Guillermo Hernandez Ruiz v. State of Iowa
Guillermo Hernandez Ruiz v. State of Iowa
Opinion
This case presents the question whether bad advice from an immigration attorney to a client to try to get a driver's license, which triggered a criminal investigation and ultimately a conviction of the client for a previously committed fraudulent practice, can be grounds under the Sixth Amendment or article I, section 10 for setting aside that conviction. As discussed herein, we conclude that no right to counsel had attached when the client went to the driver's license station. This was before any investigation or criminal proceedings had begun. Accordingly, we reverse the district court ruling that granted postconviction relief to the client and remand for further proceedings consistent with this opinion.
I. Facts and Proceedings.
Guillermo Hernandez Ruiz is a native and citizen of Mexico. He entered the United States without permission in November of 1999. After entering the United States, Hernandez Ruiz obtained vehicle titles in his name using a false social security number that did not belong to him.
On November 3, 2010, the Department of Homeland Security initiated removal proceedings against Hernandez Ruiz based on section 212(a)(6)(A)(i) of the Immigration and Nationality Act.
See
*437
On February 28, 2011, Said filed an application for cancellation of removal with the United States Citizenship and Immigration Service (CIS) on Hernandez Ruiz's behalf, indicating that Hernandez Ruiz had children who were American citizens who would suffer hardship if he were deported. See id . § 1229b(b)(1). 2 CIS received the application on March 1. As a result, Hernandez Ruiz was able to obtain an Employment Authorization Document (EAD) and valid social security number.
That day, Hernandez Ruiz went to the Ankeny driver's license station of the Iowa Department of Transportation (DOT) and attempted to use his EAD and social security number to get a driver's license. Before doing so, Hernandez Ruiz met with Said at Said's law office. At that time, Said explained that the EAD and the social security number enabled Hernandez Ruiz to obtain a driver's license and if he wanted to drive, he had to have a license. Said did not inquire if Hernandez Ruiz had previously registered vehicles with a fraudulent social security number or advise of the risk that the DOT would discover prior fraudulent titling even though he was aware of this risk. Additionally, Said did not inform Hernandez Ruiz that he did not need a license if he wasn't going to be driving. In fact, Said testified he likely instructed Hernandez Ruiz to get a license. 3
When Hernandez Ruiz presented his documentation at the Ankeny driver's license station, a clerk ran it through the system and found that vehicles had been *438 titled under the same name and date of birth but with a different social security number. Hernandez Ruiz admitted to the clerk that he had previously titled and registered vehicles under a different social security number. The clerk copied Hernandez Ruiz's documents and tried to get hold of a DOT investigator but was unable to do so at that time. She sent Hernandez Ruiz away without a driver's license and turned over the materials to an investigator a few minutes later.
Meanwhile, Hernandez Ruiz spoke to Said about what had happened. Said advised him that he had three options: (1) go back to the DOT by himself and risk being charged with a felony; (2) have Said contact a DOT investigator and then return to the DOT with Said, where he would be charged with an aggravated misdemeanor (which would be pled down to a serious misdemeanor); or (3) consult with another attorney. Said did not advise Hernandez Ruiz that he was not obligated to return to the DOT or obtain a driver's license. Hernandez Ruiz elected to have Said contact DOT Investigator Don Sharr and set up a time for the three of them to meet. On March 2, Hernandez Ruiz completed a fee contract with Said for this representation.
On March 9, Hernandez Ruiz and Said met with Investigator Sharr at the DOT. During the meeting, Hernandez Ruiz signed a voluntary statement admitting several instances of registering cars under a false social security number. Because of Hernandez Ruiz's candor, Sharr decided to charge Hernandez Ruiz with one count of fraudulent practices in the third degree in violation of Iowa Code section 714.11, an aggravated misdemeanor.
