IN THE SUPREME COURT OF IOWA
No. 08–1762
Filed November 19, 2010
STATE OF IOWA,
Appellee,
vs.
ROBERT JOSEPH VANCE,
Appellant.
On review from the Iowa Court of Appeals.
Appeal from the Iowa District Court for Black Hawk County,
George L. Stigler, Judge.
The defendant appeals his convictions for possession of precursor
products with the intent to manufacture methamphetamine and driving
while license barred. DECISION OF COURT OF APPEALS AND
JUDGMENT OF DISTRICT COURT AFFIRMED.
Mark C. Smith, State Appellate Defender, and Thomas J. Gaul,
Assistant Appellate Defender, for appellant.
Thomas J. Miller, Attorney General, Darrel L. Mullins, Assistant
Attorney General, Thomas J. Ferguson, County Attorney, and Brad P.
Walz, Assistant County Attorney, for appellee.
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WIGGINS, Justice.
The defendant, Robert Joseph Vance, appeals his convictions for
possession of precursor products with the intent to manufacture
methamphetamine and driving while license barred. The court of
appeals affirmed his convictions and preserved his ineffective-assistance-
of-counsel claim for possible postconviction relief proceedings. The
defendant applied for further review, which we granted. In our review,
we find there was reasonable suspicion to initiate an investigatory stop of
the vehicle the defendant was driving and substantial evidence supports
his conviction for possession of a precursor product with the intent to
manufacture methamphetamine. We also find we cannot decide the
defendant‘s ineffective-assistance-of-counsel claim on direct appeal and
preserve this claim for possible postconviction relief proceedings.
Accordingly, we affirm the decision of the court of appeals and the
judgment of the district court.
I. Background Facts and Proceedings.
At approximately 2:20 a.m. on July 11, 2008, Waterloo police
officer Nicholas Berry was patrolling the South View Estates area of
Waterloo in a marked patrol car. While patrolling the area, Berry passed
an oddly parked red Pontiac Grand Prix on Bristol Road. He ran the
license plate number of the vehicle on his in-car computer and
discovered the registered owner of the vehicle was a female named
Athena Smith. Berry then verified the status of Smith‘s driver‘s license
and learned her license was suspended.
After doing this, Berry remembered he had stopped the vehicle on
December 13, 2007. On that occasion, Smith was operating the vehicle,
and following a search of the vehicle, methamphetamine was found. He
also remembered witnessing another officer stop the same vehicle on
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June 2, 2008. The officer later informed him that Smith had been
operating the vehicle and a male named Robert Vance was a passenger.
Berry also learned the State charged Smith with driving while license
suspended and possession of methamphetamine in relation to the later
stop.
Berry left the area and parked his patrol car on Highway 218,
north of the vehicle‘s location. Approximately fifteen minutes later, he
observed the vehicle turn northbound on Highway 218 and drive past
him. Berry was unable to see who was operating the vehicle or the
number of its occupants. He decided to follow the vehicle and caught up
to it as it was heading northbound. Just as Berry caught up with the
vehicle, it began to exit onto Interstate 380 towards Evansdale. When
the vehicle began to exit, Berry initiated a traffic stop, and the vehicle
slowed to a stop on the off-ramp of Highway 218. Berry admitted the
driver of the vehicle was not driving in a suspicious manner at the time
he initiated the stop. When he initiated the stop, he did not know who
was driving the vehicle.
As Berry exited his patrol car and approached the vehicle, he was
able to observe for the first time that the vehicle‘s only occupant was a
male driver. Berry recognized the driver but could not recall his name.
He made contact with the driver and requested a driver‘s license and
proof of insurance. The driver told Berry he did not have a driver‘s
license and handed him an Iowa nondriver‘s identification card,
identifying himself as Robert Joseph Vance. Vance also said he did not
know if there was an insurance card in the vehicle because he did not
own it. At this point, Berry remembered the connection between Vance
and Smith. Specifically, Berry remembered Vance was a passenger in
Smith‘s vehicle when he observed another officer stop the vehicle on
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June 2. He also remembered Vance did not have a valid driver‘s license
at that time.
Berry returned to his patrol car with Vance‘s identification card
and discovered Vance‘s driver‘s license status was barred. He returned
to the vehicle, informed Vance his license was invalid, and asked him to
step out of the vehicle and walk to the front of his patrol car. Next, he
asked Vance if he had anything illegal in his pockets. Vance removed an
insulin needle, a wooden cooking spoon, and a metal spoon with burn
marks from his pockets. There was a white, powdery substance on both
the wood and metal spoons. Vance began to appear nervous, and Berry
placed him in the back of his patrol car.
Subsequently, Berry returned to the vehicle and, looking through
the front driver‘s side window, observed what appeared to be freshly
manufactured methamphetamine in a cellophane wrapper. As he
reached into the vehicle to remove the wrapper, he immediately noticed a
strong chemical odor. Berry continued to inspect the vehicle visually
until another officer arrived on the scene, at which point he handcuffed
Vance and read the Miranda warning. While handcuffing Vance, Berry
noticed he had a cellular phone earpiece in his ear and discovered his
cellular phone had been on during the duration of the stop. Immediately
after Vance was initially placed in the patrol car, the car‘s audio
equipment captured Vance saying, ―He is going to find the shit,‖ to
someone on the phone.
The Tri-County Drug Task Force was contacted, and Berry was
asked to look in the trunk of the vehicle for a tank that could hold
anhydrous ammonia. Berry opened the trunk and observed an air-
compressor tank that likely contained anhydrous ammonia. Shortly
thereafter, two members of the task force arrived and took over the
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search of the vehicle. Throughout the passenger compartment and trunk
of the vehicle the officers discovered numerous products associated with
the manufacture of methamphetamine, including: a plastic pitcher with
white residue, muriatic acid, saw blades, plastic tubing placed through a
cap, a coffee grinder with reddish/white residue, coffee filters, a
toothbrush, pliers and vice grip tools, stripped lithium batteries,
canisters of Coleman fuel, orange tubing, insulin syringes, a large air-
compressor tank filled with anhydrous ammonia, and a recent receipt for
cold medicine that contained pseudoephedrine. The Iowa Department of
Criminal Investigation later confirmed the wrapper, the metal spoon with
burn marks and white residue, and the plastic pitcher with white residue
all contained methamphetamine.
