*1 IN THE SUPREME COURT OF IOWA
No. 11–1339 Filed July 18, 2014 STATE OF IOWA,
Appellee, vs.
ANDRE JEROME LYLE JR.,
Appellant.
On review from the Iowa Court of Appeals.
Aрpeal from the Iowa District Court for Polk County, Robert A. Hutchison, Judge.
A juvenile challenges his sentence as cruel and unusual under the State and Federal Constitutions. DECISION OF COURT OF APPEALS VACATED; DISTRICT COURT SENTENCE VACATED; CASE REMANDED.
Mark C. Smith, State Appellate Defender, David A. Adams (until withdrawal), Vidhya K. Reddy (until withdrawal), and Rachel C. Regenold, Assistant State Appellate Defenders, for appellant.
Thomas J. Miller, Attorney General, Elisabeth S. Reynoldson (until withdrawal), Benjamin M. Parrott (until withdrawal), and Darrel L. Mullins, Assistant Attorneys General, John P. Sarcone, County Attorney, *2 Frank Severino Jr. and Jeffrey K. Noble, Assistant County Attorneys, for appellee.
CADY, Chief Justice.
In this appeal, a prison inmate who committed the crime of robbery in the second degree as a juvenile and was prosecuted as an adult challenges the constitutionality of a sentencing statute that required the imposition of a mandatory seven-year minimum sentence of imprisonment. The inmate was in high school at the time of the crime, which involved a brief altercation outside the high school with another student that ended when the inmate took a small plastic bag containing marijuana from the student. He claims the sentencing statute constitutes cruel and unusual punishment in violation of the State and Federal Constitutions when applied to all juveniles prosecuted as adults because the mandatory sentence failed to permit the court to consider any circumstances based on his attributes of youth or the circumstances of his conduct in mitigation of punishment. For the reasons expressed below, we hold a statute mandating a sentence of incarceration in a prison for juvenile offenders with no opportunity for parole until a minimum period of time has been served is unconstitutional under article I, section 17 of the Iowa Constitution. [1] Accordingly, we vacate the sentence and remand the case to the district court for resentencing. Importantly, we do not hold that juvenile offenders cannot be sentenced to imprisonment for their criminal acts. We do not hold juvenile *4 offenders cannot be sentenced to a minimum term of imprisonment. We only hold juvenile offenders cannot be mandatorily sentenced under a mandatory minimum sentencing scheme.
I. Background Facts and Prior Proceedings.
Andre Lyle Jr. was convicted following a jury trial of the crime of robbery in the second degree on June 29, 2011. See Iowa Code §§ 711.1–.3 (2011). He was a seventeen-year-old high school student when he committed the crime. The conviction resulted from an incident in October 2010 when Lyle and a companion punched another young man and took a small bag of marijuana from him. The altercation between the boys ocсurred outside the high school they attended after the victim failed to deliver marijuana to Lyle and his companion in exchange for $5 they had given the victim the previous day. Lyle videoed the confrontation on his cell phone. Prior to trial, Lyle unsuccessfully sought to transfer jurisdiction of the matter to the juvenile court.
Lyle grew up in Des Moines with little family support and few advantages. His father was in prison, and he was raised by his grandmother after his mother threatened him with a knife. His grandmother permitted him to smoke marijuana, and he was frequently tardy or absent from school. Lyle had frequent contact with law enforcement and first entered the juvenile justice system at twelve years of age. He was involved in many criminal acts as a teenager, including assaults and robberies. Lyle was known to record his criminal behavior with his cell phone and post videos on the Internet.
Lyle appeared before the district court for sentencing on his eighteenth birthday. The district court sentenced him to a term of incarceration in the state corrections system not to exceed ten years. See id. § 711.3 (“Robbery in the second degree is a class ‘C’ felony.”); id. *5 § 902.9(4) (“A class ‘C’ felon, not a habitual offender, shall be confined no more than ten years . . . .”). Pursuant to Iowa statute, the sentence was mandatory, and he was required to serve seventy percent of the prison term before he could be eligible for parole. See id. § 902.12(5) (“A person serving a sentence for conviction of [robbery in the second degree in violation of section 711.3] shall be denied parole or work release unless the person has served at least seven-tenths of the maximum term of the person’s sentence . . . .”).
Lyle objected to the seventy percent mandatory minimum sentence. He claimed it was unconstitutional as applied to juvenile offenders. The district court overruled Lyle’s objection.
Lyle appealed. In his initial appellate brief, Lyle disclaimed a categorical challenge to mandatory minimums and instead argued the mandatory minimum was unconstitutional as applied to him. We transferred the case to the court of appeals.
During the pendency of the appeal, the United States decided
Miller v. Alabama
, 567 U.S. ___, 132 S. Ct. 2455, 183 L. Ed. 2d 407
(2012). In
Miller
, the Court held a statutory schema that mandates life
imprisonment without the possibility of parole cannot constitutionally be
applied to a juvenile.
The court of appeals affirmed the sentence. Lyle sought further review and asserted the decision of the court of appeals was contrary to . We granted his application for further review and ordered Lyle and the State to submit additional briefing regarding whether the seventy percent mandatory minimum of his ten-year sentence for second-degree robbery was constitutional in light of our recent trilogy of cases. See generally Ragland , 836 N.W.2d 107, Pearson , 836 N.W.2d 88, , 836 N.W.2d 41.
II. Scope and Standard of Review.
An unconstitutional sentence is an illegal sentence.
See State v.
Bruegger
, 773 N.W.2d 862, 872 (Iowa 2009). Consequently, an
unconstitutional sentence may be corrected at any time. ;
see also
Iowa R. Crim. P. 2.24(5)(
a
). Although challenges to illegal sentences are
ordinarily reviewed for correction of legal errors, we review an allegedly
unconstitutional sentence de novo.
Ragland
,
III. Issue Before the Court.
As a threshold matter, the State argues Lyle waived a categorical
challenge by failing to raise it in his initial brief. We have consistently
held an issue “may be deemed” waived if a litigant fails to identify the
issue, assign error, and make an argument supported by citation to
authority in their initial brief.
See Bennett v. MC No. 619, Inc.
, 586
N.W.2d 512, 521 (Iowa 1998);
Mueller v. St. Ansgar State Bank,
465
N.W.2d 659, 659 (Iowa 1991);
McCleeary v. Wirtz
,
Our decision in
Bruegger
—a case in which the defendant
challenged his sentence as unconstitutional for the first time on appeal—
reveals one exception.
On the other hand, we recently recognized the value of a
“ ‘procedurally conservative approach’ ” to error preservation involving
novel issues raised for the first time on appeal for which there is an
inadequate factual record.
See State v. Hoeck
,
Yet, as in Bruegger and Veal , our decision in Hoeck acknowledges that the failure to raise an issue in the initial appellate brief does not waive the issue. We preserved the issue in Hoeck pending briefing of legal issues and development of the factual record by the parties and consideration by the district court. See id. Instead, Hoeck recognized a commonsense prudential notion that remand is a more practicable decision than evaluation of an entirely novel constitutional issue upon an undeveloped record. See id.
The concerns we identified in
Hoeck
are not present in this case.
The issue presented by Lyle in this case on further review (and more
thoroughly in response to our order for supplemental briefing) is
fundamentally similar to the one he initially raised on appeal.
See Feld
v. Borkowski
,
IV. Merits.
Lyle contends the prohibition against cruel and unusual punishment in the Iowa Constitution does not permit a statutory scheme that mandates a person sentenced for a crime committed as a juvenile to serve a minimum period of time prior to becoming eligible for parole or work release. The State argues a mandatory minimum sentence of the term of years for the crime committed in this case is not cruel and unusual.
The Iowa Constitution provides, “Excessive bail shall not be
required; excessive fines shall not be imposed, and cruel and unusual
punishment shаll not be inflicted.” Iowa Const. art. I, § 17. The Eighth
Amendment similarly prohibits excessive punishments.
See
U.S. Const.
amend. VIII (“Excessive bail shall not be required, nor excessive fines
imposed, nor cruel and unusual punishments inflicted.”).
[2]
Lyle does not
offer a substantive standard for cruel and unusual punishment that
differs from the one employed by the United States Supreme Court.
Instead, he asks us to apply the federal framework in a more stringent
*10
fashion.
See Null
,
Article I, section 17 of the Iowa Constitution “embraces a bedrock
rule of law that punishment should fit the crime.”
Bruegger
, 773 N.W.2d
at 872;
see also Roper v. Simmons
,
Time and experience have taught us much about the efficacy and
justice of certain punishments. As a consequence, we understand our
concept of cruel and unusual punishment is “not static.”
Trop v. Dulles
,
356 U.S. 86, 101, 78 S. Ct. 590, 598, 2 L. Ed. 2d 630, 642 (1958).
Instead, we consider constitutional challenges under the “currently
*11
prevail[ing]” standards of whether a punishment is “excessive” or “cruel
and unusual.”
Atkins
,
Until rеcently, there were two general classifications of cruel and
unusual sentences.
See Graham v. Florida
,
Graham
introduced a third subset of categorical challenges.
See
Importantly,
Miller
added to this jurisprudence by conjoining two
sets of caselaw: outright categorical prohibitions on certain punishments
for certain crimes or against certain offenders,
e.g.
