United States v. Gervais (Ken) Ngombwa
Opinion
The Rwandan Genocide is one of the darkest chapters in human history. Over the span of 100 days, an estimated 800,000 people died. At least a million more were displaced. During and shortly after the tragedy, the United States admitted a limited number of refugees from Rwanda with priority given to those who were in the most danger. Among those admitted were Gervais ("Ken") Ngombwa and purported members of his family. The government alleged and proved at trial that his admission, status, and eventual naturalization were based on material falsehoods. And at sentencing, the government proved to the district court's 1 satisfaction that the falsehoods were used to conceal a darker secret: Ngombwa's participation in the Rwandan Genocide.
Ngombwa now alleges he deserves a new trial because his representation was constitutionally deficient and, failing that, he should be re-sentenced because the district court made several errors at sentencing. We disagree and affirm his conviction and sentence.
I.
During the Rwandan Genocide, life and death were tied to one's ethnic background. The decisive fault line was between the Hutus and Tutsis. The former made up 85% of the population; the latter made up roughly 14%.
Relations between the two ethnic groups have historically been fraught. In 1993, major parties representing both ethnicities entered into a power-sharing agreement known as the Arusha Accords. The leader of this power-sharing government, a Hutu, was assassinated in April of 1994. Extremist Hutu groups, already unhappy with the Arusha Accords, seized on this moment. They unleashed a wave of mass murder and violence against both Tutsis and those Hutus who were thought to sympathize with the Tutsis in what is now known as the Rwandan Genocide.
Against this backdrop, Ngombwa, a Hutu, sought refuge in the United States. In June 1994, two months after the outbreak of the Genocide, Ngombwa left Rwanda for a refugee camp in Tanzania. With him were his purported wife, Antoinette Mukakabanda (a Tutsi), and seven minors-only some of whom were his biological children. 2 Ngombwa was flagged for potential resettlement because he was believed to be in a mixed marriage. And in 1998, he began a series of interviews with UN officials, aid workers, and, eventually, a U.S. immigration attache, to assess whether he (and his alleged family) should be granted refugee status in the United States.
Over the course of these interviews, Ngombwa told a number of lies. These falsehoods were designed to enhance the perceived risks if he were to stay in the region. See Sent. Mem. 10-13. For example, he lied that he and Mukakabanda (and her mother) were arrested and beaten in the Rwandan capital. One lie, though, was particularly egregious-and particularly helpful to his claim. At trial, the U.S. immigration attache who interviewed him, Joe Martin, testified that Ngombwa's assertion that he was the brother of a prominent moderate Hutu politician, Faustin Twagiramungu-who was perceived as sympathetic to Tutsis-proved decisive to his refugee claim. On the basis of this false statement and many others, Ngombwa, Mukakabanda, and the seven minors (all of whom were thought to be their children), were resettled in the United States at the end of 1998.
Ngombwa eventually became a citizen of the United States in 2004. When he applied to become a permanent resident in 2001 and a citizen in 2003, he affirmed, among other things, that he never obtained an immigration benefit or entered the United States through fraud or willful misrepresentation. His purported children also gained citizenship through derivative applications. Ngombwa's naturalization was not to be the last time he dealt with immigration authorities, however.
Many years after Ngombwa's naturalization, Department of Homeland Security ("DHS") investigators received a tip. It was not a run-of-the mill tip nor was it from a run-of-the-mill source. Prosecutors in Rwanda informed DHS that they had credible information that a perpetrator of the Rwandan Genocide was residing in the United States. That tip sparked an investigation-marked by numerous interviews in Rwanda over the span of three years and extensive document review-that led to Ngombwa's doorstep in Cedar Rapids, Iowa.
In 2014, Ngombwa was interviewed twice by DHS investigators. By this time, investigators had learned that Ngombwa had twice been convicted in absentia by Rwandan tribal courts (known as "GACACA courts") for participation in the Rwandan Genocide. He had also been named in an indictment in the International Criminal Tribunal for Rwanda as a participant in the Genocide. And around the time DHS first spoke to him in June 2014, he was indicted by Rwandan prosecutors for genocide. During his interviews with DHS investigators, Ngombwa recanted many things he initially told U.S. and aid officials in the Tanzanian refugee camp. Curiously, he maintained that he never said he was related to the moderate Hutu politician Twagiramungu-a fact U.S. immigration officials found critical to his refugee claim.
In October 2014, shortly after the last time Ngombwa spoke with DHS investigators, a grand jury returned a four-count indictment against Ngombwa. Three counts alleged Ngombwa's unlawful procurement of naturalization and conspiracy to commit the same.