The State charged Vance with possession of ephedrine and/or
pseudoephedrine, lithium, and anhydrous ammonia with the intent to
manufacture a controlled substance, as well as driving while license
barred. The State also sought to enhance Vance‘s sentencing pursuant
to Iowa Code sections 124.411, 902.8, and 902.9 (2007) due to his status
as a second and habitual offender.
Vance filed a motion to suppress evidence, claiming the State
illegally seized evidence from the vehicle because Berry did not have
reasonable suspicion to stop the vehicle he was operating. The district
court overruled the motion, finding under the totality of the
circumstances it was reasonable for Berry to infer that Smith—the
registered owner whom Berry knew had a suspended license—was
operating the vehicle. Accordingly, the case proceeded to trial.
The jury returned a verdict finding Vance guilty of possession of
ephedrine and/or pseudoephedrine and possession of anhydrous
ammonia with the intent to manufacture methamphetamine as well as
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driving while license barred. The jury returned a verdict of not guilty on
the charge of possession of lithium with the intent to manufacture
methamphetamine. Vance appealed, arguing the district court erred in
overruling his motion to suppress evidence, there was insufficient
evidence for his conviction of possession of pseudoephedrine with the
intent to manufacture methamphetamine, and his trial counsel was
ineffective for failing to challenge the search of the vehicle. We
transferred the case to the court of appeals. The court of appeals
affirmed Vance‘s convictions and preserved his ineffective-assistance-of-
counsel claim for possible postconviction relief proceedings. Vance
sought further review, which we granted.
II. Issues.
In this appeal, Vance raises three issues. First, we must determine
whether there was reasonable suspicion to stop the vehicle Vance was
driving. Next, we must decide whether substantial evidence supports
Vance‘s conviction for possession of pseudoephedrine with the intent to
manufacture methamphetamine. Finally, we must consider whether
Vance‘s trial counsel was ineffective for failing to challenge the search of
the vehicle.
III. Legality of the Investigatory Stop.
A. Scope of Review. Vance claims the investigatory stop of the
vehicle he was operating violated his Fourth Amendment right to be free
from ―unreasonable searches and seizures.‖ U.S. Const. amend. IV. We
review constitutional issues de novo. State v. Freeman, 705 N.W.2d 293,
297 (Iowa 2005). In the district court and on appeal, Vance‘s counsel
failed to raise the legality of the stop under the Iowa Constitution. See
State v. Effler, 769 N.W.2d 880, 894–95 (Iowa) (Appel, J., concurring)
(discussing why counsel should raise and brief an independent analysis
7
of a constitutional issue under the Iowa Constitution), cert. denied, ____
U.S. ____, 130 S. Ct. 1024, 175 L. Ed. 2d 627 (2009). For this reason, we
will limit our discussion regarding the legality of the stop to the Fourth
Amendment.
We independently evaluate the totality of the circumstances found
in the record, including the evidence introduced at both the suppression
hearing and at trial. State v. Bogan, 774 N.W.2d 676, 679–80 (Iowa
2009). We give deference to the district court‘s findings of fact due to its
ability to assess the credibility of the witnesses. State v. Carter, 696
N.W.2d 31, 36 (Iowa 2005). We are not, however, bound by those
findings. Id.
B. Applicable Law. The Fourth Amendment to the United States
Constitution guarantees ―[t]he right of the people to be secure in their
persons, houses, papers, and effects, against unreasonable searches and
seizures . . . .‖ U.S. Const. amend. IV. This amendment was made
applicable to the states through the Due Process Clause of the
Fourteenth Amendment. Mapp v. Ohio, 367 U.S. 643, 655, 81 S. Ct.
1684, 1691, 6 L. Ed. 2d 1081, 1090 (1961).
Generally, unless an exception applies, a search or seizure must be
conducted pursuant to a warrant to be reasonable. State v. Kreps, 650
N.W.2d 636, 641 (Iowa 2002). One well-established exception allows an
officer to briefly stop an individual or vehicle for investigatory purposes
when the officer has a reasonable, articulable suspicion that a criminal
act has occurred, is occurring, or is about to occur. Illinois v. Wardlow,
528 U.S. 119, 123, 120 S. Ct. 673, 675, 145 L. Ed. 2d 570, 576 (2000);
State v. Kinkead, 570 N.W.2d 97, 100 (Iowa 1997). ―The principal
function of an investigatory stop is to resolve the ambiguity as to whether
criminal activity is afoot.‖ State v. Richardson, 501 N.W.2d 495, 497
8
(Iowa 1993). Accordingly, reasonable suspicion may support an
investigatory stop that ultimately reveals wholly lawful conduct. Id.
For an investigatory stop to comply with the protections of the
Fourth Amendment, the State must prove by a preponderance of the
evidence the officer had specific and articulable facts that, taken together
with rational inferences from those facts, would lead the officer to
reasonably believe criminal activity is afoot. Terry v. Ohio, 392 U.S. 1,
21, 88 S. Ct. 1868, 1880, 20 L. Ed. 2d 889, 906 (1968); State v.
Heminover, 619 N.W.2d 353, 357–58 (Iowa 2000), abrogated on other
grounds by State v. Turner, 630 N.W.2d 601, 606 n.2 (Iowa 2001). A
mere hunch, unparticularized suspicion, or curiosity will not justify an
investigatory stop. Kreps, 650 N.W.2d at 641.
Whether reasonable suspicion exists for an investigatory
stop must be determined in light of the totality of the
circumstances confronting a police officer, including all
information available to the officer at the time the decision to
stop is made. The circumstances under which the officer
acted must be viewed ―through the eyes of a reasonable and
cautious police officer on the scene, guided by his experience
and training.‖
Id. at 642 (internal citations omitted) (quoting United States v. Hall, 525
F.2d 857, 859 (D.C. Cir. 1976)). If the State fails to carry its burden, all
evidence obtained from the investigatory stop must be suppressed.
