsel arrived at a conclusion without gathering all the necessary facts. Clearly, Marie's intentions regarding sexual intercourse were as important as those of Jose and the other two men. If Sylvester's intentions were to engage in consensual intercourse, the last minute revelation to trial counsel would not be adverse to Jose's defense. Moreover, any damage caused by the last minute revelation would have only been cumulative to Marie's testimony. See Chambers, 907 F.2d at 831 (damaging testimony was merely cumulative of ... the State's witnes[s'] testimony). Marie had already testified Jose placed her in a headlock and forcibly transported her to the area where the sexual intercourse occurred. Moreover, trial counsel did not only fail to explain the consequences of testifying, he failed to explain the consequences of not testifying. Marie's testimony at trial established all the elements of the crimes of kidnapping and sexual abuse, and trial counsel acknowledged she made a good witness at trial. Without any witness to challenge her testimony due to the lack of pretrial investigation, Jose's own testimony was his only real chance to assert a defense. When Jose followed the advice of his counsel, he lost his opportunity to present his side of the story in a case which essentially came down to the credibility of one of two stories. Under the circumstances, trial counsel performed deficiently.
When the performance of counsel relates to the failure to present evidence, we must consider what bearing the evidence may have had on the outcome of the case. If trial counsel would have investigated the 7-Eleven store clerk in this case, he would have discovered a witness who could have disputed Marie's contention that she was held in a headlock while at the store, or at least could have produced testimony that nothing unusual was observed. More importantly, if Jose would have testified, he could have offered his side of the story. This testimony would have not only included Jose's version of the voluntary nature of his encounter with Marie, but evidence that the men were very new to the area and unlikely aware of the location of the park and the secluded area where the sexual intercourse occurred. This testimony would have been consistent with Jose's claim that Marie provided directions to the park. Additionally, the fact finder would have heard that Marie was acting very friendly towards the men prior to leaving the bar with them, and made inviting statements to them. Although Marie was a credible witness on the witness stand, the corroborative evidence offered by the State to support her testimony was essentially limited to some minor redness or bruising on her back, neck, and chest, and observations by police officers of the matted-down grass in the area where the sexual intercourse occurred. Yet, this same evidence is not inconsistent with Jose's version of the events. Considering the combined effect of both errors by counsel, we conclude by a preponderance of the evidence that there is a reasonable probability the result of the trial would have been different if the errors would not have occurred. Once counsel failed to investigate, the presentation of Jose's version of events became critical to a defense. When both failed to occur, Jose was essentially provided with no defense at all. The fact finder only had Marie's story to apply to the elements of the crime. We recognize the prejudice standard is perhaps more easily stated than applied. It is, of course, difficult to discern whether a reasonable probability exists that the result of a trial would have been any different without ineffective assistance of counsel. Yet, the nature of the ineffective assistance as well as the nature and strength of the evidence produced by the State at trial are important factors in making this decision. See State v. Bayles, 551 N.W.2d 600, 610 (Iowa 1996) (no prejudice could result from counsel's alleged deficient performance as the evidence of defendant's guilt was overwhelming); Bumpus, 459 N.W.2d at 627 (same). It becomes easier to doubt the fundamental fairness of a trial, and to question the reliability of the verdict, when the evidence by the State is not overwhelming and the errors by counsel are significant. Here, the evidence which counsel failed to produce at trial would have challenged the very core of the State's case, and, when considered, tends to put the State's case in a much different light. Moreover, the ineffective assistance regarding the right to testify impacted a fundamental right. The importance of this right was heightened when the evidence of guilt primarily centered on a single witness. Under the circumstances, our confidence in the outcome of the trial is undermined when we consider it concluded without an opportunity for the fact finder to hear the accused's version of the events. The fundamental fairness in a trial which would take place without such evidence becomes clouded in doubt. If both sides of this case would have been presented, we believe it is at least reasonably probable that the fact finder would have found reasonable doubt. Because we find Jose was prejudiced by his trial counsel's deficient performance in failing to conduct investigative work in support of Jose's defense and to permit Jose to testify, we need not determine whether the remainder of Jose's ineffective assistance claims have merit. Thus, we will not address Jose's claims involving his waiver of a jury trial and his trial counsel's cross-examinations and trial preparation. However, we will discuss Jose's ineffective assistance of interpreter and the right to consular access claims because of their potential impact on criminal defense attorneys representing foreign national clients.