See
The district court granted Ngombwa's request to merge two counts of naturalization fraud for sentencing purposes, which meant that he would be sentenced on one count of naturalization fraud, one count of conspiracy to do the same, and one false-statement count. At sentencing, the district court heard evidence about Ngombwa's participation in the Rwandan Genocide. Largely driven by this evidence, Ngombwa's Guideline range was set at 100-125 months imprisonment. The district court eventually imposed an above-Guidelines sentence of 180 months.
Ngombwa now appeals the denial of his motion for a new trial and his sentence. We examine each in turn.
II.
Our first task is to ensure that review of Ngombwa's IAC claim is proper at this stage because "[g]enerally [ ] [IAC] claims are better left for post-conviction proceedings."
United States v. Long
,
In this case, "the district court held an evidentiary hearing at which it allowed [the defendant] to present evidence regarding the alleged ineffective assistance of counsel."
See
United States v. Orr
,
To succeed on an IAC claim, a party "must show: (1) trial counsel's performance was so deficient as to fall below an objective standard of the customary skill and diligence displayed by a reasonably competent attorney, and (2) trial counsel's deficient performance prejudiced the defense."
Long v. United States
,
On appeal, Ngombwa's claim is narrow: he believes his counsel was ineffective for failing to contact and interview five of his family members. "In any ineffectiveness case, a particular decision not to investigate must be directly assessed for reasonableness in all the circumstances, applying a heavy measure of deference to counsel's judgments."
Strickland v. Washington
,
Here, there was more than a "reasonable basis" for trial counsel's decision. Counsel decided not to investigate the family members of Ngombwa because "he determine[d] that any potential information an investigation might uncover would have limited"-indeed, in this case, detrimental-"value [and] could be easily attacked on cross-examination."
United States v. Mohammed
,
In sum, the district court did not abuse its discretion in denying a new trial for Ngombwa.
III.
As to Ngombwa's sentence, he argues that we should remand for four distinct reasons, and we consider each argument separately.
A.
Ngombwa's first argument is a procedural one with many moving parts. The first piece is that Ngombwa believes his charges, which capture conduct ranging from 1998 to 2014, were improperly grouped by the district court for sentencing. The grouping rules set forth by the Guidelines instruct sentencing courts to bundle "[a]ll counts involving substantially the same harm" in order to calculate a single offense level.
See
USSG § 3D1.2. Given the consequences of this-normally a lower overall offense level-often times a district court's decision
not
to group is challenged.
See, e.g.
,
United States v. Espinosa
,
Here, however, Ngombwa challenges the grouping of his counts because it is the first step towards the application of another part of the Guidelines he finds objectionable: the one-book rule. The one-book rule holds that one version of the Guidelines should be used when sentencing multiple counts spanning many years.
See
USSG § 1B1.11. Practically speaking, this is usually the edition of the Guidelines that is in effect at the time of sentencing.
4
Our precedent has approved of the one-book rule only when applied to grouped offenses.
See
United States v. Anderson
,
We first examine his grouping argument before moving to his constitutional challenge. Factual findings made by the district court are reviewed for clear error while application of the Guidelines-including which version should be applied-is something reviewed de novo.
Anderson
,
1.
As applicable here, the Guidelines define "counts involving substantially the same harm"-e.g., those counts which should be grouped-in part as those that "involve the same victim." USSG § 3D1.2(b). Ngombwa believes his counts were improperly grouped because his conduct affected different "victims." He draws support from the Guidelines application notes. The application notes to § 3D1.2 state that certain crimes have "no identifiable victims."
Ngombwa's argument is unconvincing. The lie he told DHS investigators in 2014 was meant to prevent them from enforcing the immigration laws. He lied specifically about the most crucial part of his resettlement application: his purported relationship with Twagiramungu. His lie to investigators was simply another act in the same play-one that continued to "corrupt[ ] the established processes of immigration."
United States v. Worku
,
Ngombwa responds by citing cases which suggest violations of
Without a doubt,
2.
Next, Ngombwa argues that application of the one-book rule to his grouped offenses violates the Constitution's Ex Post Facto Clause. Ngombwa's naturalization fraud counts cover conduct up to 2006. His false statement count, however, occurred in October 2014. So, under the one-book rule, the district court used the 2015 version of the Guidelines, the version in effect at sentencing, for all counts.
7
Under the 2015 Guidelines, the district court applied USSG § 2L2.2(b)(4)(B)(ii) -a section which was added to the Guidelines in 2012 "to increase the [G]uideline range for offenders violating immigration laws to conceal the violation of human rights."
Worku
,
To start, we have already rejected this argument in
Anderson
.
Ngombwa asks us to follow
United States v. McMillian
,
At bottom, the rule set forth in
Anderson
controls: application of the one-book rule to grouped offenses does not
violate the Ex Post Facto Clause. And we have no reason to depart from that rule here. While Ngombwa may see unfairness in the one-book rule, "it was not the amendments to the Sentencing Guidelines that disadvantaged [Ngombwa], it was [his] election to continue [his] criminal activity."