,
Graham
, 520 U.S. at
75,
By importing the line of cases represented by Lockett , effectively crafted a new subset of categorically unconstitutional sentences: sentences in which the legislature has forbidden the sentencing court from considering important mitigating characteristics of an offender whose culpability is necessarily and categorically reduced as a matter of law, making the ultimate sentence categorically inappropriate. This new subset carries with it the advantage of simultaneously being more flexible and responsive to the demands of justice than outright prohibition of a particular penalty while also providing real and substantial protection for the offender’s right to be sentenced accurately according to their culpability and prospects for rehabilitation. We turn now to consider the merits of Lyle’s challenge that mandatory minimums cannot be constitutionally applied to juveniles.
The analysis of a categorical challenge to a sentence normally
entails a two-step inquiry. First, we consider “ ‘objective indicia of
society’s standards, as expressed in legislative enactments and state
practice’ to determine whether there is a national consensus against the
sentencing practice at issue.”
Graham
, 560 U.S. at 61, 130 S. Ct. at
2022,
Beginning with the first prong of the analysis, we recognize no other court in the nation has held that its constitution or the Federal Constitution prohibits a statutory schema that prescribes a mandatory minimum sentence for a juvenile offender. Further, most states permit or require some or all juvenile offenders to be given mandatory minimum sentences. [3] See Martin Guggenheim, Graham v. Florida and a Juvenile’s Right to Age-Appropriate Sentencing , 47 Harv. C.R.-C.L. L. Rev. 457, 494 & n.267 (2012) [hereinafter Guggenheim] (collecting state statute permitting or requiring a mandatory minimum sentences to be imposed on a juvenile offender tried as an adult). This state of the law arguably projects a consensus in society in favor of permitting juveniles to be given mandatory minimum statutory sentences. See Alex Dutton, Comment, The Next Frontier of Juvenile Sentencing Reform: Enforcing ’s Individualized Sentencing Requirement Beyond the JLWOP Context , 23 Temp. Pol. & Civ. Rts. L. Rev. 173, 195 (2013) [hereinafter Dutton] (“At this moment, no such national consensus exists against the imposition of mandatory sentences on juvenile offenders; the practice is common across jurisdictions.”).
16
Yet, “[c]onsensus is not dispositive.”
Kennedy
, 554 U.S. at 421,
128 S. Ct. at 2650, 171 L. Ed. 2d at 539. Moreover, as demonstrates, constitutional protection for the rights of juveniles in
sentencing for the most serious crimes is rapidly evolving in the face of
widespread sentencing statutes and practices to the contrary.
See
U.S. at ___,
We also recognize that we would abdicate our duty to interpret the Iowa Constitution if we relied exclusively on the presence or absence of a national consensus regarding a certain punishment. Iowans have generally enjoyed a greater degree of liberty and equality because we do not rely on a national consensus regarding fundamental rights without also examining any new understanding.
Nevertheless, the absence of caselaw does not necessarily support the presence of a consensus contrary to the challenge by Lyle in this case. Our legislature has already started to signal its independent concern with mandatory prison sentences for juveniles. In 2013, it expressed this recognition by amending a sentencing statute to remove mandatory sentencing for juveniles in most cases. This statute provides:
Notwithstanding any provision in section 907.3 or any other provision of law prescribing a mandatory minimum sentence for the offense, if the defendant, other than a child being prosecuted as a youthful offender, is guilty of a public offense other than a class “A” felony, and was under the age of eighteen at the time the offense was committed, the court may suspend the sentence in whole or in part, including any mandatory minimum sentence, or with the consent of the defendant, defer judgment or sentence, and place the defendant on probation upon such conditions as the court may require.
2013 Iowa Acts ch. 42, § 14 (codified at Iowa Code Ann. § 901.5(14) (West, Westlaw current through 2014 Reg. Sess.)). [4] While this statute does not change the minimum-term requirement for juveniles if a prison sentence is imposed by the court, it does abolish mandatory prison sentencing for most crimes committed by juveniles.
Just as we typically “owe substantial deference to the penalties the legislature has established for various crimes,” State v. Oliver , 812 N.W.2d 636, 650 (2012), we owe equal deference to the legislature when it expands the discretion of the court in juvenile sentencing. Legislative judgments can be “the most reliable objective indicators of community standards for purposes of determining whether a punishment is cruel and unusual.” Bruegger , 773 N.W.2d at 873. Here, the legislative decision to back away from mandatory sentencing for most crimes *18 committed by juveniles weakens the notion of a consensus in favor of the practice of blindly sentencing juveniles based on the crime committed. In fact, it helps illustrate a building consensus in this state to treat juveniles in our courts differently than adults.
Actually, the statutory recognition of the need for some discretion when sentencing juveniles is consistent with our overall approach in the past in dealing with juveniles. Primarily, the juvenile justice chapter of our Code gives courts considerable discretion to take action in the best interests of the child. See, e.g. , Iowa Code § 232.10(2)( a ) (2013) (permitting a transfer of venue for juvenile court proceedings for “the best interests of the child” among other reasons); id. § 232.38(2) (permitting the district court to excuse temporarily the presence of the child’s parents “when the court deems it in the best interests of the child”); id. § 232.43(6) (permitting the district court to refuse to accept a guilty plea by the child if the plea “is not in the child’s best interest”); id. § 232.45(6)( c ) (permitting the juvenile court to waive jurisdiction over delinquency proceedings if waiver “would be in the best interests of the child and the community”); id. § 232.52(2)( e ) (permitting the court to transfer guardianship of the child to the department of human services for “the best interest of the child” among other reasons); id. § 232.62(2)( a ) (permitting the district court to transfer venue for CINA proceedings for “the best interests of the child” among other reasons); id. § 232.108(3) (permitting a court to deny permission for “frequent visitation” by a sibling if the court determines “it would not be in the child’s best interest”).
Moreover, the Code in general is replete with provisions vesting
considerable discretion in courts to take action for the best interests of
the child.
See id.
§ 92.13 (permitting the labor commissioner to refuse to
*19
grant a work permit to a minor if “the best interests of the minor would
be served by such refusal”);
id.
§ 232C.3(1) (permitting a court to
emancipate a minor if it is in the best interest of the child);
id.
§ 282.18(5) (directing a school board “to achieve just and equitable
results that are in the best interest of the affected child” when
determining whether to permit the child to open enroll). Other statutes
prohibit juveniles from engaging in risky behavior because of the reduced
capacity for decision-making found in juveniles.
See id.
§ 123.47(2)
(prohibiting persons under twenty-one from purchasing alcohol);
id.
§ 135.37(2) (prohibiting persons under eighteen from obtaining tattoos);
id.
§ 321.180B (prohibiting persons under eighteen from obtaining “a
license or permit to operate a motor vehicle except under the provisions
of this section”);
id.
§ 453A.2(2) (prohibiting persons under eighteen from
purchasing tobacco products);
see also Null,
All of these statutes reflect a pair of compelling realities. First,
children lack the risk-calculation skills adults are presumed to possess
and are inherently sensitive, impressionable, and developmentally
malleable. Second, the best interests of the child generally support
discretion in dealing with all juveniles. In other words, “the legal
disqualifications placed on children as a class . . . exhibit the settled
understanding that the differentiating characteristics of youth are
universal.”
J.D.B. v. North Carolina
, 564 U.S. ___, ___, 131 S. Ct. 2394,
2403–04,
Overall, it is becoming clear that society is now beginning to recognize a growing understanding that mandatory sentences of imprisonment for crimes committed by children are undesirable in society. If there is not yet a consensus against mandatory minimum *20 sentencing for juveniles, a consensus is certainly building in Iowa in the direction of eliminating mandatory minimum sentencing. [5]
We next turn to the second step in the analysis of the Cruel and Unusual Punishment Clause. We must decide if the mandatory minimum sentence for a youthful offender violates the Cruel and Unusual Punishment Clause in light of its text, meaning, purpose, and history.
In doing so, we cannot ignore that over the last decade, juvenile
justice has seen remarkable, perhaрs watershed, change. This evolution
must be cast in its proper place in the history of juvenile justice.
Although we have recently traced the evolution of juvenile justice,
see
Null
,
At common law, children under seven lacked criminal capacity,
and children between seven and fourteen years of age were presumed to
lack criminal capacity, but juveniles over fourteen were presumed to
have the capacity to commit criminal acts. ;
see also In re Gault
, 387
U.S. 1, 16,
By the end of the nineteenth century, progressive reformers were “appalled by adult procedures and penalties, and by the fact that children could be given long prison sentences and mixed in jails with hardened criminals.” In re Gault , 387 U.S. at 15, 87 S. Ct. at 1437, 18 L. Ed. 2d at 539. To ameliorate the harshness and inequity of trying children in adult courts (resulting in adult punishment), reformers advocated for the establishment of a system less concerned with *22 ascertaining the child’s guilt or innocence and more concerned with determining what was in the child’s best interests based upon the child’s unique circumstances. Id. at 15–16, 87 S. Ct. at 1437, 18 L. Ed. 2d at 539. “The idea of crime and punishment was to be abandoned. The child was to be ‘treated’ and ‘rehabilitated’ and the procedures, from apprehension through institutionalization, were to be ‘clinical’ rather than punitive.” Id. “Accordingly, the highest motives and most enlightened impulses led to a peculiar system for juveniles, unknown to our law in any comparable context.” Id. at 17, 87 S. Ct. at 1438, 18 L. Ed. 2d at 540. Theoretically, youthful offenders would not face any actual prison time as a result of most juvenile court proceedings. See Julian W. Mack, The Juvenile Court , 23 Harv. L. Rev. 104, 108 (1909) [hereinafter Mack] (“[T]he protection is accomplished by suspending sentence and releasing the child under probation, or, in the case of removal from the home, sending it to a school instead of to a jail or penitentiary.”).