Kinkead, 570 N.W.2d at 100.
C. Analysis. Vance claims reasonable suspicion did not support
the investigatory stop of the vehicle because the stopping officer merely
knew the registered owner of the vehicle had a suspended driver‘s license
but had no information about the identity of the driver. Vance argues an
officer must obtain information indicating the driver of the vehicle is the
registered owner before reasonable suspicion for an investigatory stop
arises.
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If Berry had an articulable and reasonable suspicion the driver of
the vehicle did not have a valid driver‘s license, he was entitled to stop
the vehicle and briefly detain the driver to investigate his or her driver‘s
license status. Delaware v. Prouse, 440 U.S. 648, 663, 99 S. Ct. 1391,
1401, 59 L. Ed. 2d 660, 673 (1979) (holding an officer must at least have
reasonable suspicion before stopping an automobile for the purpose of
checking the validity of the operator‘s license and registration).
Accordingly, we must determine when reasonable suspicion for an
investigatory stop of a vehicle arises upon an officer‘s discovery that the
registered owner of the vehicle has a suspended license.
We hold an officer has reasonable suspicion to initiate an
investigatory stop of a vehicle to investigate whether the driver has a
valid driver‘s license when the officer knows the registered owner of the
vehicle has a suspended license, and the officer is unaware of any
evidence or circumstances indicating the registered owner is not the
driver of the vehicle.
We reach this conclusion for a number of reasons. First, it is
reasonable for an officer to infer the registered owner of the vehicle will
do the vast amount of the driving. See, e.g., Vill. of Lake in the Hills v.
Lloyd, 591 N.E.2d 524, 525–26 (Ill. App. Ct. 1992) (recognizing common
sense allows an officer to reasonably infer the owner of a vehicle is also
the driver); People v. Barnes, 505 N.E.2d 427, 428 (Ill. App. Ct. 1987)
(―While other people may drive an owner‘s vehicle, it is clear that the
owner will do the vast amount of driving.‖); Commonwealth v. Deramo,
762 N.E.2d 815, 818 (Mass. 2002) (finding the likelihood that a vehicle‘s
driver is its owner is strong enough to satisfy the reasonable-suspicion
standard). Although this inference may be fallible, it is sufficiently
reasonable to generate reasonable suspicion for an investigatory stop to
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resolve the ambiguity as to whether criminal activity is afoot. State v.
Newer, 742 N.W.2d 923, 925 (Wis. Ct. App. 2007); see also Illinois v.
Rodriguez, 497 U.S. 177, 185, 110 S. Ct. 2793, 2800, 111 L. Ed. 2d 148,
159 (1990) (stating, in order to satisfy the reasonableness requirement of
the Fourth Amendment, officers need not always be correct, but must
always act reasonably).
Second, to forbid the police from relying on such an inference to
form reasonable suspicion for an investigatory stop would seriously limit
an officer‘s ability to investigate suspension violations because there are
few, if any, additional steps the officer can utilize to establish the driver
of a vehicle is its registered owner. Barnes, 505 N.E.2d at 428. Vance
argues a stopping officer must verify the driver is the registered owner of
the vehicle before reasonable suspicion for an investigatory stop exists.
This proposed standard, however, places too heavy a burden on the
police. It would be impossible for an officer to verify that a driver of a
vehicle fits the description of the registered owner in heavy traffic, if the
vehicle has darkly tinted windows, or if the stop occurs at night, as was
the case here. Armfield v. State, 918 N.E.2d 316, 322 (Ind. 2009).
Furthermore, the standard we adopt adequately protects against
suspicionless investigatory stops because:
If an officer comes upon information suggesting that the
assumption [that the driver is the owner] is not valid in a
particular case, for example that the vehicle‘s driver appears
to be much older, much younger, or of a different gender
than the vehicle‘s registered owner, reasonable suspicion
would, of course, dissipate. There would simply be no
reason to think that the nonowner driver had a revoked [or
suspended] license.
Newer, 742 N.W.2d at 926; accord People v. Jones, 678 N.W.2d 627, 631
n.4 (Mich. Ct. App. 2004); State v. Pike, 551 N.W.2d 919, 922 (Minn.
1996); State v. Howard, 766 N.E.2d 179, 183 (Ohio Ct. App. 2001).
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Third, allowing a stopping officer to infer the registered owner is
the driver, absent any evidence to the contrary, ensures the safety of the
roadways and of law enforcement. As one court has recognized,
requiring the officer to verify the driver of the vehicle strikes
against basic principles of safety [because it] puts the onus
on the officer to maneuver himself into a position to clearly
observe the driver in the midst of traffic.
Armfield, 918 N.E.2d at 322 (internal quotation omitted). Thus, the
verification requirement proposed by Vance would not only place the
stopping officer in danger but also the traveling public in general.
Finally, we have reviewed cases from other jurisdictions that have
considered this issue, and a majority of those jurisdictions have adopted
the standard we approve today. Compare id. at 321–22 (holding officers
may stop a vehicle and investigate the license status of the driver based
on information that the owner has a suspended license so long as the
officer is unaware of any facts indicating the owner is not driving the
vehicle); State v. Tozier, 905 A.2d 836, 839 (Me. 2006) (same);
Commonwealth v. Garden, 883 N.E.2d 905, 909 (Mass. 2008) (same);
Jones, 678 N.W.2d at 631 (same); Pike, 551 N.W.2d at 922 (same); City of
Billings v. Costa, 140 P.3d 1070, 1073–74 (Mont. 2006) (same); State v.
Richter, 765 A.2d 687, 689 (N.H. 2000) (same); Howard, 766 N.E.2d at
183 (same); State v. Panko, 788 P.2d 1026, 1027 (Or. Ct. App. 1990)
(same); Newer, 742 N.W.2d at 925–26 (same), with State v. Parks, 672
A.2d 742, 745 (N.J. Super. Ct. App. Div. 1996) (requiring additional
evidence of the owner‘s identity as the driver of the vehicle before
reasonable suspicion for an investigatory stop arises). We find the
rationale for the majority position as expressed in these cases most
persuasive.