See
As a result of this conviction, on September 6, 2013, the Department of Homeland Security filed a motion to pretermit Hernandez Ruiz's application for cancellation of removal, urging that fraudulent practices in the fourth degree was a crime involving moral turpitude rendering Hernandez Ruiz ineligible for relief. See 8 U.S.C. § 1229b(b)(1). The immigration court agreed. Consequently, Hernandez Ruiz once again faced deportation.
Hernandez Ruiz retained new counsel and filed an application for postconviction relief on May 29, 2015, alleging he had received ineffective assistance of counsel from Said. The case went to trial on May 31, 2016. On August 29, the district court granted Hernandez Ruiz's application and vacated and set aside his guilty plea and sentence. The court found that
Said breached his essential duty to inform [Hernandez] Ruiz that he did not need to obtain a driver's license and explain to him that he could be charged with a crime knowing that the DOT was investigating matters of this sort and that the charge could have an adverse impact on his immigration status. His failure to provide this advice placed [Hernandez] Ruiz into a situation resulting in the initiation of criminal proceedings. [ 4 ]
The court also rejected the State's argument that the right to counsel had not attached. The State appealed, and we retained the appeal.
*439 II. Standard of Review.
Our review of postconviction-relief proceedings is typically for correction of errors at law.
Diaz v. State
,
III. Analysis.
The State seeks reversal of the district court's ruling on the ground that no constitutional right to counsel had attached at the time of Said's alleged ineffective assistance.
See
State v. Dudley
,
A. The Sixth Amendment Right to Counsel.
The Sixth Amendment provides, "In all criminal prosecutions, the accused shall enjoy the right ... to have the Assistance of Counsel for his defence." U.S. Const. amend. VI. The Supreme Court has held the right "does not attach until a prosecution is commenced."
Rothgery v. Gillespie County
,
The rule is not "mere formalism," but a recognition of the point at which "the government has committed itself to prosecute," "the adverse positions of government and defendant have solidified," and the accused "finds himself faced with the prosecutorial forces of organized society, and immersed in the intricacies of substantive and procedural criminal law."
a criminal defendant's initial appearance before a judicial officer, where he learns the charge against him and his liberty is subject to restriction, marks the start of adversary judicial proceedings that trigger attachment of the Sixth Amendment right to counsel.
At the time of Hernandez Ruiz's counsel's alleged breach, no prosecution
*440
had commenced because no "adversary judicial criminal proceedings" had been initiated.
See
The district court relied on a federal district court case,
United States v. Bowers
,
Bowers
, however, does not persuade us. First,
Bowers
predates relevant Supreme Court precedents such as
Gouveia
and
Rothgery
.
Bowers
is a federal district court opinion and does not explicitly analyze attachment of the Sixth Amendment right to counsel, whereas
Gouveia
and
Rothgery
are Supreme Court opinions squarely addressing the right-to-counsel attachment issue.
See
State v. Green
,
Second, in
Bowers
the government had already marshalled its forces and was ready and going to prosecute if the defendant did not accept its immunity offer, whereas here, the government had yet to begin any sort of criminal investigation when Hernandez Ruiz's counsel allegedly breached a duty.
See
For these reasons, we find that no Sixth Amendment right to counsel had attached at the time Said advised Hernandez Ruiz regarding getting a driver's license on March 1, 2011.
B. The Article I, Section 10 Right to Counsel. The next question is whether a right to counsel under article I, section 10 had attached.
We first must decide, however, whether article I, section 10 is properly before us. Hernandez Ruiz did not mention it in the district court proceedings. In his postconviction-relief application, Hernandez Ruiz did put an "X" in the box that stated, "The conviction or sentence was in violation of the Constitution of the United States or the Constitution or laws of this state." He argued that he had received ineffective assistance of counsel. The district court cited both the Sixth Amendment and article I, section 10 in its ruling, although its analysis did not distinguish the two.
Under existing precedent, these actions are sufficient to preserve both claims.