Underlying these early juvenile courts was the fundamental conceit
that the judicial process was not adversarial when dealing with juvenile
offenders. Instead, the state ostensibly acted in
parens patriae
on the
child’s behalf.
See In re Gault
, at 15–17, 87 S. Ct. at 1437–38, 18
L. Ed. 2d at 539–40. In turn, procedural protections for the benefit of
criminal defendants did not apply in juvenile court.
Id.
at 15–16, 87
S. Ct. at 1437,
Sensing the changing perceptions about liberty and due process in
the middle of the twentieth century, the United States Supreme Court
recognized the basic prevailing underpinning of juvenile courts was
inaccurate and “that the purpose of juvenile court proceedings was no
longer primarily to protect the best interest of the child and was instead
becoming more punitive in nature.”
Null
, 836 N.W.2d at 52;
see In re
Gault
,
Following
In re Gault
, however, little additional progress was
achieved.
See
Guggenheim,
Nevertheless, the Court did recognize serious differences in
juveniles that supported differential treatment in a few cases.
See
Johnson v. Texas
, 509 U.S. 350, 367, 113 S. Ct. 2658, 2668–69, 125
L. Ed. 2d 290, 306 (1993) (holding”sentence in a capital case must be
allowed to consider the mitigating qualities of youth”);
Thompson v.
Oklahoma
, 487 U.S. 815, 836–38, 108 S. Ct. 2687, 2699–2700, 101
L. Ed. 2d 702, 719–20 (1988) (plurality opinion) (holding death penalty
for offenses committed by persons under sixteen years of age an
“unconstitutional punishment”);
Schall v. Martin
, 467 U.S. 253, 265–67,
104 S. Ct. 2403, 2410–11, 81 L. Ed. 2d 207, 217–19
(1984)
(subordinating, in appropriate circumstances, juvenile’s liberty interest
to state’s
parens patriae
interest);
Eddings v. Oklahoma
, 455 U.S. 104,
115–16,
In the context of capital murder, the Court recognized the importance of youth as a mitigating factor. See Eddings , 455 U.S. at 115–17, 102 S. Ct. at 877–78, 71 L. Ed. 2d at 11–12. The Court explained:
[Y]outh is more than a chronological fact. It is a time and condition of life when a person may be most susceptible to influence and to psychological damage. Our history is replete with laws and judicial recognition that minors, especially in their earlier years, generally are less mature and responsible than adults.
Id. at 115–16, 102 S. Ct. at 877, 71 L. Ed. 2d at 11 (footnote omitted). Further, the Court found that the presence of evidence of other types of mitigating factors, such as a “turbulent family history, . . . beatings by a harsh father, and . . . severe emotional disturbance” was relevant when the defendant is a juvenile. See id. at 115, 102 S. Ct. at 877, 71 L. Ed. 2d at 11.
Indeed, the Court arrived at a similar conclusion in barring
imposition of the death penalty on juvenile offenders who were under the
age of sixteen at the time of the offense.
See Thompson
,
The reasoning employed by the plurality was strikingly similar to
the reasoning and language used by the later majority in
Roper
.
Compare id.
at 836–37, 108 S. Ct. at 2699–2700, 101 L. Ed. 2d at 719
*26
(“Given the lesser culpability of the juvenile offender, the teenager’s
capacity for growth, and society’s fiduciary obligations to its children,
[the retributive justification for imposing the death penalty] is simply
inapplicable to . . . a 15-year-old offender.”),
with Roper
,
Eddings
and
Thompson
demonstrate that while our emerging
knowledge of adolescent neuroscience and the diminished culpability of
juveniles is indeed compelling,
see Thompson
, 487 U.S. at 836, 108
S. Ct. at 2699–2700,
Yet, for the bulk of the time after Eddings and Thompson and before Roper , a different categorical rule prevailed: the notion “that the penalty of death is qualitatively different from a sentence of imprisonment, however long.” See Woodson v. North Carolina , 428 U.S. 280, 305, 96 S. Ct. 2978, 2991, 49 L. Ed. 2d 944, 961 (1976) (plurality opinion). The “death is different” rule manifested itself in extreme deference to legislative judgments regarding the appropriate duration of punishments for juveniles for other crimes. So long as the juvenile would not be executed, virtually any sentence or statutory sentencing scheme was acceptable. See Rachel E. Barkow, The Court of Life and Death: The Two Tracks of Constitutional Sentencing Law and the Case for Uniformity , 107 Mich. L. Rev. 1145, 1145 (2009) (“The Supreme Court takes two very different approaches to substantive sentencing law. Whereas its review of capital sentences is robust, its oversight of noncapital sentences is virtually nonexistent.”).
However, ten years ago a new understanding of cruel and unusual
punishment emerged. In
Roper
, the Supreme Court held that a state
may not impose the death penalty for a crime committed under the age of
eighteen. 543 U.S. at 578, 125 S. Ct. at 1200, 161 L. Ed. 2d at 28.
Unquestionably, youth and its attendant characteristics were compelling
factors in the Court’s analysis.
See id.
at 569–74,
[A]s any parent knows and as the scientific and sociological
studies . . . tend to confirm, “[a] lack of maturity and an
underdeveloped sense of responsibility are found in youth
*28
more often than in adults and are more understandable
among the young. These qualities often result in impetuous
and ill-considered actions and decisions.”
Id.
at 569,
A greater capacity for change and rehabilitation complemented the
juvenile’s diminished culpability. The Court observed: “[T]he character of
a juvenile is not as well formed as that of an adult. The personality traits
of juveniles are more transitory, less fixed.”
Id.
at 570, 125 S. Ct. at
1195, 161 L. Ed. 2d at 22. “From a moral standpoint it would be
misguided to equate the failings of a minor with those of an adult, for
greater possibility exists that a minor’s character deficiencies will be
reformed.”
Id.
at 570, 125 S. Ct. at 1195–96, 161 L. Ed. 2d at 22.
“Indeed, ‘[t]he relevance of youth as a mitigating factor derives from the
fact that the signature qualities of youth are transient; as individuals
mature, the impetuousness and recklessness that may dominate in
younger years can subside.’ ” at 570, 125 S. Ct. at 1196, 161
L. Ed. 2d at 22 (quoting
Johnson
, 509 U.S. at 368, 113 S. Ct. at 2669,
*29
125 L. Ed. 2d at 306). “It is difficult even for expert psychologists to
differentiate between the juvenile offender whose crime reflects
unfortunate yet transient immaturity, and the rare juvenile offender
whose crime reflects irreparable corruption.”
Id.
at 573, 125 S. Ct. at
1197,
Five years later, the Court made a revolutionary advance for
juvenile justice. In
Graham
, a seventeen-year-old probationer was
sentenced to life in prison (and had no opportunity for parole because
Florida has abolished its parole system,
see
Fla. Stat. § 921.002(1)(
e
)
(2003)), for actively participating in a series of armed home invasion
robberies. 560 U.S. at 54–55, 57, 130 S. Ct. at 2018–19, 2020, 176
L. Ed. 2d at 832–33, 834–35. The Court again reversed the state court
and vacated the sentence. Although there was a national consensus
against sentencing juvenile offenders to the death penalty, thirty-seven
states and the District of Columbia had statutory schemas permitting a
juvenile offender to receive a life-without-parole sentence for a
nonhomicide crime.
Id.
at 62,
More importantly, despite what appeared to be a national
consensus against giving youthful nonhomicide offenders life-without-
*30
parole sentences, the Court proceeded to the second prong of analysis in
a categorical challenge.
See id.
at 67–75, 130 S. Ct. at 2026–30, 176
L. Ed. 2d at 841–46. It reiterated the lessons of
Roper
that juveniles
generally have decreased culpability, but treated those lessons as
“established.”
Id.
at 68,
A State is not required to guarantee eventual freedom to a juvenile offender convicted of a nonhomicide crime. What the State must do, however, is give defendants like Graham some meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation.
Id.
at 75,
Two years later, the Court took an additional stride forward by
holding in
Miller
that a statutory scheme that mandated a life-without-
parole sentence for juvenile homicide offenders with no opportunity to
take the offender’s youth into account as a mitigating factor violated the
Eighth Amendment. , 567 U.S. at ___, 132 S. Ct. at 2469, 183
L. Ed. 2d at 424. A key component of the Court’s reasoning was the
recognition that “children are constitutionally different from adults for
purposes of sentencing.” at ___,
Although we do not foreclose a sentencer’s ability to make that judgment in homicide cases, we require it to take into account how children are different, and how those differences counsel against irrevocably sentencing them to a lifetime in prison.
Last term, we expanded the reach of the Supreme Court’s
reasoning in a trilogy of juvenile justice cases decided under the Iowa
Constitution. In all three cases, we thoroughly canvassed the Court’s
precedent and examined the contours of
Roper
,
Graham
, and .
See
Ragland
, 836 N.W.2d at 114–22;
Pearson
, 836 N.W.2d at 95–97;
Null
,
To be sure, death conceivably remained different not only after the
Court’s opinion in
Roper
, but after the Supreme Court’s opinions in
Graham
and . After all,
Roper
was a death penalty case and could
have been viewed as merely correcting the course after
Stanford
.
Miller
similarly concerned a statute that required a person be incarcerated for
thе remainder of their life.