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In this case, Berry ran the license plate of the vehicle on his in-car
computer and discovered the registered owner of the vehicle, Athena
Smith, had a suspended license. Subsequently, Berry observed the
vehicle drive past him, and he initiated a traffic stop to investigate
whether the registered owner was the driver. At the time he initiated the
stop, Berry was unable to observe the sex or the identity of the driver.
Thus, at the time of the investigatory stop, Berry was unaware of any
evidence or circumstances rendering his inference that the owner of the
vehicle was also the driver, unreasonable. Accordingly, the court of
appeals and the district court were correct in holding the stopping officer
had reasonable suspicion to initiate an investigatory stop of the vehicle
Vance was operating.1
1Although the investigatory stop was initially supported by reasonable suspicion,
Vance‘s counsel failed to raise in the district court or on appeal whether the stop
continued to be valid upon the stopping officer‘s discovery that the driver of the vehicle
was, in fact, not the registered owner. See, e.g., Florida v. Royer, 460 U.S. 491, 500,
103 S. Ct. 1319, 1325, 75 L. Ed. 2d 229, 238 (1983) (plurality opinion) (recognizing the
scope of an investigatory stop must be carefully tailored to its underlying justification
and last no longer than necessary to effectuate the purpose of the stop); Terry v. Ohio,
392 U.S. 1, 20, 88 S. Ct. 1868, 1879, 20 L. Ed. 2d 889, 905 (1968) (requiring an
investigatory stop to be ―reasonably related in scope to the circumstances which
justified the interference in the first place‖). A number of jurisdictions have invalidated
the further detention or investigation of a suspect after the initial purpose of an
investigatory stop has been resolved. See, e.g., United States v. Valadez, 267 F.3d 395,
398–99 (5th Cir. 2001) (holding where an officer properly initiated a stop to investigate a
motor-vehicle law violation and learned no violation had occurred, the purpose of the
investigatory stop was satisfied and any further detention or investigation violated the
Fourth Amendment); United States v. McSwain, 29 F.3d 558, 561–62 (10th Cir. 1994)
(same); People v. Redinger, 906 P.2d 81, 85–86 (Colo. 1995) (same); State v. Diaz, 850
So. 2d 435, 439–40 (Fla. 2003) (same); State v. Silva, 979 P.2d 1106, 1107 (Haw. 1999)
(same); Holly v. State, 918 N.E.2d 323, 325–26 (Ind. 2009) (same); State v. Kaufman, 59
P.3d 1166, 1172 (Mont. 2002) (same); State v. Chatton, 463 N.E.2d 1237, 1240–41
(Ohio 1984) (per curiam) (same); McGaughey v. State, 37 P.3d 130, 140–41 (Okla. Crim.
App. 2001) (same); State v. Farley, 775 P.2d 835, 836 (Or. 1989) (same); State v.
Penfield, 22 P.3d 293, 295–96 (Wash. Ct. App. 2001) (same); 4 Wayne R. LaFave, Search
and Seizure §§ 9.2(f), .3(c), at 335, 379–80 n.95 (4th ed. 2004) (same). Accordingly, we
express no opinion on the merits of this issue because it has not been preserved for our
appellate review.
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IV. Insufficient-Evidence Claim.
A. Standard of Review. Vance complains there was not sufficient
evidence to support his conviction for possession of ephedrine and/or
pseudoephedrine with the intent to manufacture methamphetamine. We
review sufficiency-of-the-evidence challenges for correction of errors at
law. State v. Nitcher, 720 N.W.2d 547, 556 (Iowa 2006). We will sustain
the jury‘s verdict if it is supported by substantial evidence. State v.
Acevedo, 705 N.W.2d 1, 3 (Iowa 2005). ―Evidence is substantial if it
would convince a rational trier of fact the defendant is guilty beyond a
reasonable doubt.‖ State v. Jorgensen, 758 N.W.2d 830, 834 (Iowa
2008).
B. Analysis. Vance argues there was insufficient evidence as a
matter of law to prove he possessed pseudoephedrine with the intent to
manufacture methamphetamine. In order to prove unlawful possession
of a precursor product with the intent to manufacture
methamphetamine, the State must prove beyond a reasonable doubt:
(1) the person exercised dominion and control over the precursor
product, (2) the person had knowledge of the precursor product‘s
presence and nature, and (3) the person possessed the precursor product
with the intent that the product be used to manufacture
methamphetamine. Iowa Code § 124.401(4); State v. Maxwell, 743
N.W.2d 185, 193 (Iowa 2008).
―In the realm of controlled substance prosecutions, possession can
be either actual or constructive.‖ State v. Cashen, 666 N.W.2d 566, 569
(Iowa 2003). Actual possession may be shown by direct or
circumstantial evidence. State v. Reeves, 209 N.W.2d 18, 21–22 (Iowa
1973). A person has actual possession of a precursor product when the
product is found on the person. Maxwell, 743 N.W.2d at 193. Although
14
the pseudoephedrine was not found on Vance‘s person at the time of the
stop, substantial evidence supports the jury‘s finding that at one time
Vance had actual possession of the pseudoephedrine with the intent to
manufacture methamphetamine.
The record contains circumstantial evidence to support the jury‘s
finding that at one time Vance actually possessed the 2.4 grams of
pseudoephedrine listed in the CVS Pharmacy receipt, which was
discovered in the vehicle. CVS Pharmacy‘s records show on July 10,
2008, at approximately 6:19 p.m., CVS sold 2.4 grams of
pseudoephedrine to an individual who produced Vance‘s identification
card. Approximately eight hours later, Berry stopped the vehicle Vance
was operating. At that time, Vance was the only person in the vehicle,
and he had his identification card with him. On the front driver‘s side of
the vehicle, an officer discovered a July 10, 2008, CVS receipt for twelve-
hour cold medicine containing 2.4 grams of pseudoephedrine and time
stamped at 6:19 p.m., matching CVS‘s records. Officers found a coffee
grinder with reddish/white residue in the backseat that was consistent
with grinding pseudoephedrine pills. In the front of the vehicle, in plain
view of Vance, recently manufactured methamphetamine was discovered
in a cellophane wrapper. Finally, Vance began to appear nervous after
he removed two spoons and an insulin needle from his pockets and later
stated, ―He is going to find the shit,‖ after being placed in a patrol car.