See
State v. Coleman
,
Nonetheless, Hernandez Ruiz's answering brief refers only to the Sixth Amendment. The two argument headings are explicit about this:
A. Relevant case law, as well as secondary sources, demand a much less rigid interpretation of attachment of the Sixth Amendment right to counsel.
B. Public policy favors an expansion of the Sixth Amendment right to counsel, given the devastating immigration consequences that counsel's advice will have for Hernandez Ruiz.
This raises the possibility that any article I, section 10 claim, although preserved in the district court, has been waived on appeal. The doctrine of waiver applies to issues not asserted on appeal whereas the doctrine of error preservation applies to issues not asserted or decided in the district court.
See, e.g.
,
State v. Childs
,
However, since Hernandez Ruiz is the appellee and article I, section 10 was preserved below, we have discretion to address it and will proceed to do so. "We have discretion to affirm the district court on grounds raised at trial but not on appeal."
State v. Morris
,
Article I, section 10 of the Iowa Constitution provides, "In all criminal prosecutions, and in cases involving the life, or liberty of an individual the accused shall have a right ... to have the assistance of counsel." Iowa Const. art. I, § 10. The language of the provision indicates the person claiming the right to counsel must be an "accused" in either a criminal prosecution or a case involving that person's life or liberty.
Recently, in Green , we applied article I, section 10 to hold that a defendant did not have a right to counsel during a noncustodial, investigative interview that occurred before the defendant had been arrested or charges had been filed, even though a prosecutor supervised the interview. 896 N.W.2d at 782. We noted, "There was no prosecution or case at the time of Green's interview." Id . We added, "Green was not formally or informally an 'accused.' " Id . at 778.
In the present case, the right to counsel would have had to arise even earlier than in Green . Hernandez Ruiz was not yet under investigation when he went to the Ankeny driver's license station on March 1, 2011. He was just trying to get a driver's license. Only after he provided his social security number, which differed from at least one number he had used in the past, did an investigation ensue. The investigation then led to a criminal charge. In light of Green and the text of article I, section 10, we are unable to conclude that a right to counsel had attached.
C. The Immigration Proceeding.
It is true that Hernandez Ruiz had a pending
federal immigration case
in which Said was representing him. Yet the
*442
article I, section 10 right to counsel does not apply in federal immigration cases. "Stated simply, state constitutions do not control federal action."
State v. Mollica
,
Additionally, federal law does not recognize a Sixth Amendment right to counsel in immigration cases. "In an immigration removal proceeding, an alien does not have a Sixth Amendment right to counsel, only a privilege."
United States v. Telemaque
,
D. Practical Considerations. Furthermore, the right to counsel urged by Hernandez Ruiz presents many practical difficulties. Would the DOT need to make attorneys available at driver's license offices for private consultations before people applied for licenses? Also, because of the danger that setting off a criminal investigation could result in removal from the United States, aliens would potentially have a constitutional right to counsel in a number of circumstances when citizens would not have such a right. Those circumstances wouldn't be limited to driver's licenses.
Bad legal advice can lead to a criminal investigation in a variety of contexts. There are many ways in which a misstep can unwittingly set the authorities on one's trail. Still, it isn't ineffective assistance unless the bad advice occurs in a criminal case or an Iowa case "involving the life, or liberty of an individual."
We also should consider the remedy that Hernandez Ruiz seeks in this case. Normally, the remedy for ineffective assistance is tailored to the constitutional violation.
See, e.g.
,
State v. Allen
,
We are well aware of the severe consequences for aliens whose immigration status is affected by state criminal convictions.
See generally
Diaz
,
IV. Conclusion.
For the foregoing reasons, we reverse the order below and remand with directions to dismiss Hernandez Ruiz's application for postconviction relief.
DISTRICT COURT JUDGMENT REVERSED AND CASE REMANDED.
All justices concur except Appel, Hecht, and Wiggins, JJ., who concur specially.