Graham
itself recognized that “life without
parole is ‘the second most severe penalty permitted by law.’ ” 560 U.S. at
69,
Yet, as our recent trilogy of cases illustrate, death has ceased to be different for the purposes of juvenile justice. While Graham , like Roper , placed a barrier to one punishment for juveniles, we recognized that Miller articulated a substantial principle requiring a district court to have discretion to impose a lesser sentence. We realized left open a number of possibilities, including whether life without parole could ever be imposed for homicide committed by a juvenile and “to what extent a mandatory minimum sentence for adult crimes can automatically be imposed on a juvenile tried as an adult.” , 836 N.W.2d at 66–67. While emerging neuroscience painted a compelling picture of the juvenile’s diminished culpability “in the context of the death penalty and life-without-parole sentences, [we recognized] it also applies, perhaps more so, in the context of lesser penalties as well.” Pearson , 836 N.W.2d at 98. Our recent procession of cases clearly indicates that death is no longer irreconcilably different under article I, section 17 of the Iowa Constitution, at least for juveniles.
Moreover, death sentences have never truly been the difference
maker with respect to treating juveniles as adults. As Professor
Guggenheim has pointed out, the Court recognized differences of
constitutional magnitude between adults and children in an array of
nonpunishment contexts.
See
Guggenheim, 47 Harv. C.R.-C.L. L. Rev. at
474–87. The Court permitted intrusions upon the constitutional rights
of youths that would be starkly impermissible as applied to adults.
See,
e.g.
,
New Jersey v. T.L.O.
,
The nub of at least some of these cases is that juveniles are not fully equipped to make “important, affirmative choices with potentially serious consequences.” Baird , 443 U.S. at 635, 99 S. Ct. at 3044, 61 *35 L. Ed. 2d at 808. “[D]uring the formative years of childhood and adolescence, minors often lack the experience, perspective, and judgment to recognize and avoid choices that could be detrimental to them.” Id. The Court also said:
We have recognized three reasons justifying the conclusion that the constitutional rights of children cannot be equated with those of adults: the peculiar vulnerability of children; their inability to make critical decisions in an informed, mature manner; and the importance of the parental role in child rearing.
Id. at 634, 99 S. Ct. at 3043, 61 L. Ed. 2d at 807. This reasoning is ancient, dating back to Blackstone, see 1 W. Blackstone, Commentaries on the Laws of England *464–65 (George Sharswood ed. 1870) (identifying common law disabilities of children but arguing “their very disabilities are privileges; in order to secure them from hurting themselves by their own improvident acts”), but continues to be forceful today.
More recently, the United States Supreme Court has recognized a
child’s age is relevant to the analysis of whether the child is in custody
for the purposes of
Miranda v. Arizona
,
Upon exercise of our independent judgment, as we are required to
do under the constitutional test, we conclude that the sentencing of
juveniles according to statutorily required mandatory minimums does
not adequately serve the legitimate penological objectives in light of the
child’s categorically diminished culpability.
See Graham
,
We understand and appreciate that harm to a victim is not diluted
by the age of the offender.
Schall
, 467 U.S. at 264–65, 104 S. Ct. at
2410, 81 L. Ed. 2d at 217. Yet, justice requires us to consider the
culpability of the offender in addition to the harm the offender caused.
After all, “[i]t is generally agreed ‘that punishment should be directly
related to the personal culpability of the criminal defendant.’ ”
Thompson
, 487 U.S. at 834, 108 S. Ct. at 2698, 101 L. Ed. 2d at 717
(quoting
California v. Brown
,
We recognize the prior cases considering whether certain
punishments were cruel and unusual all involved harsh, lengthy
sentences, including death sentences.
See
, 567 U.S. at ___, 132
S. Ct. at 2469,
More importantly, the Supreme Court has emphasized that
nothing it has said is “crime-specific,” suggesting the natural
concomitant that what it said is not punishment-specific either.
See
Miller
, 567 U.S. at ___, 132 S. Ct. at 2465, 183 L. Ed. 2d at 420. We
recognized as much last term.
See Null
,
The United States Supreme Court has opined “the same
characteristics that render juveniles less culpable than adults suggest as
well that juveniles will be less susceptible to deterrence.”
Roper
, 543
U.S. at 571,
Rehabilitation and incapacitation can justify criminally punishing juveniles, but mandatory minimums do not further these objectives in a way that adequately protects the rights of juveniles within the context of the constitutional protection from the imposition of cruel and unusual punishment for a juvenile. See Graham , 560 U.S. at 72, 130 S. Ct. at *40 2029, 176 L. Ed. 2d at 844 (“Even if the punishment has some connection to a valid penological goal, it must be shown that the punishment is not grossly disproportionate in light of the justification offered.”). As much as youthful immaturity has sharpened our understanding to use care in the imposition of punishment of juveniles, it also reveals an equal understanding that reform can come easier for juveniles without the need to impose harsh measures. Sometimes a youthful offender merely needs time to grow. As with the lаck of maturity in youth, this too is something most parents know.
The greater likelihood of reform for juveniles also substantially
undermines an incapacitation rationale.
See id.
at 72–73, 130 S. Ct. at
2029,
Given the juvenile’s greater capacity for growth and reform, it is
likely a juvenile can rehabilitate faster if given the appropriate
opportunity. “Because ‘incorrigibility is inconsistent with youth,’ care
should be taken to avoid ‘an irrevocable judgment about [an offender’s]
value and place in society.’ ” ,
If the undeveloped thought processes of juveniles are not properly
considered, the rehabilitative objective can be inhibited by mandatory
minimum sentences. After all, mandatory minimum sentences foreswear
(though admittedly not altogether) the rehabilitative ideal. Juvenile
offenders who are placed in prison at a formative time in their growth
and formation,
see Null
,
In the end, we conclude all mandatory minimum sentences of imprisonment for youthful offenders are unconstitutional under the cruel and unusual punishment clause in article I, section 17 of our constitution. Mandatory minimum sentences for juveniles are simply too punitive for what we know about juveniles. Furthermore, we do not believe this conclusion is inconsistent with the consensus of Iowans. Although most parents fortunately will never find themselves in a position to be in court to see their teenage child sentenced to a mandatory minimum term of imprisonment for committing a forcible felony, we think most parents would be stunned to learn this state had a sentencing schema for juvenile offenders that required courts to imprison all youthful offenders for conduct that constituted a forcible felony without looking behind the label of the crime into the details of the *42 particular offense and the individual circumstances of the child. Additionally, we think the jolt would be compounded once parents would further discover that their child must serve at least seventy percent of the term of the mandatory sentence before becoming eligible for parole. This shock would only intensify when it is remembered how some serious crimes can at times be committed by conduct that appears less serious when the result of juvenile behavior. This case could be an illustration.
A forcible felony can be the product of inane juvenile schoolyard conduct just as it can be the product of the cold and calculated adult conduct most people typically associate with a forcible felony, such as robbery. Yet, our laws have been shaped over the years to eliminate any distinction. Juveniles over sixteen years of age or older who commit any form of forcible felony are now excluded under our law from the jurisdictional arm of juvenile courts and are prosecuted as adults. Iowa Code § 232.8(1)( c ). Consequently, the mandatory minimum sentences applicable to adult offenders apply, with no exceptions, to juvenile offenders, including those who engage in inane juvenile schoolyard conduct. At least for those juveniles, our collective sense of humanity preserved in our constitutional prohibition against cruel and unusual punishment and stirred by what we all know about child development demands some assurance that imprisonment is actually appropriate and necessary. There is no other area of the law in which our laws write off children based only on a category of conduct without considering all background facts and circumstances.
Overall, no other logical result can be reached under article I,
section 17, a result that is also embedded within the most recent cases
from the United States Supreme Court. The Supreme Court banned
mandatory life-without-parole sentences for juveniles in , but it did
*43
not ban nonmandatory life-without-parole sentences if the sentencing
court is given the opportunity to consider the attributes of youth in
mitigation of punishment.
See Miller
,
Additionally, the analysis needed to properly apply article I, section 17 to the absence of a sentencing procedure does not bear on the disparity between the crime and the length of the sentence. Cf. Graham , 560 U.S. at 60, 130 S. Ct. at 2022, 176 L. Ed. 2d at 836–37. As a categorical challenge, the length of the sentence relative to the crime does not advance the analysis to reach an answer. See id. at 61, 130 S. Ct. at 2022, 176 L. Ed 2d at 836–37. Instead, the analysis turns to the procedure to see if it results in disproportionate punishment for youthful offenders. Mandatory sentencing for adults does not result in cruel and unusual punishment but for children it fails to account for too much of what we know is child behavior.
Ultimately, we hold a mandatory minimum sentencing schema,
like the one contained in section 902.12, violates article I, section 17 of
the Iowa Constitution when applied in cases involving conduct
committed by youthful offenders. We agree categorical rules can be
imperfect, “but one is necessary here.” at 75,
It is important to be mindful that the holding in this case does not prohibit judges from sentencing juveniles to prison for the length of time identified by the legislature for the crime committed, nor does it prohibit the legislature from imposing a minimum time that youthful offenders _____________________
mandatory minimum. Iowa Code Ann. § 901.5(14) (West, Westlaw current through 2014 Reg. Sess.). However, the mere theoretical availability of unguided sentencing discretion, no matter how explicitly codified, is not a panacea. As we said in Null , Miller requires “more than a generalized notion of taking age into consideration as a factor in sentencing.” , 836 N.W.2d at 74. Null provides a district court must expressly recognize certain concepts and “should make findings why the general rule [that children are constitutionally different from adults] does not apply.” In Ragland , we noted the sentencing court “ must consider ” several factors at the sentencing hearing, including:
(1) the “chronological age” of the youth and the features of youth, including “immaturity, impetuosity, and failure to appreciate risks and consequences”; (2) the “family and home environment” that surrounded the youth; (3) “the circumstances of the . . . offense, including the extent of [the youth’s] participation in the conduct and the way familial and peer pressures may have affected [the youth]”; (4) the “incompetencies associated with youth—for example, [the youth’s] inability to deal with police officers or prosecutors (including on a plea agreement) or [the youth’s] incapacity to assist [the youth’s] own attorneys”; and (5) “the possibility of rehabilitation.”