Based upon this evidence, a jury could reasonably infer Vance had
actual possession of the pseudoephedrine pills because it could find he
purchased the pills from CVS and either he, or someone else, used the
pills to manufacture the methamphetamine found in the front portion of
the vehicle. Thus, we conclude this evidence could convince a rational
15
trier of fact beyond a reasonable doubt that Vance possessed 2.4 grams
of pseudoephedrine.
We also conclude substantial evidence supports the finding Vance
possessed the pseudoephedrine with the intent it be used to
manufacture methamphetamine. A person intends a precursor product
to be used to manufacture methamphetamine so long as the person
directly or indirectly intends to engage in the manufacturing process.
See State v. Truesdell, 679 N.W.2d 611, 617–18 (Iowa 2004) (construing
the legislature‘s 2004 amendment of the intent element of Iowa Code
section 124.401(4)); State v. Milom, 744 N.W.2d 117, 122 (Iowa Ct. App.
2007) (same). Vance‘s admission, the proximity in time from when Vance
initially purchased the pseudoephedrine to the time he was stopped, the
presence of freshly produced methamphetamine in the vehicle, the coffee
grinder with pseudoephedrine-pill residue, and the numerous items
associated with the manufacture of methamphetamine discovered in the
vehicle all could lead a jury to reasonably infer Vance possessed the
pseudoephedrine with the intent the product be used to manufacture
methamphetamine.
Thus, the court of appeals correctly affirmed Vance‘s conviction for
possession of pseudoephedrine with the intent to manufacture
methamphetamine because substantial evidence supported the jury‘s
verdict.
V. Ineffective-Assistance-of-Counsel Claim.
A. Standard of Review. Ineffective-assistance-of-counsel claims
have their basis in the Sixth Amendment to the United States
Constitution. State v. Lyman, 776 N.W.2d 865, 877 (Iowa 2010).
Normally, ineffective-assistance-of-counsel claims are considered in
postconviction relief proceedings. State v. Graves, 668 N.W.2d 860, 869
16
(Iowa 2003). However, if the record is sufficient to address a claim of
ineffective assistance of counsel, we will consider such a claim on direct
appeal. Id.
B. Ineffective-Assistance-of-Counsel Standard. To establish an
ineffective-assistance-of-counsel claim, a defendant must prove by a
preponderance of the evidence: (1) his trial 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);
State v. Dudley, 766 N.W.2d 606, 620 (Iowa 2009).
C. Whether Trial Counsel Failed to Perform an Essential Duty.
1. General principles. To establish his trial counsel failed to
perform an essential duty, Vance must prove his counsel ―made errors so
serious that counsel was not functioning as the ‗counsel‘ guaranteed the
defendant by the Sixth Amendment.‖ Strickland, 466 U.S. at 687, 104
S. Ct. at 2064, 80 L. Ed. 2d at 693. We begin with a presumption that
counsel performed his or her duties competently. Dudley, 766 N.W.2d at
620. ―Trial counsel‘s performance is measured objectively by
determining whether counsel‘s assistance was reasonable, under
prevailing professional norms, considering all the circumstances.‖
Lyman, 776 N.W.2d at 878. The Supreme Court indicates the American
Bar Association standards and like documents reflect the prevailing
norms of practice. Strickland, 466 U.S. at 688, 104 S. Ct. at 2065, 80
L. Ed. 2d at 694. The ABA Standards for Criminal Justice require:
(e) Defense counsel, in common with all members of
the bar, is subject to standards of conduct stated in statutes,
rules, decisions of courts, and codes, canons, or other
standards of professional conduct. Defense counsel has no
duty to execute any directive of the accused which does not
comport with law or such standards. Defense counsel is the
professional representative of the accused, not the accused‘s
alter ego.
17
ABA Standards for Criminal Justice: Prosecution Function and Defense
Function 4-1.2(e), at 120–21 (3d ed. 1993). The comments to the ABA
standards state:
Advocacy is not for the timid, the meek, or the retiring.
Our system of justice is inherently contentious, albeit
bounded by the rules of professional ethics and decorum,
and it demands that the lawyer be inclined toward vigorous
advocacy. Nor can a lawyer be half-hearted in the
application of his or her energies to a case. Once a case has
been undertaken, a lawyer is obliged not to omit any
essential lawful and ethical step in the defense, without
regard to compensation or the nature of the
appointment. . . .
Because the law is a learned profession, lawyers must
take pains to guarantee that their training is adequate and
their knowledge up-to-date in order to fulfill their duty as
advocates.
Id. cmt., at 122–23 (footnote omitted).
In our own analysis of whether counsel was ineffective, we have
relied on our Code of Professional Responsibility for Lawyers to measure
counsel‘s performance. State v. Schoelerman, 315 N.W.2d 67, 71–72
(Iowa 1982). At the time of Vance‘s representation, the Iowa Rules of
Professional Conduct governed a lawyer‘s conduct. The rules provide
that ―[a] lawyer shall provide competent representation to a client.
Competent representation requires the legal knowledge, skill,
thoroughness, and preparation reasonably necessary for the
representation.‖ Iowa R. Prof‘l Conduct 32:1.1. As a comment to this
rule points out, ―[s]ome important legal skills, such as the analysis of
precedent, the evaluation of evidence, and legal drafting, are required in
all legal problems.‖ Id. cmt. [2]. In the final analysis,
As long as the requisite competence to handle the matter
may be attained through reasonable preparation and study,
the lawyer ethically may undertake the representation. The
measuring rod of competence is that of the reasonably able
and effective attorney, with general professional education
18
and experience, who diligently devotes him or herself to
scholarly study of the governing legal principles and
development of the practice skills necessary.
16 Gregory C. Sisk & Mark S. Cady, Iowa Practice Series: Lawyer and
Judicial Ethics § 5:1(b), at 140 (2007). We will use these principles to
determine if Vance‘s trial counsel failed to perform an essential duty.
Vance claims his trial counsel was ineffective for failing to
challenge the search of the vehicle under the Iowa Constitution.
