Lead Opinion
By statute, Denem Anthony Null is required to serve at least 52.5 years of his seventy-five-year aggregate sentence for second-degree murder and first-degree robbery. Because he was sixteen years and ten months old at the time of his offenses, he will not be eligible for parole until he attains the age of sixty-nine years and four months. Null argues his lengthy mandatory prison sentence is invalid under the cruel and unusual punishment provisions of the Iowa and United States Constitutions. In the alternative, Null argues the trial court abused its discretion in imposing consecutive sentences.
Null also raises a number of challenges to his underlying convictions. According to Null, he was not properly informed of the elements of the offenses to which he pled guilty and, as a result, his guilty plea in this case is invalid. Null further argues his counsel provided ineffective assistance by failing to ensure he knowingly and voluntarily waived his right to a reverse-waiver hearing. Finally, Null asks us to preserve for postconviction review his claim that his counsel provided ineffective assistance by not consulting with Null pri- or to withdrawing his request for a transfer of jurisdiction to juvenile court.
For the reasons stated below, we affirm Null’s conviction, but vacate his sentence and remand the case to the district court for resentencing consistent with this opinion.
I. Background Facts and Prior Proceedings.
In 2010, the State charged Null with first-degree murder, a class “A” felony, see Iowa Code § 707.2 (2009), after he shot Kevin Bell with a handgun during the commission of a robbery at Bell’s apartment. Null was sixteen years and ten months old at the time. Iowa Code section 232.8(l)(c) required the State to charge Null as an adult in the district court. Null filed a motion to transfer jurisdiction to the juvenile court. Prior to the hearing, Null withdrew his motion and entered into a plea agreement with the State. Null agreed to plead guilty to second-degree murder and first-degree robbery in exchange for dismissal of the first-degree murder charge.
Second-degree murder carries a maximum sentence of fifty years. Id. § 707.3. First-degree robbery carries a maximum sentence of twenty-five years. Id. § 711.2; id. § 902.9(2). Further, convictions for
Null was an only child with a difficult childhood. Null’s presentence investigation report indicated he had been arrested four times, dating back to 2004 when he was just eleven years old, once each for assault and assault causing bodily injury and twice for disorderly conduct. Though he never received an adjudication of delinquency, he did successfully complete one informal adjustment, during which he was placed at Tanager Place, a residential facility providing specialized treatment to children with behavior and psychiatric disorders. The remainder of his charges was dismissed. The report also indicated Null dropped out of school in eleventh grade because he left his father’s home. Prior to that time, however, Null had been expelled from school for altercations with other students and placed in behavior disorder classes, which he apparently completed prior to dropping out. The report also indicated Null did not know whether his parents were working.
Null’s father lived in Kansas City, and although he lived with his mother, she frequently sent him to live with his grandmother. He indicated that he did not like either of his parents because they “constantly put down” the other and that he was closest to his grandmother. Null’s grandmother indicated Null’s parents never treated each other or Null well during his childhood and even asserted that Null and his father were involved in a physical altercation at one point. Null’s mother, who was diagnosed with bipolar disorder, but did not take medication, had a history of drug and alcohol abuse, criminal convictions, and violent behavior. Null indicated he did not get along well with his father because his father was “always talking down” his mother. Further, Null had been a child in need of assistance since 2006. He was subsequently placed in numerous shelters and treatment programs, but went on the run from most of them. In fact, Null was on the run at the time he committed the offenses leading to the sentence at issue here. Null stated he did not drink alcohol even though his mother taught him to “sip beer” as a baby. Null further stated that though he had used marijuana twice, he did not use illegal substances.
According to the minutes of testimony, Null stole a .22-caliber pistol from a friend. At some point thereafter, Null went with his brother and cousin to Bell’s apartment to steal a pound of marijuana. During the robbery, Null shot Bell in the head. When occupants of another room in the apartment appeared, Null and the others fled the scene.
At Null’s sentencing hearing, the court stated that it had no discretion in imposing the fifty-year sentence for second-degree murder or the twenty-five-year sentence for first-degree robbery, but that it did have discretion to determine whether the
The State took exception to the recommendation of the presentence investigation report.