[9] We recognize we have held a mandatory minimum sentence constitutional.
See
State v. Lara
, 580 N.W.2d 783, 785 (Iowa 1998);
State v. Horn
, 282 N.W.2d 717, 732
(Iowa 1979);
State v. Holmes
, 276 N.W.2d 823, 829 (Iowa 1979);
State v. Fitz
, 265
N.W.2d 896, 899 (Iowa 1978);
State v. Hall
,
must servе in prison before being eligible for parole. Article I, section 17 only prohibits the one-size-fits-all mandatory sentencing for juveniles. Our constitution demands that we do better for youthful offenders—all youthful offenders, not just those who commit the most serious crimes. Some juveniles will deserve imprisonment, but others may not. A statute that sends all juvenile offenders to prison for a minimum period of time under all circumstances simply cannot satisfy the standards of decency and fairness embedded in article I, section 17 of the Iowa Constitution.
We also recognize the remedy in this case is to resentence Lyle so a judge can at least consider a sentencing option other than imprisonment. We also recognize our decision will apply to all juveniles currently serving a mandatory sentence of imprisonment. Thus, this case will require all juvenile offenders who are in prison under a mandatory sentence to be returned to court for resentencing. This process will likely impose administrative and other burdens, but burdens our legal system is required to assume. Individual rights are not just recognized when convenient. Our court history has been one that stands up to preserve and protect individual rights regardless of the consequences. The burden now imposed on our district judges to preserve and protect the prohibition against cruel and unusual punishment is part of the price paid by many judges over the years that, in many ways, has helped write the proud history Iowans enjoy today. Even if the resentencing does not alter the sentence for most juveniles, or any juvenile, the action taken by our district judges in each case will honor the decency and humanity embedded within article I, section 17 of the Iowa Constitution and, in turn, within every Iowan. The youth of this state will be better served when judges have been permitted to carefully consider all of the circumstances of each case to craft an appropriate sentence and give *47 each juvenile the individual sentencing attention they deserve and our constitution demands. The State will be better served as well.
Furthermore, our holding today has no application to sentencing laws affecting adult offenders. Lines are drawn in our law by necessity and are incorporated into the jurisprudence we have developed to usher the Iowa Constitution through time. This case does not move any of the lines that currently exist in the sentencing of adult offenders.
On remand, judges will do what they have taken an oath to do. They will apply the law fairly and impartially, without fear. They will sentence those juvenile offеnders to the maximum sentence if warranted and to a lesser sentence if warranted.
Accordingly, article I, section 17 of the Iowa Constitution forbids a sentencing schema for juvenile offenders that deprives the district court the discretion to consider youth and its attendant circumstances as a mitigating factor and to impose a lighter punishment, including one that suspends all or part of the sentence, including any mandatory minimum.
V. Conclusion.
For the above reasons, we vacate Lyle’s sentence and remand the case to the district court for further proceedings.
DECISION OF COURT OF APPEALS VACATED; DISTRICT COURT SENTENCE VACATED; CASE REMANDED.
All justices concur except Waterman, Mansfield, and Zager, JJ. Waterman and Zager, JJ., write separate dissents. Waterman, J., joins Zager, J., and Mansfield, J., joins both Waterman, J., and Zager, J.
#11–1339, State v. Lyle WATERMAN , Justice (dissenting).
I respectfully dissent for the reasons set forth in Justice Zager’s
dissent, which I join. I write separately because I would go further to
overrule as plainly erroneous our court’s juvenile sentencing decisions in
Pearson
and for the reasons explained in the dissents in those cases.
See State v. Pearson
,
The trial judge found Lyle, then nearly age eighteen, “poses a serious danger to the community at present.” In denying Lyle’s motion for transfer to juvenile court, the trial judge noted Lyle’s “cell phone contained numerous videos which showed [him] engaging in unprovoked, cowardly and vicious attacks against several different individuals” on or near school property. The trial judge personally observed Lyle’s defiant *49 demeanor in open court. I have no reason to disagree with the trial judge’s firsthand assessment of Lyle. But, even if we accept Lyle as a merely misguided, immature schoolyard bully, the mandatory sentence he received falls well short of being unconstitutionally cruel and unusual punishment. More importantly, the majority’s sweeping, unprecedented holding today precludes mandatory minimum sentences for any violent felon who was under age eighteen at the time of the offense.
By holding Lyle’s seven-year mandatory minimum sentence for his violent felony is cruel and unusual punishment and unconstitutional under article I, section 17 of the Iowa Constitution, rather than under the Eighth Amendment, the majority evades review by the United States Supreme Court. As Justice Zager observes, no other appellate court in the country has gone this far. Our court stands alone in taking away the power of our elected legislators to require even a seven-year mandatory sentence for a violent felony committed by a seventeen-year-old.
Will the majority stop here? Under the majority’s reasoning, if the teen brain is still evolving, what about nineteen-year olds? If the brain is still maturing into the mid-20s, why not prohibit mandatory minimum sentences for any offender under age 26? As judges, we do not have a monopoly on wisdom. Our legislators raise teenagers too. Courts traditionally give broad deference to legislative sentencing policy judgments. See State v. Oliver , 812 N.W.2d 636, 650 (Iowa 2012) (“We give the legislature deference because ‘[l]egislative judgments are generally regarded as the most reliable objective indicators of community standards for purposes of determining whether a punishment is cruel and unusual.’ ” (quoting Bruegger , 773 N.W.2d at 873)). Why not defer today?
Our trial judges have day-to-day experience adjudicating thousands of juvenile cases. Why not continue to trust the trial judges to make the right individualized judgments in deciding whether a youthful offender should be adjudicated in juvenile court or adult court? [10] Why make today’s categorical decision invalidating any mandatory minimum sentence for juveniles when no other appellate court has gone that far? We are not writing on a clean slate. Courts across the country are appropriately concluding that only mandatory life without parole or its de facto equivalent constitute cruel and unusual punishment for juveniles who commit violent felonies. See People v. Pacheco , 991 N.E.2d 896, 907 (Ill. App. Ct. 2013) (reading state “proportionate penalties clause” as “coextensive with the eighth amendment” and holding automatic transfer to adult court did not violate State or Federal Constitution; upholding twenty-year mandatory minimum sentence); State v. Vang , ___N.W.2d ___, ___, 2014 WL 1805320, at *9–10 (Minn. May 7, 2014) (holding thirty-year sentence does not violate State or Federal Constitution); see also State v. Lyle , ___ N.W.2d ___, ___ (Iowa 2014) (Zager, J., dissenting) (collecting additional cases). None have followed or Pearson to extend constitutional prohibitions to shorter sentences.
This is much more than an interesting intellectual debate over jurisprudential philosophies and the proper rolе for independent state constitutional adjudication. Today’s decision will have dramatic real- world consequences. Justice Zager has identified the burdens imposed on the judicial system by the scores of resentencing hearings and has noted the trauma to victims who must testify and relive what the defendant did to them. These hearings will reopen the wounds of the victims and their families. And, some of the offenders will gain release from prison earlier than under the mandatory minimum sentences. Some of those violent felons will commit new crimes. I would instead trust the legislative judgment of our elected branches that required a seven-year mandatory minimum prison term for second-degree robbery, a class “C” felony. [11] A seventeen-year-old offender would still be eligible for release by age twenty-five. But, that offender would be incarcerated during the late teens and early twenties—the ages when violent crimes are most likely to be committed. See Jeffery T. Ulmer & Darrell Steffensmeier, The Age and Crime Relationship: Social Variation, Social *52 Explanations, in The Nurture Versus Biosocial Debate in Criminology 377, 377–78 (Kevin M. Beaver, Brian B. Boutwell & J.C. Barnes eds., 2014).
The majority opines that the resentencing hearings to be required of our district court judges “will honor the decency and humanity embedded within article I, section 17 of the Iowa Constitution and, in turn, within every Iowan.” I believe our elected representatives—not the members of this court—are best equipped to decide what values are embedded within every Iowan.
I do not wish to take issue today with the court’s earlier decision in Bruegger . However, it is worth repeating the dissenter’s apt observation from that case:
While some constitutional principles might be receptive to defendant’s plight, the Cruel and Unusual Punishment Clause is not among them. Courts must adhere to the constitutional framework, even when the result is difficult to swallow. Furthermore, we must not forget that we are not the only guardians of justice in our government. For example, prosecutors must use sound judgment in charging and prosecuting defendants who may be swept up by broad legislative policies that were not likely intended to capture them. The governor, too, is empowered to commute a sentence viewed to be unjust. Finally, consistent with the one true strength of our democracy, the legislature can repair mistakes.
Bruegger , 773 N.W.2d at 888 (Cady, J., dissenting). As the Bruegger dissent reminds us, we are not the only repositories of fairness. It is certainly possible to “rely upon the other components of government to mete out justice.” Id.