Specifically, he claims the search was an unlawful search incident to an
arrest for the same reasons the United States Supreme Court held such
a search was unlawful in Arizona v. Gant, ___ U.S. ___, ___, 129 S. Ct.
1710, 1719, 173 L. Ed. 2d 485, 496 (2009). Gant limited the holding of
New York v. Belton, 453 U.S. 454, 460–61, 101 S. Ct. 2860, 2864, 69
L. Ed. 2d 768, 775 (1981). Gant, ___ U.S. at ___, 129 S. Ct. at 1719, 173
L. Ed. 2d at 496.
The State responds to Vance‘s claim of ineffective assistance of
counsel by arguing that in 1981 the Iowa Supreme Court adopted the
Belton rule as the proper analysis under the Iowa Constitution. State v.
Sanders, 312 N.W.2d 534, 539 (Iowa 1981). It also argues, because the
United States Supreme Court did not overturn the broad interpretation
of Belton until after Vance‘s conviction, Vance‘s attorney could not have
been ineffective for failing to question established law.
2. The Belton decision. Under the Fourth Amendment, the
Supreme Court has long recognized the lawful custodial arrest of a
person justifies the contemporaneous search of the person arrested and
of the immediately surrounding area, meaning the area from which the
person might gain possession of a weapon or destructible evidence.
Chimel v. California, 395 U.S. 752, 762–63, 89 S. Ct. 2034, 2040, 23
L. Ed. 2d 685, 694 (1969). The Supreme Court created this exception to
19
the warrant requirement to serve the dual purposes of protecting
arresting officers and safeguarding any evidence the arrestee may seek to
conceal or destroy. Id. We have stated, ―The search-incident-to-arrest
exception to the warrant requirement must be narrowly construed and
limited to accommodating only those interests it was created to serve.‖
State v. McGrane, 733 N.W.2d 671, 677 (Iowa 2007).
Courts struggled to define the proper scope of a search of the
interior of an automobile incident to a lawful custodial arrest of its
occupant. Belton, 453 U.S. at 459, 101 S. Ct. at 2863, 69 L. Ed. 2d at
774. In Belton, the Supreme Court sought to remedy this problem by
holding, ―when a policeman has made a lawful custodial arrest of the
occupant of an automobile, he may, as a contemporaneous incident of
that arrest, search the passenger compartment of that automobile‖ as
well as any containers found within the passenger compartment. Id. at
460, 101 S. Ct. at 2864, 69 L. Ed. 2d at 775. In so holding, the Court
relied heavily on the generalization that articles within the passenger
compartment of a vehicle are generally, if not inevitably, within the
arrestee‘s grab area. Id.
Although Belton did not alter the justifications for the search-
incident-to-arrest exception as recognized in Chimel, the opinion has
been interpreted in many jurisdictions, including this one, as permitting
a vehicle search incident to the arrest of a recent occupant even when
there is no possibility the arrestee could gain access to the vehicle‘s
passenger compartment at the time of the search. See, e.g., Thornton v.
United States, 541 U.S. 615, 628–29, 124 S. Ct. 2127, 2135, 158 L. Ed.
2d 905, 917–18 (2004) (Scalia, J., concurring) (recognizing that reported
cases upholding searches of vehicles incident to arrest when the arrestee
is handcuffed, restrained in the back of a patrol car, and not within
20
reach of the passenger compartment are legion); State v. Edgington, 487
N.W.2d 675, 677–78 (Iowa 1992) (upholding the search of a vehicle‘s
passenger compartment incident to the arrest of its occupant under the
Fourth Amendment even though the arrestee had been taken away from
the vehicle and could not reach the passenger compartment); Sanders,
312 N.W.2d at 539 (adopting Belton‘s bright-line rule). Under this broad
interpretation of Belton, a vehicle search is permissible incident to every
arrest of a recent occupant, regardless of whether the vehicle‘s passenger
compartment is within the arrestee‘s reach at the time of the search.
Gant, ___ U.S. at ___, 129 S. Ct. at 1719, 173 L. Ed. 2d at 496.
3. Iowa’s reaction to the Belton decision. Iowa appears to be the
first state to adopt Belton as part of its state constitutional doctrine.
Sanders, 312 N.W.2d at 539. In Sanders, our court said, ―Belton strikes
a reasonably fair balance between the rights of the individual and those
of society.‖ Id. Our court has only cited Sanders on two occasions
concerning the Belton rule. State v. Garcia, 461 N.W.2d 460, 463 (Iowa
1990); State v. Farni, 325 N.W.2d 107, 109 (Iowa 1982). In each case,
the defendant did not question the continued viability of Belton. Garcia,
461 N.W.2d at 463; Farni, 325 N.W.2d at 109.
4. National reaction to the Belton decision. Soon after the Court
decided Belton, numerous authors sharply criticized the broad
interpretation of Belton. See, e.g., Albert W. Alschuler, Bright Line Fever
and the Fourth Amendment, 45 U. Pitt. L. Rev. 227, 274–75 (1984);
Catherine Hancock, State Court Activism and Searches Incident to Arrest,
68 Va. L. Rev. 1085, 1129–32 (1982); Wayne R. LaFave, The Fourth
Amendment in an Imperfect World: On Drawing ‘Bright Lines’ and ‘Good
Faith,’ 43 U. Pitt. L. Rev. 307, 325 (1982); David S. Rudstein, The Search
21
of an Automobile Incident to an Arrest: An Analysis of New York v. Belton,
67 Marq. L. Rev. 205, 261 (1984).
State courts also began to react to Belton under their own
constitutions. Five states adopted Belton as their own state‘s
constitutional doctrine. See, e.g., Stout v. State, 898 S.W.2d 457, 460
(Ark. 1995); State v. Waller, 612 A.2d 1189, 1193–94 (Conn. 1992); State
v. Charpentier, 962 P.2d 1033, 1037 (Idaho 1998); Sanders, 312 N.W.2d
at 539; State v. Rice, 327 N.W.2d 128, 131–32 (S.D. 1982); State v. Fry,
388 N.W.2d 565, 574–75 (Wis. 1986), overruled by State v. Dearborn, 786
N.W.2d 97, 105 (Wis. 2010) (adopting Gant‘s holding as Wisconsin‘s
constitutional doctrine). Eight states have rejected Belton as their state‘s
constitutional doctrine. See, e.g., State v. Hernandez, 410 So. 2d 1381,
1384–85 (La. 1982); Camacho v. State, 75 P.3d 370, 373–74 (Nev. 2003);
State v. Eckel, 888 A.2d 1266, 1266 (N.J. 2006); State v. Rowell, 188 P.3d
95, 100 (N.M. 2008); People v. Blasich, 541 N.E.2d 40, 43 (N.Y. 1989);
Commonwealth v. White, 669 A.2d 896, 901–02 (Pa. 1995); State v.
