Opinion ID: 1575903
Heading Depth: 2
Heading Rank: 3

Heading: The Inclusion of an Aiding and Abetting Jury Instruction.

Text: Maxwell claims he was denied effective assistance of counsel when his trial counsel did not object to the aiding and abetting jury instruction. Claims of ineffective assistance of counsel have their basis in the Sixth Amendment to the United States Constitution and thus, are reviewed de novo. Nitcher, 720 N.W.2d at 553. Even though these claims are generally preserved for post-conviction relief, when presented with a sufficient record this court will address such a claim. Id. In this case, the record is sufficient to permit a ruling. In order to succeed on a claim of ineffective assistance of counsel, a defendant must prove: (1) counsel failed to perform an essential duty; and (2) prejudice resulted. Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 2064, 80 L.Ed.2d 674, 693 (1984); accord Nitcher, 720 N.W.2d at 553. Unless a defendant makes both showings, it cannot be said that the conviction or death sentence resulted from a breakdown in the adversary process that renders the result unreliable. Strickland, 466 U.S. at 687, 104 S.Ct. at 2064, 80 L.Ed.2d at 693. In other words, [i]neffective assistance under Strickland is deficient performance by counsel resulting in prejudice, with performance being measured against an `objective standard of reasonableness,' `under prevailing professional norms.' Rompilla v. Beard, 545 U.S. 374, 380, 125 S.Ct. 2456, 2462, 162 L.Ed.2d 360, 371 (2005) (internal citations omitted). Under the first element, we measure counsel's performance against the standard of a reasonably competent practitioner. Ledezma v. State, 626 N.W.2d 134, 142 (Iowa 2001). In doing so, we start with the presumption that the attorney performed his duties in a competent manner. Id. In making the determination of whether an attorney failed to perform an essential duty, this court avoid[s] second-guessing and hindsight. Id. We scrutinize each claim based on the totality of the circumstances. Id. Prejudice exists where the claimant proves by a reasonable probability that, but for the counsel's unprofessional errors, the result of the proceeding would have been different. Bowman v. State, 710 N.W.2d 200, 203 (Iowa 2006). [T]he prejudice prong of the Strickland test does not mean a defendant must establish `that counsel's deficient conduct more likely than not altered the outcome in the case.' A defendant need only show that the probability of a different result is `sufficient to undermine confidence in the outcome.' Id. at 206 (citations omitted). To determine whether prejudice exists we `must consider the totality of the evidence, what factual findings would have been affected by counsel's errors, and whether the effect was pervasive or isolated and trivial.' Id. (citation omitted). Maxwell must prove, by a preponderance of the evidence, both that counsel failed to perform an essential duty and that prejudice resulted. Ledezma, 626 N.W.2d at 142. However, if the claim lacks the necessary prejudice, we can decide the case on the prejudice prong of the test without deciding whether the attorney performed deficiently. Id. As the State points out, [t]he parties agree that there was no evidence under which Maxwell could be found guilty as an aider and abetter. True, the district court should not have given the aiding and abetting instruction when no evidence of another person's involvement was presented at the trial. See State v. Mays, 204 N.W.2d 862, 864 (Iowa 1973); see also State v. Smith, 129 Iowa 709, 717, 106 N.W. 187, 190 (1906) (finding the giving of a jury instruction which has no basis in the evidence is reversible error). However, even if we assume defense counsel failed to perform an essential duty by failing to object to the instruction, we are not convinced Maxwell has established the prejudice prong of Strickland. Maxwell argues the aiding and abetting instruction created prejudice because it misstated his culpability and permitted the jury to speculate about possible facts not presented at trial. Maxwell relies on State v. Jackson, 587 N.W.2d 764, 766 (Iowa 1998) and Mays, 204 N.W.2d at 864, to support his argument. This reliance is misplaced because both Jackson and Mays relate to a defendant challenging jury instructions on direct appeal. See Jackson, 587 N.W.2d at 766 (reviewing the defendant's direct appeal of the district court's giving of a joint criminal conduct jury instruction); Mays, 204 N.W.2d at 865 (reviewing the defendant's direct appeal of the district court's giving of an aiding and abetting jury instruction). We have made it clear that ineffective-assistance-of-counsel claims based on failure to preserve error are not to be reviewed on the basis of whether the claimed error would have required reversal if it had been preserved at trial. State v. Broughton, 450 N.W.2d 874, 876 (Iowa 1990). Rather, a defendant must demonstrate a breach of an essential duty and prejudice. Id. In ineffective-assistance-of-counsel claims the instruction complained of [must be] of such a nature that the resulting conviction violate[s] due process. State v. Hill, 449 N.W.2d 626, 629 (Iowa 1989). When the submission of a superfluous jury instruction does not give rise to a reasonable probability the outcome of the proceeding would have been different had counsel not erred, in the context of an ineffective-assistance-of-counsel claim, no prejudice results. State v. Tejeda, 677 N.W.2d 744, 755 (Iowa 2004). Further, when there is no suggestion the instruction contradicts another instruction or misstates the law there cannot be a showing of prejudice for purposes of an ineffective-assistance-of-counsel claim. Id. Under the facts contained in this record, we do not believe the aiding and abetting instruction misstated Maxwell's culpability in a material way. Aiding and abetting occurs when a person actively participates or in some manner encourages the commission of a crime prior to or at the time of its commission. State v. Tangie, 616 N.W.2d 564, 574 (Iowa 2000). Knowledge of the crime is insufficient in and of itself to prove aiding and abetting. Id. Likewise, presence at the scene of the crime, without more, is not enough to uphold a finding of guilty by aiding and abetting. Id. Maxwell was the only person present at the scene of the crime. Although another person owned the vehicle, the record is devoid of any evidence that would allow the jury to find Maxwell encouraged anyone to possess the drugs found in the vehicle or that any of his actions equaled active participation. Under this record, we doubt this instruction had any effect on the jury's decision. As we stated in the prior division of this opinion there was sufficient evidence to support the jury's verdict finding Maxwell guilty of possession of a controlled substance in violation of section 124.401(5). Thus, there was no opportunity for him to be found guilty based on anything other than his own possession of the drugs. Given the overwhelming evidence supporting Maxwell's guilt and the negligible effect the aiding and abetting jury instruction could have had on the verdict, we conclude there was no reasonable probability that, but for counsel's failure to object to the instruction, the result of the proceedings would have been different. See Tejeda, 677 N.W.2d at 755 (finding where the prosecution presents ample evidence of the defendant's guilt and the effect of the superfluous jury instruction is merely speculative, no prejudice results in an ineffective-assistance-of-counsel analysis). Accordingly, Maxwell failed to establish the prejudice prong of the Strickland test. Therefore, he failed to prove his ineffective-assistance-of-counsel claim.