It is easy in the abstract to say we do not put constitutional rights to a vote. It is the role of the courts to say where constitutional lines are drawn. But, we must remember rights, by definition, are restrictions on governmental power—the government elected by the people. If our court misinterprets a statute, the legislature can amend the statute the next *53 session. But, if we misinterpret our state constitution, the people are stuck with the decision unless the decision is overruled or the constitution is amended. That is why judges must be extraordinarily careful with constitutional interpretation. Adherence to settled Federal Eighth Amendment precedent would avoid today’s aberrational judicial decision-making on sentencing policy. [12]
I therefore dissent for the reasons set forth above and in Justice Zager’s dissent.
Mansfield, J., joins this dissent.
#11–1339, State v. Lyle ZAGER, Justice (dissenting).
I respectfully dissent. I do not believe a seven-year mandatory
minimum sentence imposed on an individual who was a juvenile at the
time the offense was committed is cruel and unusual punishment under
either the Federal or our Iowa Constitution. This mandatory minimum
sentence is not grossly disproportional, and there is no recognized
categorical challenge
for a
juvenile’s “categorically diminished
culpability.” There is no authority for holding such. By holding all
mandatory minimum sentences imposed on juveniles constitutes cruel
and unusual punishment, the majority abandons any semblance of our
previous constitutional analysis of cruel and unusual punishment and
creates a new category for the sentencing of juveniles to achieve a
perceived “best practice” in sentencing. The majority expands article I,
section 17 of the Iowa Constitution to a point supported by neither our
own caselaw nor by any caselaw of the United States Supreme Court.
Neither does such an expansive interpretation find support in the
caselaw of any other appellate court in the nation. Contrary to the
majority’s reasoning, the United States Supreme Court’s interpretation of
the Federal Constitution does not support this expansive interpretation.
I would apply the reasoning of
Miller v. Alabama
,
In both Pearson and , we reversed the mandatory minimum sentences imposed on those juvenile offenders based on an application of the “principles in as developed by the Supreme Court in its Eighth *55 Amendment jurisprudence.” Pearson , 836 N.W.2d at 96; see Null , 836 N.W.2d at 70 (stating “we are persuaded that Miller ’s principles are sound and should be applied in this case”). The majority here dramatically departs from the analysis we applied in both those cases. Instead, the majority applies the two-prong test applied by the Supreme Court in Graham v. Florida to justify its radical departure from our own precedents. See 560 U.S. 48, 61, 130 S. Ct. 2011, 2022, 176 L. Ed. 2d 825, 837 (2010) (explaining the approach applied in “cases adopting categorical rules”). One must ask, if the majority felt that all mandatory minimum sentences for juveniles should be considered under this new categorical analysis, why was it not applied in Null and Pearson ? Likely because it did not fit then, and it does not fit now.
It must first be recognized that Lyle did not urge this approach in
his appeal. Indeed, in his supplemental brief he “ask[ed] this court to
vacate his sentence and remand to the district court for resentencing
with consideration given to his youth, immaturity, and chance for
rehabilitation, as discussed in
Miller
,
Null
, and
Pearson
.” As explained
more fully below,
Miller
, , and
Pearson
rested on a legal concept
completely different from
Graham
. The
Graham
Court found the issue to
be decided on appeal was whether the Eighth Amendment permitted a
juvenile offender to be sentenced to life imprisonment without the
possibility for parole for a nonhomicide crime.
See id.
at 52–53, 130
S. Ct. at 2017–18, 176 L. Ed. 2d. at 832. The Court’s categorical ban
was only on life without the possibility of parole in nonhomicide cases.
See id.
at 82,
The majority’s reason for applying
Graham
is that juveniles are
categorically less culpable, and so a categorical analysis and categorical
rules are appropriate here. On its own, the majority now creates a new
constitutional category under our Iowa Constitution, but we need to be
clear that there is no judicial authority for creating this new
constitutional category. Up to this point, in most cases, the fact of a
juvenile’s diminished culpability only required the sentencing court “to
take into account how children are different, and how those differences
counsel against irrevocably sentencing them to a lifetime in prison.”
See
Miller
,
Though the majority attempts to justify its divergence in its
analysis of cruel and unusual punishment, there is a substantial
difference between
Graham
’s categorical approach and the approach
applied in
Miller
,
Null
, and
Pearson
. In fact, the Court in
Miller
labored to
make clear its decision did “not categorically bar a penalty for a class of
offenders or type of crime—as, for example, [it] did in
Roper
[
v. Simmons
,
Without success, the majority starts its analysis by attempting to
apply the first prong of the two-prong test in
Graham
. In searching for
“ ‘objective indicia of society’s standards,’ ”
Graham
,
Finding no support in a national survey on mandatory minimum sentences for juveniles, apart from legislation limiting the use of mandatory sentences to certain circumstances, the majority elects to give little weight to the strong national consensus approving juvenile mandatory minimum sentences. But see State v. Bousman , 278 N.W.2d 15, 18 (Iowa 1979) (concluding in a challenge to a sentence’s claimed disproportionality that “[d]eference” is “appropriate” to the “collective judgment” of “a substantial number of states” that “have determined that the punishment rendered here is not grossly out of proportion to the severity of the crime”). Instead, the majority turns to this state’s body of unrelated statutory law concerning juveniles. The majority notes that the legislature recently passed a statute granting sentencing judges the discretion to impose shorter terms of imprisonment for juveniles. See 2013 Iowa Acts ch. 42, § 14 (codified at Iowa Code Ann. § 901.5(14) (West, Westlaw current through 2014 Reg. Sess.)). According to the majority, we owe deference to this legislative judgment because it is a *60 reliable indicator of current community standards. See State v. Bruegger , 773 N.W.2d 862, 873 (Iowa 2009) (“Legislative judgments are generally regarded as the most reliable objective indicators of community standards for purposes of determining whether a punishment is cruel and unusual.”). But, we should not forget, “a reviewing court is not authorized to generally blue pencil criminal sentences to advance judicial perceptions of fairness.” Id.
It is true we owe deference to the legislature’s judgments
concerning the sentences imposed for commission of various crimes.
See
State v. Oliver
, 812 N.W.2d 636, 650 (Iowa 2012) (“[W]e owe substantial
deference to the penalties the legislature has established for various
crimes.”);
see also Graham
, 560 U.S. at 71, 130 S. Ct. at 2028, 176
L. Ed. 2d at 843 (“Criminal punishment can have different goals, and
choosing among them is within a legislature’s discretion.”);
Solem v.
Helm
,
The statute in effect when Lyle was sentenced mandated he serve seventy percent of his ten-year sentence. See Iowa Code § 902.12(5) (2011). Assuming both the new sentencing statute and the older sentencing statute should be considered as indicators of society’s standards, they are entitled to equal amounts of deference. Nonetheless, the majority analysis discounts one legislative judgment, because they apparently don’t agree with it, by elevating the other with which they do agree. This is not the role of an appellate court.
Having decided substantial deference is owed to a statute not in effect when Lyle was sentenced, the majority identifies other statutes that likewise grant courts discretion when dealing with juveniles. In addition to citing various civil statutes concerning juveniles, the majority cites numerous provisions from the juvenile justice chapter of the Iowa Code that grant courts discretion to consider the best interests of the child when making decisions. See, e.g. , Iowa Code § 232.10(2)( a ) (allowing transfer of delinquency proceedings when transfer would serve, among other interests, “the best interests of the child”); id. § 232.62(2)( a ) (permitting a court to transfer child-in-need-of-assistance proceeding _____________________
which Bousman was convicted. See id. Based on this disparity, Bousman argued the one-year sentence he received was cruel and unusual. See id. at 17.
We rejected Bousman’s argument, finding that the change in the length of the
sentence did not reflect a legislative judgment about the harshness of the previous
sentencing scheme.
See id.
at 17–18. Though “the subsequent action of the Iowa
Legislature in decreasing the penalty” was “relevant,” we found “its weight [was]
considerably decreased by the fact that that same legislature provided” district courts
the authority “to select the prior, more severe, punishment.” at 17. Like the Code
section at issue in
Bousman
, the newly enacted juvenile sentencing statute does not
preclude the sentencing judge from selecting a similarly severe punishment.
See
2013
Iowa Acts ch. 42, § 14 (providing “the court
may
suspend the sentence, in whole or in
part, including any mandatory minimum sentence” (emphasis added)). Thus, as we did
in
Bousman
, we can safely conclude here the new sеntencing statute “demonstrates
that the legislature did not necessarily reject prior penalties as excessively harsh.”
Bousman
,
when transfer would serve “the best interests of the child”). According to the majority, these statutes reflect the legislature’s recognition that juveniles and adults are different. Giving effect to these differences requires that courts have discretion when dealing with juveniles.
I think the majority makes too much of the legislature’s grant of discretion to juvenile courts in these other, noncriminal contexts. The legislature’s grant of discretion in some contexts may well reflect our society’s judgment that juveniles are different for purposes of these contexts. It does not follow, however, that juveniles must be treated differently in all contexts. Surely the legislature’s discretion to select among different penal sanctions contemplates the authority to narrow or expand judicial discretion across varying juvenile contexts. The prerogative for making such policy decisions typically belongs to “our legislature, as representatives of the people.” See Bruegger , 773 N.W.2d at 887 (Cady, J., dissenting). The legislature, having made a policy distinction it is entitled to make, limits this court’s authority to alter it. “Courts do not intervene to alter [sentencing] policies except when the resulting legislative scheme runs contrary to constitutional mandates.” Nothing in the majority’s survey of the objective indicia of our society’s standards suggests our society believes violent juvenile offenders are constitutionally different for purposes of sentencing, except for life without parole and its functional equivalent. Thus, this court should not interfere with the legislature’s selected sentencing scheme.