Bauder, 924 A.2d 38, 46–47 (Vt. 2007); Vasquez v. State, 990 P.2d 476,
488–89 (Wyo. 1999).
In 2004 the United States Supreme Court decided Thornton. In
Thornton, five members of the Supreme Court questioned the broad
interpretation of Belton. See Thornton, 541 U.S. at 624–36, 124 S. Ct. at
2133–40, 158 L. Ed. 2d at 915–23 (O‘Connor, J., concurring in part,
Scalia, J., concurring, and Stevens, J., dissenting) (concurring and
dissenting opinions joined by Justices O‘Connor, Scalia, Ginsburg,
Stevens, and Souter questioning a broad interpretation of Belton). In
addition to the Supreme Court‘s questioning of the broad interpretation
of Belton, a body of academic writings renewed its criticism of Belton.
See, e.g., Carol A. Chase, Cars, Cops, and Crooks: A Reexamination of
22
Belton and Carroll With an Eye Toward Restoring Fourth Amendment
Privacy Protection to Automobiles, 85 Or. L. Rev. 913, 940–41 (2006);
David S. Rudstein, Belton Redux: Reevaluating Belton’s Per Se Rule
Governing the Search of an Automobile Incident to an Arrest, 40 Wake
Forest L. Rev. 1287, 1359–60 (2005).
In July 2007 the Arizona Supreme Court gave Belton a narrow
reading, by deciding that once the defendant and the other occupants of
a vehicle were handcuffed and seated in the back of locked patrol cars,
the Fourth Amendment required the officers to obtain a search warrant
prior to searching the vehicle. State v. Gant, 162 P.3d 640, 643 (Ariz.
2007), aff’d ___ U.S. ___, 129 S. Ct. 1710, 173 L. Ed. 2d 485 (2009). The
Supreme Court granted certiorari in Gant on February 25, 2008. Arizona
v. Gant, 552 U.S. 1230, 1230, 128 S. Ct. 1443, 1443–44, 170 L. Ed. 2d
274, 274 (2008). All of this criticism of Belton and the granting of
certiorari in Gant took place prior to Vance‘s arrest.
The Supreme Court decided Gant in April 2009. Gant, ___ U.S. at
___, 129 S. Ct. at 1710, 173 L. Ed. 2d at 485. The Court expressly
rejected the broad interpretation of Belton and tethered Belton‘s bright-
line rule to the dual purposes underlying the search-incident-to-arrest
exception as recognized in Chimel. Id. at ___, 129 S. Ct. at 1719, 173
L. Ed. 2d at 496. The Court held, under Belton, police may search the
passenger compartment of a vehicle incident to a recent occupant‘s
arrest ―only when the arrestee is unsecured and within reaching distance
of the passenger compartment at the time of the search.‖ Id.
Accordingly, if an arrestee has been taken away from the vehicle,
restrained, or is otherwise not within reach of the vehicle, a search
incident to arrest can no longer be justified by the possibility the arrestee
may secure a weapon or destroy evidence. Id. Furthermore, relying on
23
another justification underpinning the search-incident-to-arrest
exception, the Court held ―circumstances unique to the vehicle context
justify a search incident to a lawful arrest when it is ‗reasonable to
believe evidence relevant to the crime of arrest might be found in the
vehicle.‘ ‖ Id. (quoting Thornton, 541 U.S. at 632, 124 S. Ct. at 2137, 158
L. Ed. 2d at 920 (Scalia, J., concurring)).
5. Application of general principles. Although Sanders held Iowa‘s
constitutional doctrine was the same as Belton, Sanders was decided
before the criticism of Belton began. An attorney examining the
authorities citing Belton and Sanders would have discovered the
extensive criticism of the broad interpretation of Belton. Such an
examination would also have revealed the fact that the United States
Supreme Court had granted certiorari in the Arizona Supreme Court‘s
decision in Gant. Furthermore, an attorney reviewing the authorities
citing Belton and Sanders would have also learned that only five states,
other than Iowa, had adopted Belton as their state‘s constitutional
doctrine, while eight states had rejected it. Moreover, an attorney
evaluating the law would have found the modern trend among the states
was to reject the broad interpretation of Belton. An attorney could have
discovered all of these developments regarding Belton by performing
simple searches in electronic legal research databases such as Westlaw
or LexisNexis.
After determining many courts and scholars were questioning the
viability of Belton, counsel could have reviewed the development of
search and seizure doctrine under the Iowa Constitution. In 2000 we
began to emphasize our independence from adopting federal
constitutional principles as Iowa‘s constitutional principles. State v.
Cline, 617 N.W.2d 277, 284–85 (Iowa 2000), abrogated on other grounds
24
by Turner, 630 N.W.2d at 606 n.2. In Cline, we stated we would no
longer abdicate our constitutional role in interpreting the Iowa
Constitution by blindly following federal constitutional doctrine. Id. at
285. We emphasized that for federal constitutional doctrine to have any
value, the doctrine ― ‗must be based on a convincing rationale.‘ ‖ Id.