United States v. Kumar
,
B.
Ngombwa next contends that the district court's upward departure from Criminal History Category I to IV under USSG § 4A1.3 for underscored criminal history was improper. We review the district court's decision to depart upwards for abuse of discretion and the factual findings underpinning that decision for clear error.
United States v. Peeples
,
Ngombwa's sole contention is that the district court improperly relied on the GACACA court convictions to depart upward because those courts do not afford due process and procedural rights. We need not wade into those waters, however.
To its credit, the district court independently assessed the voluminous evidence before it to make its own judgment as to whether Ngombwa participated in the Rwandan Genocide. It found "that the eyewitness reports of Defendant's acts of violence-bolstered by his convictions in two separate [GACACA] courts-constitute 'reliable information' indicating that the Defendant's classification in Criminal History Category I under-represents the severity of his criminal history." While the district court noted that the GACACA court convictions were consistent with its own independent judgment, it did not rely solely on the GACACA court convictions to find under represented criminal history.
The district court did, however, use the GACACA court convictions to assess which precise criminal history category to move up to-a task distinct from finding under represented criminal history in the first instance. The GACACA court convictions were proxies. They were an "attempt to assign hypothetical criminal history points to the conduct that did not result in convictions, and then determine what the appropriate criminal history category would be."
United States v. Azure
,
In short, the district court did not abuse its discretion in using the GACACA court convictions as proxies to assess which criminal history category to move to.
C.
The final two challenges concern the evidence considered at sentencing. First, Ngombwa argues that witness statements attesting to Ngombwa's participation in the Rwandan Genocide-which were gathered by DHS investigators in Rwanda-should not have been considered at sentencing because they are "unreliable
hearsay." As Ngombwa acknowledges, "the Rules of Evidence expressly do not apply to ... sentencing proceedings."
United States v. Sheridan
,
When hearsay used at sentencing is corroborated, we have traditionally found such evidence to be sufficiently reliable.
See, e.g.
,
United States v. Garcia
,
Ngombwa does not contest the district court's findings on the level of corroboration buttressing these witness statements. We reject the notion, then, that "there are no guarantees as to the reliability ... of the [witness statements]." The witness statements in this case were sufficiently corroborated by each other, documentary evidence, and the investigators' own personal observations.
See
United States v. Grandon
,
D.
The last challenge to Ngombwa's sentence concerns the testimony of an expert via videolink from the United Kingdom at Ngombwa's sentencing proceedings. Ngombwa believes there is no way to enforce a binding oath on a non-citizen not present in the United States and thus no way to guarantee that the expert was telling the truth. As we have noted above, sentencing differs from trial: "a sentencing judge may appropriately conduct an inquiry broad in scope, largely unlimited either as to the kind of information [she] may consider, or the source from which it may come."
Cross
,
E.
Finally, while the district court did not procedurally err in determining Ngombwa's Guidelines range, even if it did, the district court made clear that it would have handed down the same sentence after consideration of the
IV.
For the foregoing reasons, we affirm Ngombwa's conviction and his sentence.
The Honorable Linda R. Reade, United States District Judge for the Northern District of Iowa.
It is unclear whether Ngombwa was married to Mukakabanda at the time he applied for refugee status. Additionally, it has emerged that three of the minors who were thought to be his biological children are, in fact, not.
In an affidavit, trial counsel maintains that Ngombwa agreed with this strategy.
Cf.
Strickland
,
The one notable exception to this is if the version of the Guidelines in effect at the time of sentencing recommends a higher advisory guidelines range than the version in effect at the date of the most recent count.
See
Peugh v. United States
,
Whether an Ex Post Facto violation occurs when the one-book rule is applied to counts which are not grouped remains an open question in this Circuit.
Even if there were ambiguity as to who the exact victim of Ngombwa's false statement was, the Guidelines instruct that it "should be resolved in accordance with the purpose of this section ... to identify and group 'counts involving substantially the same harm.' "
Ngombwa does not suggest there is a relevant, material difference between the version of the Guidelines in effect at sentencing and the one that was in effect at the date of his false statement.
United States v. Qualls
,
The district court also factored in a then-pending state burglary charge. Ngombwa does not challenge that on appeal.
That is not to say, however, that uncorroborated hearsay is inappropriate at sentencing. We have said that such hearsay may be used at sentencing if, in addition to "possess[ing] sufficient indicia of reliability," "the defendant has the opportunity to respond to and rebut the testimony."
Sheridan
,
The district court also credited investigators for taking "careful steps to ensure the credibility of the witness accounts," including by "conduct[ing] interviews in an open-ended fashion" and keeping witnesses "separated during the interview period to prevent collusion."
See
United States v. Casamento
,
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee v. Gervais (Ken) NGOMBWA, Defendant-Appellant
- Cited By
- 13 cases
- Status
- Published