Trial counsel may breach a duty owed to his client through the ineffective assistance of an interpreter. When an intermediary, such as an interpreter, is the only means of communication for a defendant and his attorney, any deficient conduct on the part of the intermediary can be imputed to the attorney as ineffective assistance. Chacon v. Wood, 36 F.3d 1459, 1464 (9th Cir.1994). Inaccurate and incomplete translations of attorney-client communications by an interpreter are an example of deficient conduct by an intermediary giving rise to an ineffective assistance of trial counsel claim. Id. at 1464-65. As Jose's primary interpreter, Ray Cota was Jose's main channel of communication with his trial counsel. Cota abused his powers as an officer of the court by acting outside the scope of his duties as a court-appointed interpreter. He falsely held himself out to be a licensed private investigator, accepting money from Martin Ledezma to investigate Jose and Gonzalo's cases. Cota interfered with the attorney-client relationship by directly answering Jose's questions concerning the case instead of communicating the inquiries to trial counsel. In addition, Cota provided extensive legal advice to Jose, telling him the prosecution's case was weak because it did not have sufficient evidence for a conviction. Cota also convinced Jose he could arrange for Jose's deportation to Mexico, claiming he had a special relationship with the court. Although it is not necessary for us to decide whether Cota's conduct may be imputed to trial counsel in this case, we do not condone such misconduct by court-appointed interpreters. Interpreters engaging in similar conduct may, in essence, deprive defendants of their constitutional right to an interpreter. See Ko v. United States, 722 A.2d 830, 834 (D.C.1998); State v. Gonzales-Morales, 138 Wash.2d 374, 979 P.2d 826, 828 (1999). Without a competent and impartial interpreter to assist defendants in their understanding of criminal proceedings, defendants will be unable to adequately confront witnesses or present a defense. See Chacon, 36 F.3d at 1464; Ko, 722 A.2d at 834; Aleman v. State, 957 S.W.2d 592, 594 (Tex.App.1997); Gonzales-Morales, 979 P.2d at 828. This could have serious consequences, and may constitute grounds for postconviction relief even if counsel's performance was otherwise effective. See Chacon, 36 F.3d at 1464.
The postconviction court found trial counsel breached another essential duty when he failed to inform Jose of his right to consular access under Article 36 of the Vienna Convention. In fact, the court found Article 36 conferred a private enforceable right on Jose to contact the Mexican Consulate officials once he was detained by the Sioux City police. We do not decide today whether the Convention actually creates an individual right to notification. Furthermore, we do not decide whether trial counsel renders ineffective assistance if he fails to inform a client who is a foreign national of the right to consular access. However, we address this provision because we believe all criminal defense attorneys representing foreign nationals should be apprised of Article 36. The Vienna Convention on Consular Relations is a multilateral treaty enacted for the purpose of provid[ing] the right of consular notification and access when a national of a member state is arrested or otherwise detained in another member state. Howard S. Schiffman, Breard and Beyond: The Status of Consular Notification and Access under the Vienna Convention, 8 Cardozo J. Int'l & Comp. L. 27, 28 (2000) [hereinafter Schiffman]; see Linda Jane Springrose, Note, Strangers in a Strange Land: The Rights of Non Citizens under Article 36 of the Vienna Convention on Consular Relations, 14 Geo. Immigr. L.J. 185, 187 (1999) [hereinafter Springrose]. Article 36 of the Vienna Convention is the provision which specifically addresses communication with the foreign national. It provides, in pertinent part: 1. With a view to facilitating the exercise of consular functions relating to nationals of the sending State: .... (b) if he so requests, the competent authorities of the receiving State shall, without delay, inform the consular post of the sending State if, within its consular district, a national of that State is arrested or committed to prison or custody pending trial or is detained in any matter. Any communication addressed to the consular post by the person arrested, in prison, custody or detention shall also be forwarded by the said authorities without delay. The said authorities shall inform the person concerned without delay of his rights under this sub-paragraph. Vienna Convention on Consular Relations, Apr. 24, 1963, art. 36, 21 U.S.T. 77, 101 (emphasis added). Some courts have interpreted the language of his rights to impliedly create a private enforceable right of action in an individual. See United States v. Carrillo, 70 F.Supp.2d 854, 859 (N.D.Ill.1999); United States v. Hongla-Yamche, 55 F.Supp.2d 74, 77-78 (D.Mass.1999). At least one other court has cited two additional factors supporting the creation of a private enforceable right: (1) pre-adoption statements by conference participants expressing the desire to safeguard a foreign national's individual right to notification; and (2) other signatory nations recognizing individual notification rights, such as Mexico, Argentina, Canada, and Paraguay. See United States v. Rodrigues, 68 F.Supp.2d 178, 182-83 (E.D.N.Y.1999). However, many courts have found the Vienna Convention's preamble to indicate the drafters' intent not to provide an individual right, as the preamble explicitly states the Vienna Convention does not intend to benefit individuals. United States