Of course this newly conferred sentencing discretion for juveniles,
as provided for by the new statute, holds the prospect of being illusory.
That is, the majority purports to favor a sentencing scheme in which
district courts are able to craft appropriate sentences according to the
unique circumstances of each juvenile. In reality, the majority’s
*63
approach bestows upon our appellate courts the freedom to impose their
members’ judgments about the appropriateness of a sentence. After all,
sentences are subject to review for abuse of discretion.
See State v. Loyd
,
But, it is in the application of the second prong of the Graham test that the majority most clearly departs from our previous cruel and unusual analysis and our precedent. Though in Pearson and Null we no doubt had the authority to independently interpret our own constitution, nothing we said in those two cases indicated that independence was the foundation of our analysis. Rather, we relied on and expanded on Miller ’s principles in invalidating the two juvenile sentences. See Pearson , 836 N.W.2d at 96 (“Though Miller involved sentences of life without parole for juvenile homicide offenders, its reasoning applies equally to Pearson’s sentence of thirty-five years without the possibility of parole for these offenses.”); Null , 836 N.W.2d at 72 (concluding that “ Miller ’s principles are fully applicable to a lengthy term-of-years sentence”). I believe we should adhere to our precedents developed just one year ago in Pearson and . As will be explained below, if the majority was true to the principles espoused in Pearson , Null and , it must hold Lyle’s sentence does not violate the cruel and unusual punishment clause of the Iowa Constitution.
In rejecting the mandatory sentences in
Pearson
and
Null
, we
applied the principles espoused by the United States Supreme Court in
Miller
.
Pearson
, 836 N.W.2d at 96 (requiring
Miller
’s individualized
hearing); ,
The Court began by explaining the differences between children
and adults as established in its precedents. at ___, 132 S. Ct. at
2464, 183 L. Ed. 2d at 418. First, juveniles are immature and their
sense of responsibility is underdeveloped, which leads to “recklessness,
*65
impulsivity, and heedless risk-taking.”
Id.
Juveniles are also more
vulnerable than adults to negative influences and pressures, less able to
control their environment, and unable to escape “horrific, crime-
producing settings.”
Id.
A juvenile’s “character is not as well formed,” his
traits “less fixed,” and “his actions less likely be evidence of irretrievabl[e]
deprav[ity].”
Id
at ___,
Psychological research confirmed differences in the brains of
adults and children.
See id.
at ___,
Juveniles’ attributes undermine the four “penological justifications
for imposing the harshest sentences on juvenile offenders, even when
they commit terrible crimes.”
Id.
First, juveniles are less blameworthy
than adults, so the case for retribution is weak.
Id.
Second, deterrence
does not justify the harshest sentences; juveniles are immature, reckless,
and impetuous, and so “less likely to consider potential punishment.”
Id.
at ___, 132 S. Ct. at 2465, 183 L. Ed. 2d at 419. Third, to justify
incapacitating a juvenile for life, it would need to be found that the
juvenile was incorrigible.
Id.
Incorrigibility, however, is not consistent
with youth.
Id.
Finally, rehabilitation does not justify a life sentence.
Id.
In fact, such a long sentence “is at odds with a child’s capacity for
change.” at ___,
While relying heavily on the other two factors, the Court’s holding
in primarily focused on the mandatory nature of the juvenile’s life
without parole sentence. Mandatory life without parole sentencing
schemes prevent judges and juries from considering the juvenile’s
diminished culpability, the juvenile’s capacity for change, and the
justifications for a particular sentence.
See id.
at ___,
Nevertheless,
the Eighth Amendment allows seemingly
disproportionate mandatory life-without-parole sentences for adults.
See, e.g.
,
Harmelin v. Michigan
,
Mandatory death sentences for adults are prohibited.
See Woodson v. North Carolina
,
To mitigate this risk in death-penalty cases, sentencing courts
must give the defendant an individualized hearing.
See id.
at ___, 132
S. Ct. at 2467,
Similarly, the Court found imposing a mandatory sentence of life without parole on a juvenile “misses too much.” Id. at ___, 132 S. Ct. at 2468, 183 L. Ed. 2d at 422. And likewise, to mitigate the risk of disproportionality in these cases, the Court held a sentencer must “take into account how children are different, and how those differences counsel against irrevocably sentencing them to a lifetime in prison.” Id. at ___, 132 S. Ct. at 2469, 183 L. Ed. 2d at 424. Stopping short of barring life sentences without parole for all juvenile offenders, the Court nonetheless opined that “appropriate occasions” for imposing the harshest penalties on juveniles after an individualized hearing “will be uncommon.”
In rejecting the mandatory minimum sentences imposed in
Pearson
and , this court relied on the convergence of the same three
factors and the need to mitigate the risk of disproportionality.
See
Pearson
,
This court, like the United States Supreme Court, signaled fear of
the disjunction between lengthy sentences for juveniles and penological
justifications for imprisonment.
See Null
, 836 N.W.2d at 65 (explaining
the Supreme Court’s discussion of penological goals of imprisonment);
see also Miller
,
Finally, even though neither Null nor Pearson was sentenced to life
without parole, we held that in neither case did rehabilitation justify the
lengthy sentence. In , we rejected the idea that a “juvenile’s potential
future release in his or her late sixties after a half century of
incarceration” would “provide a ‘meaningful opportunity’ to demonstrate
the ‘maturity and rehabilitation’ required to obtain release and reenter
society.”
Like Null and Pearson, Andre Lyle was a juvenile at the time he
committed his crime, but he was subject to the same mandatory
minimum sentence as an adult. In this case, however, the sentence is
not harsh, it is not cruel, and it is not unusual. Lyle was sentenced to a
maximum prison term of ten years, and he is required to serve seventy
percent of that term, or seven years, before being eligible for parole. That
minimum is only twenty percent of Pearson’s minimum and about
thirteen percent of Null’s. There is clearly no reasonable correlation
between adult death sentences, juvenile life sentences without the
possibility of parole, or even the sentences imposed in and
Pearson
,
and this seven-year mandatory minimum sentence.
See Miller
, 567 U.S.
at ___,
Lyle will also reenter society much earlier than either Null or
Pearson. Lyle’s maximum prison term is far shorter than Pearson’s
thirty-five-year minimum term. If Lyle served the maximum of ten years,
he would be released in his late twenties, about twenty-five years
younger than Pearson would have been if she been released when she
first became parole eligible. If released when he first becomes parole
eligible, Lyle will be in his mid-twenties, which would leave him ample
time for hitting major life milestones. Lyle’s minimum sentence, unlike
the sentences of Null or Pearson, dоes offer him the chance at “a more
normal adult life.”
Pearson
,
Lyle’s sentence, unlike that of Pearson or Null, is also justified
under penological theories. As in the case of any juvenile, deterrence
and retribution offer little support for Lyle’s sentence because of his
immaturity and diminished culpability.
See Miller
,
So too with rehabilitation; it is the “penological goal that forms the
basis of parole systems.”
Id.
at 73,
Though Lyle was a juvenile when he committed his crime and is
mandated to serve seventy percent of his sentence, any similarity
between his sentence and the sentences imposed in or
Pearson
ends
*73
there. Here, Lyle does not face the prospect of geriatric release after
decades of incarceration. In fact, Lyle faces at most a single decade
behind bars. Lyle will be provided a “meaningful opportunity to obtain
release based on demonstrated maturity and rehabilitation” and reenter
society as required by
Graham
,
I also strenuously disagree with the majority’s conclusion, in the
exercise of its independent judgment, that sentencing juveniles according
to a statutorily required mandatory minimum, regardless of the length of
the sentence, does not adequately serve legitimate penological objectives
in light of the child’s categorically diminished culpability. As stated
previously, a short-term period of incarceration clearly serves penological
goals of rehabilitation and incapacitation, both goals considered
important in
Graham
and all of the later cases.
See Miller
, 567 U.S. at
___, 132 S. Ct. at 2465, 183 L. Ed. 2d at 419–20 (discussing
incapacitation and rehabilitation in relation to juveniles);
Graham
, 560
U.S. at 72–74,
But, perhaps most troubling to me is the majority’s recognition
that every case so far employing this principle of a child’s categorically
diminished culpability involved harsh, lengthy sentences—even death.
In fact, there is no authority cited by the majority, nor did my research
disclose any authority, that would extend the principle employed by the
majority to all mandatory minimum sentences for juveniles. Undeterred,
the majority then emphasizes that nothing the Supreme Court has said
is “crime-specific.” The majority then extrapolates from this language,
“suggesting the natural concomitant that what is said is not
punishment-specific either.” The majority then cites to our
Pearson
and
Null
opinions from last term to support this proposition. But, neither of
these cases was decided on this categorical basis. The language in
Null
is that juveniles are “categorically less culpable than adult offenders
apply as fully in this case as in any other
.”