He had a long history of offender interventions that are located on pages 6 and 7 of the presentence report. He had informal adjustments and placed at Foundation 2, Tanager Place, the Linn County Detention Center and just more than a dozen placements and intervention attempts prior to this case, Your Honor. In fact, he was on run from Tanager Place when he committed this murder.
In asking for a concurrent sentence, Null’s counsel referenced the fact that Null was only sixteen years old at the time of the killing. He stated:
My client, Your Honor, at age 16 made a bad decision. And like many people that are age 16 they are not capable of making good decisions sometimes. They are unable to think about what if, what is beyond this immediate decision that I am making.
[[Image here]]
As the presentence investigation reports, this was a one-time occurrence. It’s where a 16-year-old didn’t ask what if and several families have been damaged by this tragedy.
[[Image here]]
If you look at the biographical information on Mr. Null, this was almost predetermined. His involvement with the court system was almost predetermined.
It is not an excuse, because many people have come from backgrounds such as this and have not found themselves in this situation.
Mr. Null did not have the mentoring, did not have the role models, did not have the upbringing that some of us are fortunate enough to have. He didn’t have the time to learn how to look beyond his immediate actions to what might result from those actions.
In sentencing Null, the district court indicated that because it had the benefit of sentencing Null’s codefendants the week before, it had a frame of reference with which to evaluate Null’s conduct for sentencing (each codefendant received twenty-five-year sentences and are eligible for parole after 17.5 years). The court stated that it had read the presentence investigation report and that there had been “significant juvenile court intervention” with Null dating back to early 2005. The court further found the argument that Null did not receive structure or mentoring did not carry a lot of weight because the State had attempted to place Null on numerous occasions and Null ran from them. The court also noted there had been a comment that Bell “came at” Null just prior to the shooting, which the court considered “a little bit of a minimization,” but not a justification. Ultimately, the court ordered Null to serve his sentences consecutively, but indicated he would still have an opportunity to seek parole down the road. The court stated it had considered the nature and circumstances of the offenses, Null’s history and
I find the sentence that I have imposed offers [Null] the maximum opportunity for rehabilitation, balanced against the interest of the community, not only protecting the community but also in receiving justice for what can only be described as a tragedy for all.
II. Scope of Review.
A defendant may challenge his sentence as inherently illegal because it violates the Iowa or Federal Constitutions at any time. State v. Bruegger,
With respect to Null’s ineffective-assistance-of-counsel claims, Null may raise them even though he did not file a motion in arrest of judgment. State v. Keene,
III. Ineffective Assistance.
Null raises ineffective-assistance claims with regard to his plea colloquy and the withdrawal of his request to transfer to juvenile court. To succeed on a claim of ineffective assistance of counsel, Null must establish that his trial counsel failed to perform an essential duty and that prejudice resulted. State v. Schminkey,
A. Adequacy of the Plea Colloquy.
1. Positions of the Parties. Null asserts his counsel was ineffective because his counsel permitted him to plead guilty to murder in the second degree without an adequate explanation from the district court of the required element of malice aforethought. Null also claims his counsel was ineffective for allowing him to plead guilty when the district court had failed to properly advise him on the issue of punishment. Though Null concedes that the district court indicated the maximum punishment of each offense and that if the sentences ran consecutively, his sentence would total seventy-five years, Null argues the district court did not specifically ensure he understood that by accepting the plea deal he could be sentenced to serve seventy-five years in prison with no chance of parole for 52.5 years. See, e.g., State v. White,
The State responds that it is not required that the district court discuss each element of the crime with a defendant to ascertain his understanding of the nature of the offense. The State, however, seems to characterize Null’s claim as questioning whether there was substantial evidence in the record to support the guilty plea to second-degree murder. In any event, the State argues Null has failed to demonstrate prejudice. According to the State, Null has failed to show a reasonable probability he “would have insisted on going to trial.” State v. Tate,
On the issue of length of sentence, the State notes the district court explained to Null the sentences could run consecutively. The State points to the district court’s
2. Discussion. On the question of malice aforethought, we conclude the district court gave an adequate explanation. The district court advised Null that malice was “a state of mind which leads one to intentionally do a wrongful act for an unlawful purpose.” The court further advised Null, “And malice aforethought basically just means that you have this state of mind for some—it can be a brief time prior to committing the act. It could be hours, minutes, days, or even a split second.” The court continued, “It just has to be a state of mind that you had before the shooting.”