v. Lombera-Camorlinga, 206 F.3d 882, 885 (9th Cir.2000); United States v. Li, 206 F.3d 56, 62 (1st Cir.2000); Carrillo, 70 F.Supp.2d at 859; Hongla-Yamche, 55 F.Supp.2d at 77. Courts that have addressed the issue of consular notification are split on whether Article 36 actually creates an individual enforceable right. Compare Breard v. Greene, 523 U.S. 371, 376, 118 S.Ct. 1352, 1355, 140 L.Ed.2d 529, 538 (1998) (Vienna Convention arguably confers an individual right); United States v. Briscoe, 69 F.Supp.2d 738, 745 (D.V.I.1999) (Article 36 confers an individual right); Hongla-Yamche, 55 F.Supp.2d at 78 (same); United States v. Alvarado-Torres, 45 F.Supp.2d 986, 989 (S.D.Cal.1999) (same), with United States v. Tapia-Mendoza, 41 F.Supp.2d 1250, 1253 (D.Utah 1999) (doubting Article 36 confers an individual right); Kasi v. Virginia, 256 Va. 407, 508 S.E.2d 57, 64 (1999) (Article 36 does not create an individual right). The majority of courts assume, without deciding, such a right does exist, and then hold the requested remedy is inappropriate or the defendant did not prove he was prejudiced by the alleged Article 36 violation. See United States v. Santos, 235 F.3d 1105, 1107 (8th Cir.2000); United States v. Chaparro-Alcantara, 226 F.3d 616, 621 (7th Cir.2000); United States v. Cordoba-Mosquera, 212 F.3d 1194, 1196 (11th Cir.2000); Lombera-Camorlinga, 206 F.3d at 885; Li, 206 F.3d at 60; United States v. Martinez-Villalva, 80 F.Supp.2d 1152, 1156 (D.Colo.1999); Carrillo, 70 F.Supp.2d at 859; Rodrigues, 68 F.Supp.2d at 185. Courts have consistently held the exclusion of evidence or dismissal of charges are not remedies afforded by the Vienna Convention. See Chaparro-Alcantara, 226 F.3d at 621-22; Lombera-Camorlinga, 206 F.3d at 885; Carrillo, 70 F.Supp.2d at 861; Rodrigues, 68 F.Supp.2d at 185. Those courts that have found the existence of an individual right have often relied upon Supreme Court dicta in Breard v. Greene . In Breard, the Court noted that Article 36 arguably confers on an individual the right to consular assistance following arrest. Breard, 523 U.S. at 376, 118 S.Ct. at 1355, 140 L.Ed.2d at 538. However, the Court dismissed the habeas corpus petition, finding the petitioner could not prove the Article 36 violation resulted in prejudice. Id. at 377, 118 S.Ct. at 1355, 140 L.Ed.2d at 538. Jurisdictions addressing alleged Article 36 violations have similarly required the individual to demonstrate he was prejudiced by the violation. See Cordoba-Mosquera, 212 F.3d at 1196; State v. Cevallos-Bermeo, 333 N.J.Super. 181, 754 A.2d 1224, 1227-28 (2000). At the postconviction trial, Salvador A. Cicero, an officer of the Mexican Consulate, detailed how a foreign national defendant would benefit from exercising his consular rights. Cicero testified that a Mexican consular officer would explain the significant differences between the American and Mexican criminal justice systems, as well as the severity of the charges. An officer would be available to address the general obstacles presented by cultural barriers, and to monitor the case and assist with interpretation. An officer would help the foreign national to obtain a greater understanding of the charges and maximum sentence, which knowledge would aid the foreign national when considering plea offers and the presentation of his defense. When representing a foreign national criminal defendant, counsel has a duty to investigate the applicable national and foreign laws. See Strickland, 466 U.S. at 690, 104 S.Ct. at 2066, 80 L.Ed.2d at 695(counsel has duty to investigate all relevant laws and facts). Trial [c]ounsel for foreign nationals should always inquire whether the client has been made aware of his right to contact consul, and, if not, [counsel] should advise hi[s] [client] of this right. Springrose, at 188-89. We believe all criminal defense attorneys representing foreign nationals should be aware of the right to consular access as provided by Article 36, and should advise their clients of this right. Criminal defense attorneys are not equipped to provide the same services as the local consulate. Id. at 195. Consular officials can eliminate false understandings and prevent actions which may result in prejudice to the defendant. Id. Thus, consular access may very well make a difference to a foreign national, in a way that trial counsel is unable to provide. Id.
Lastly, before we can grant Jose's application for postconviction relief, we must find he preserved error on his ineffective assistance of trial counsel claim. Jose did not raise the issue of trial counsel's ineffective assistance in his direct appeal of his conviction. However, we have held the ineffective assistance of appellate counsel constitutes a sufficient reason for an applicant not raising an issue on direct appeal. Berryhill, 603 N.W.2d at 245; Osborn, 573 N.W.2d at 921; Washington, 304 N.W.2d at 234; see Iowa Code § 822.8 (1995). For Jose to have preserved error on his ineffective assistance of trial counsel claim, we must find his appellate counsel ineffective for failing to raise this issue on direct appeal. We find Jose's appellate counsel performed deficiently when she advised Jose that he could raise the ineffective assistance of trial counsel issue in postconviction relief proceedings. This statement was a misstatement of the law under Iowa Code section 822.8. Any reasonably competent attorney engaged in criminal appellate practice would find appellate counsel's advice to be clearly erroneous. Because we held Jose's ineffective assistance of trial counsel claim to be successful, appellate counsel prejudiced Jose by not bringing the claim on direct appeal. Thus, Jose adequately preserved error.