Finally, several observations need to be made in this area of juvenile sentencing. First, no court in the land has followed our opinions in Pearson and , which dramatically extended the circumstances under which a -type sentencing hearing was constitutionally required. In my opinion, such an extension was far beyond that contemplated by the United States Supreme Court, and clearly, no other federal court or state supreme court has felt it constitutionally required to extend it either. Second, no federal court, no state supreme court, nor any court for that matter has used a categorical analysis employed by the majority in this case to strike down all mandatory minimum sentences for a juvenile. In reaching this conclusion, the majority contorts our constitutional jurisprudence under the guise of independently analyzing our Iowa Constitution.
Third, the majority justifies its decision in this case by declaring that its decision is based on its desire to return to the district courts its rightful discretion in sentencing juveniles. What the majority fails to comprehend is that these constitutionally unnecessary resentencings *76 come paired with significant practical difficulties for the district courts. According to statistics obtained from the Iowa Justice Data Warehouse, as of May 31, 2013, I would estimate that more than 100 juveniles were serving mandatory sentences under the previous sentencing scheme. See Iowa Dep’t of Human Rights, Div. of Criminal & Juvenile Justice Planning, Current Inmates Under 18 at Time of Offense (May 31, 2013), available at http://www.humanrights.iowa.gov/cjjp/images/pdf/Prison_ Population_Juvenile_05312013.pdf; see also Iowa Code § 902.12(1)–(6) (providing mandatory minimum terms of imprisonment for specific enumerated felonies). Under the previous scheme, the legislature, by mandating minimum sentence lengths for certain crimes, had provided for an efficient, cоnstitutional sentencing proceeding. See Iowa Code § 902.12. Based on the majority’s opinion, all of those juveniles must be resentenced and have an individualized sentencing hearing. It will take hundreds, if not thousands, of hours to perform this task. And, of course, there will be expert witnesses: social workers, psychologists, psychiatrists, substance-abuse counselors, and any number of related social scientists. And, other witnesses: mothers, fathers, sisters, and brothers. Finally, and most importantly, victims will again have to testify and relive the trauma they experienced at the hands of the juvenile offender. I agree that time and expense should be irrelevant if constitutional rights are affected. However, these should be primary considerations when deciding to impose on the courts and the corrections systems a new sentencing practice that has no basis in this state’s constitution. I also question whether the ultimate decisions by our district courts will be qualitatively better given this unnecessary time, money, and effort.
After the parade of witnesses ends, the district court must then produce for each juvenile offender a detailed, reasoned sentencing decision. District courts must consider the “juvenile’s lack of maturity, underdeveloped sense of responsibility, vulnerability to peer pressure, and the less fixed nature of the juvenile’s character,” keeping in mind that these are “mitigating, not aggravating factors” in the decision to impose a sentence. Null , 836 N.W.2d at 74–75. It does not end there. District courts must recognize juveniles’ capacity for change and “that most juveniles who engage in criminal activity are not destined to become lifelong criminals.” Id. at 75. If tempted to impose a harsh sentence on even a particularly deserving offender, “the district court should recognize that a lengthy prison sentence . . . is appropriate, if at all, only in rare or uncommon cases.” Id. To impose that harsh sentence, “the district court should make findings discussing why the” harsh sentence should be imposed. at 74. And these are just the factors enumerated by this court in .
For the district court that is particularly fearful of having a
sentencing decision overturned, there are yet more factors that might be
considered.
See, e.g.
,
Bear Cloud v. State
,
I understand that the majority believes that an individualized sentencing hearing is the “best practice” for the sentencing of juveniles: “[A]pplying the teachings of Miller irrespective of the crime or sentence is simply the right thing to do, whether or not required by our Constitution.” Pearson , 836 N.W.2d at 99 (Cady, J., concurring specially). I do not necessarily disagree. But, we are not following the teachings of , , or Pearson ; instead, the majority is deciding this case on a categorical basis and elevating this new “category” to a constitutional right without any cogent, legitimate jurisprudence to support it. I would hold that the mandatory minimum sentence imposed under Iowa Code section 902.12(5), under these facts, does not constitute cruel and unusual punishment and accordingly does not violate article I, section 17 of the Iowa Constitution. I would affirm the sentence imposed by the district court.
Waterman and Mansfield, JJ., join this dissent.
Notes
[1] Throughout our opinion today, we use both “juvenile” and “child” to describe
youthful offenders. We recognize a statute of the Iowa Code defines “child” as “any
person under the age of fourteen years.” Iowa Code § 702.5 (2011). Nonetheless, we
believe our use of the term “child” today is appropriate. In a different section, the Code
defines “child” as “a person under eighteen years of age.”
See id.
§ 232.2(5). Moreover,
we are hardly the first court to equate juveniles and children for the purposes of
constitutional protection.
See Miller v. Alabama
,
[2] Similarity between federal and state constitutional provisions does not require
us to follow federal precedent interpreting the Federal Constitution. Instead, “[a]
decision of this court to depart from federal precedent arises from our independent and
unfettered authority to interpret the Iowa Constitution.”
Null
, 836 N.W.2d at 70 n.7;
see also State v. Baldon
,
[3] Some states have limited or abolished mandatory minimums for juveniles. See, e.g. , Colo. Rev. Stat. § 19-2-908 (2013) (limiting the availability of mandatory minimum sentences for juveniles); Del. Code Ann. tit. 11, § 630A(c) (2007) (providing the mandatory minimum for vehicular homicide shall not apply to a juvenile offender); N.M. Stat. Ann. § 31-18-13(B) (West, Westlaw current through May 21, 2014) (providing that juvenile offenders may be sentenced to less than the mandatory minimum); Or. Rev. Stat. § 161.620 (2003) (providing a juvenile tried as an adult shall not receive a mandatory minimum sentence except for aggravated murder or felonies committed with a firearm); Wash. Rev. Code Ann. § 9.94A.540(3)(a) (West 2010) (prohibiting mandatory minimum sentences for juvenile offenders except for aggravated first-degree murder).
[4] The State argues, and Lyle does not disagree, that the statute does not apply retroactively. See Iowa Code § 4.13(1)( c ) (2013).
[5] We recognize many states are currently wrestling with whether
Miller
applies
retroactively on collateral review.
Compare Jones v. State
, 122 So. 3d 698, 702–03
(Miss. 2013) (holding
Miller
applies retroactively),
and State v. Mantich
,
[6] We note that
T.L.O.
is also a “special needs” search case, perhaps more purely
than it is a children’s rights case.
See
469 U.S. at 341–43, 105 S. Ct. at 742–43, 83
L. Ed. 2d at 734–36. In this regard,
T.L.O.
also prizes the interest of school teachers to
maintain order in schools.
See id.
at 343,
[7] Because our holding focuses exclusively on a statutory schema that requires a district court to impose a sentence containing a minimum period of time a juvenile must serve before becoming eligible for parole and that denies a district court the discretion to impose a lesser sentence, we do not consider the situation in which a district court imposes a sentence that denies the juvenile the opportunity for parole in the absence of a statute requiring such a result. Accordingly, we do not determine whether such a sentence would be constitutional.
[8] We do not ignore the legislature’s passage of a statute vesting considerable discretion in district courts to depart from any part of a sentence, including any
[10] The trial judge, applying the factors in Iowa Code section 232.45(7) (2011), denied Lyle’s motion to transfer jurisdiction to juvenile court. The court reviewed Lyle’s criminal history and juvenile court serviсes dating back to age thirteen. The court found [Lyle] has obviously not benefited from any of the juvenile court services provided to date. He has chosen to remain involved with drugs and a gang, and has instigated numerous violent attacks on unsuspecting victims. His demeanor during the reverse waiver hearing demonstrated his complete disdain for the court system and his lack of interest in any remedial program.
[11] Two years after Lyle’s conviction, the legislature prospectively granted sentencing courts discretion to waive mandatory minimums if the defendant was under age eighteen at the time he committed the crime. See 2013 Iowa Acts ch. 42, § 14 (codified at Iowa Code Ann. § 901.5(14) (West, Westlaw current through 2014 Reg. Sess.)). Significantly, however, the legislature chose not to make this amendment retroactive. See Iowa Code § 4.5 (2013) (“A statute is presumed to be prospective in its operation unless expressly made retrospective.”). The majority notes only two other states that have limited or abolished mandatory minimum sentences for juveniles. That presumably means forty-seven states continue to allow mandatory minimum sentences for juvenile felons. It certainly is a reasonable policy choice for our legislature in 2013 to grant trial courts discretion in place of mandatory minimums sentences for juvenile felons. But, today’s decision precludes future legislatures from returning to the former, reasonable policy choice of requiring a minimum prison term for certain violent felonies. What if there is a wave of violent crimes committed by gang members under age eighteen? I would not take the mandatory minimum sentencing option away from the elected branches by holding any mandatory minimum sentence is cruel and unusual punishment under our state constitution. We do not need to go that far and should not do so.
[12] The amendment process is a check on judicial power. Indeed, the people of Florida amended that state’s constitution to require conformity with Supreme Court interpretations of the Eighth Amendment. See Fla. Const. art. I, § 17 (“The prohibition . . . against cruel and unusual punishment[] shall be construed in conformity with decisions of the United States Supreme Court which interpret the prohibition against cruel and unusual punishment provided in the Eighth Amendment to the United States Constitution.”).
[13] The majority seems to take the enactment of the new statute as an implicit concession by the legislature that the previous sentencing scheme was unconstitutional. I disagree. In Bousman , an offender, Bousman, received a one-year sentence for resisting execution of process. 278 N.W.2d at 15–16. Two days before Bousman’s trial began, the new criminal code became effective. See id. at 16. The new criminal code provided a maximum punishment of thirty days in jail for the offense of