APPEL, Justice (specially concurring).
I agree with the result in this case. The right to counsel did not attach under the *444 Sixth Amendment or the more expansive version of right to counsel under article I, section 10 of the Iowa Constitution when Guillermo Hernandez Ruiz's lawyer gave him poor advice in his office. At that point, the adversarial power of the government had not focused on him at all. Indeed, no investigation of any kind was underway.
As indicated in my dissenting opinion in
State v. Senn
, I do not agree with a bright-line rule that invariably requires that the state file a piece of paper in a court in order for the right to counsel to attach.
Wiggins and Hecht, JJ., join this special concurrence.
This subsection provides as follows:
(a) Classes of aliens ineligible for visas or admission
Except as otherwise provided in this chapter, aliens who are inadmissible under the following paragraphs are ineligible to receive visas and ineligible to be admitted to the United States:
....
(6) Illegal entrants and immigration violators
(A) Aliens present without admission or parole
(i) In general
An alien present in the United States without being admitted or paroled, or who arrives in the United States at any time or place other than as designated by the Attorney General, is inadmissible.
This subsection provides as follows:
(b) Cancellation of removal and adjustment of status for certain nonpermanent residents
(1) In general
The Attorney General may cancel removal of, and adjust to the status of an alien lawfully admitted for permanent residence, an alien who is inadmissible or deportable from the United States if the alien-
(A) has been physically present in the United States for a continuous period of not less than 10 years immediately preceding the date of such application;
(B) has been a person of good moral character during such period;
(C) has not been convicted of an offense under section 1182(a)(2) [ (includes conviction of a crime of moral turpitude], 1227(a)(2) [includes conviction of a crime of moral turpitude) ], or 1227(a)(3) [ (failure to register and falsification of documents) ] of this title, subject to paragraph (5); and
(D) establishes that removal would result in exceptional and extremely unusual hardship to the alien's spouse, parent, or child, who is a citizen of the United States or an alien lawfully admitted for permanent residence.
8 U.S.C. § 1229b(b)(1).
Hernandez Ruiz had been cited several times in 2009 and 2010 for driving without a license. In October 2010, he had been convicted of driving while under suspension or revocation. Since then, according to his testimony, he had been getting rides and not driving himself.
The district court found a breach of essential duty only with respect to Hernandez Ruiz's first trip to the DOT on March 1, not his second.
The "cases" language of article I, section 10 was added in reaction against the Fugitive Slave Act as amended by Congress in 1850.
In re Johnson
,
During the debates over the Iowa Constitution, doubts were expressed about the constitutionality of using an Iowa constitutional provision to override the Fugitive Slave Act. See 2 The Debates of the Constitutional Convention of the State of Iowa 736-37, 740-41 (W. Blair Lord rep. 1857), publications.iowa.gov/7313/2/The_Debates_of_the_Constitutional_Convention_Vol%232.pdf. For example,
I would be unwilling to put into this constitution what gentlemen have openly avowed is the meaning of this provision; and if these words are not stricken out, this will be the condition of things: that if Congress pass a law upon the subject of the rendition of fugitive slaves, and if that law shall be resisted by a counter law of this State, we shall have assumed to take that subject from the authority of the laws of the United States, to decide upon it for ourselves. That cannot be done without bringing about a collision between these authorities.
Id. at 741.
A supporter of the language responded to this argument in the following manner: "[I]f the provision under consideration should come in conflict with the fugitive slave law, I do not care." Id. at 738.
Yet the fact that the "cases" language in article I, section 10 was originally an effort to nullify certain federal proceedings does not mean we can use it today to dictate the rights that would be conferred in a different kind of federal proceeding. The Supremacy Clause applies. See U.S. Const. art. VI, cl. 2.
Reference
- Full Case Name
- Guillermo Hernandez RUIZ, Appellee, v. STATE of Iowa, Appellant.
- Cited By
- 27 cases
- Status
- Published