(quoting State v. James, 393 N.W.2d 465, 472 (Iowa 1986) (Lavorato, J.,
dissenting)). Accordingly, we examined the Supreme Court‘s rationale for
the good-faith exception and refused to adopt the good-faith exception
under the Iowa Constitution because we found the rationale justifying its
adoption to be neither sound nor persuasive. Id. at 288–93. Four years
later, we found a violation of the Iowa Constitution, independent from the
Federal Constitution. See State v. Tague, 676 N.W.2d 197, 205–06 (Iowa
2004) (finding a violation of article I, section 8 of the Iowa Constitution,
independent from the Fourth Amendment to the United States
Constitution). In Tague, we applied the Iowa Constitution to determine if
a traffic stop passed muster under the Iowa Constitution. Id.
Additionally, in numerous cases before Vance‘s arrest, we have
consistently said we would no longer blindly follow federal precedent on
issues of Iowa constitutional law and will accept United States Supreme
Court precedent only as persuasive authority. See, e.g., State v. Hoskins,
711 N.W.2d 720, 725 (Iowa 2006); State v. Allen, 690 N.W.2d 684, 689–
90 (Iowa 2005); State v. Reinders, 690 N.W.2d 78, 81–82 (Iowa 2004);
Cline, 617 N.W.2d at 284–85.
At this point of the analysis, we would ordinarily analyze whether
counsel‘s performance was unreasonable, under prevailing professional
norms, for failing to challenge the continued viability of Sanders under
the Iowa Constitution. See State v. Lowry, 667 P.2d 996, 1013 (Or.
1983) (Jones, J., concurring) (recognizing failure to raise a state
25
constitutional claim and relying solely on parallel provisions under the
Federal Constitution should constitute ineffective assistance of counsel).
However, under this record we are unable to do so.
In Gant, the Supreme Court noted that even if the Belton analysis,
as limited by Gant, does not uphold the constitutionality of a search,
other exceptions to the warrant requirement authorizing an officer to
search a vehicle might be applicable to uphold the search. Gant, ___ U.S.
at ___, 129 S. Ct. at 1721, 173 L. Ed. 2d at 498–99. Under the existing
record, we cannot determine whether counsel failed to question Belton
and Sanders because counsel believed another exception to the warrant
requirement under the federal or state constitutions would have allowed
the search of the vehicle. In addition, under the facts as developed thus
far, we cannot determine if another exception to the warrant requirement
applies under the Iowa Constitution.
Accordingly, we must decline to rule on Vance‘s claim of ineffective
assistance of counsel for his counsel‘s failure to raise the issues
surrounding Gant on direct appeal and preserve Vance‘s ineffective-
assistance-of-counsel claim for possible postconviction relief proceedings.
VI. Conclusion.
We affirm the decision of the court of appeals and the judgment of
the district court because there was reasonable suspicion to initiate an
investigatory stop of the vehicle the defendant was driving, and
substantial evidence supports his conviction for possession of a
precursor product with the intent to manufacture methamphetamine.
We preserve Vance‘s claim of ineffective assistance of counsel for possible
postconviction relief proceedings.
DECISION OF COURT OF APPEALS AND JUDGMENT OF
DISTRICT COURT AFFIRMED.
All justices concur except Cady and Streit, JJ., who dissent.
26
#75/08–1762, State v. Vance
CADY, Justice (dissenting).
I respectfully dissent from the holding of the majority to preserve
the claim of ineffective assistance of counsel for postconviction relief. I
dissent because I believe the record in this case is adequate for us to
decide that trial counsel was not ineffective for failing to attack the
viability of the search-incident-to-arrest exception to the warrant
requirement in light of Arizona v. Gant, ___ U.S. ___, 129 S. Ct. 1710, 173
L. Ed. 2d 485 (2009).
The record in this case is adequate because it reveals the search
was clearly permitted under the well-recognized automobile exception to
the warrant requirement. The majority‘s own opinion bears this out.
The majority holds the arresting officer had reasonable grounds to stop
the vehicle operated by Vance. Additionally, the majority acknowledges
the arresting officer observed methamphetamine through the window of
the vehicle during the stop. These facts, and others, clearly justify the
search under the automobile exception. Consequently, a criminal
defense lawyer cannot render ineffective assistance of counsel based on
the failure to attack the viability of one exception to the warrant
requirement when another exception applies under the circumstances of
the case.
The automobile exception to the warrant requirement under the
state and federal search and seizure clauses allows a warrantless search
if there is probable cause to search the vehicle. See State v. Allensworth,
748 N.W.2d 789, 795 (Iowa 2008). The exception is justified based on
the inherent mobility of a vehicle, as well as a lower expectation of
privacy in vehicles. State v. Cain, 400 N.W.2d 582, 585 (Iowa 1987).
This exception has been firmly planted in our Iowa jurisprudence for over
27
twenty years. See State v. Olsen, 293 N.W.2d 216, 219–20 (Iowa 1980)
(applying the automobile exception to the warrant requirement under the
Iowa Constitution). It has also been a part of our federal jurisprudence
for even longer. Moreover, we have made it clear that our interpretation
of the search and seizure clause under the Iowa Constitution conforms to
the Search and Seizure Clause under the Federal Constitution. See id. at
220; see also State v. Gillespie, 619 N.W.2d 345, 350 (Iowa 2000) (noting
that, while the application of the automobile exception focused on the
Fourth Amendment to the Federal Constitution, the discussion on the
issue was ―equally applicable to [the defendant‘s] claim under the Iowa
Constitution‖), abrogated on other grounds by State v. Turner, 630
N.W.2d 601, 606 n.2 (Iowa 2002).
The same facts used by the majority to uphold the stop in this case
unquestionably made the search permissible under the automobile
exception. We have numerous cases upholding a search of a vehicle
when there is evidence of illegal drug activity in plain view. See, e.g.,
State v. Carter, 696 N.W.2d 31, 38 (Iowa 2005) (finding sufficient
probable cause to search vehicle upon seeing plastic container); State v.
Bergmann, 633 N.W.2d 328, 338 (Iowa 2001) (upholding warrantless
search after police dog alerted to narcotics); Gillespie, 619 N.W.2d at 353
(denying existence of sufficient probable cause for warrantless search of
vehicle when officer did not see contraband, but merely saw the
defendant‘s vehicle driving away from an anhydrous ammonia facility).
Consequently, the ineffective-assistance-of-counsel claim raised by
Vance on appeal is totally without merit.
Streit, J., joins this dissent.