We have stated malice aforethought requires a “fixed purpose or design to do some physical harm to another which exists prior to the act committed.” State v. Sharpe,
Under our caselaw, “the court need not review and explain each element of the crime if it is ‘apparent in the circumstances the defendant understood the nature of the charge.’ ” State v. Loye,
We next consider Null’s claim that the district court did not adequately explain the potential penalties to him before he pled guilty. We have held that the district court must adequately explain the penalties, State v. Boone,
At the plea bargain colloquy, the district court advised Null that on the charge of murder in the second degree, he faced a maximum penalty of fifty years in prison subject to a requirement that he serve seventy percent of that sentence before he would be eligible for parole. With respect to robbery in the first degree, the district court advised Null the crime carried a twenty-five-year maximum sentence, subject to a requirement that he serve seventy percent of the sentence before he would be eligible for parole. The district court then advised Null that “[cjonsecutive would mean, essentially, 75 years in prison.” Null stated he understood each statement of the district court.
On this record, we conclude the district court accurately advised Null of the potential sentence that could result from his plea bargain. It is true that when the district court described the impact of consecutive sentences, it did not do the math insofar as explaining that pursuant to the mandatory mínimums Null would be in
B. Withdrawal of Motion to Transfer.
1. Positions of the Parties. Null asserts his counsel was ineffective in connection with the withdrawal of Null’s request to transfer the case to juvenile court. Under Iowa Code section 232.8(l)(c), certain felony violations are excluded from the jurisdiction of the juvenile court and are prosecuted in district court “unless the court transfers jurisdiction of the child to the juvenile court upon motion and for good cause.” Null claims that although the right to transfer to juvenile court is statutory, the State must show a knowing, voluntary, and intelligent waiver of the right. Further, he asserts the district court, in its colloquy, should have reviewed waiver of the right. Null asks that we preserve the issues related to the withdrawal of the motion to transfer for post-conviction review.
The State responds that Null’s claim is essentially a challenge to the authority of the district court and may be waived. State v. Emery,
2. Discussion. It is, perhaps, conceivable that a motion to transfer might amount to a claim “worth raising” under Millam as there is no apparent downside to the motion and considerable advantage to the defendant should the motion be granted. Yet, the record on this appeal does not establish the necessary prejudice required to support an ineffective-assistance claim. See Wills,
IY. Validity of Sentence.
A. Introduction. Null argues his 52.5-year mandatory minimum sentence for crimes committed when he was sixteen years old amounts to a de facto life sentence in violation of the Cruel and Unusual Punishments Clause of the Eighth Amendment. In support of his position, Null cites the trilogy of recent United States Supreme Court decisions, which, in addition to Miller, includes Roper v. Simmons,
In the alternative, Null asks us to find his sentence unlawful under the cruel and unusual punishment provision of article I, section 17 of the Iowa Constitution. In support of his argument, he cites Brueg-ger. In Bruegger, no party argued that an approach different than the federal standards for cruel and unusual punishment should apply under the Iowa Constitution.
Null invites us to take the same type of approach in this case to provide him with relief under the cruel and unusual punishment provision of the Iowa Constitution if his federal cruel and unusual punishment claim fails. As in Bruegger, Null does not invite us to develop a substantive standard for cruel and unusual punishment different from that employed by the United States Supreme Court, but suggests we apply the federal standard independently under the Iowa Constitution.
Null also challenges the decision of the district court to run his fifty-year sentence for second-degree murder and his twenty-five-year sentence for first-degree robbery consecutively rather than concurrently. Null asserts the district court erred in considering the sentences received by co-participants in deciding that Null’s sentences should run consecutively. He further asserts the district court, in imposing consecutive sentences, failed to give adequate consideration to his status as a juvenile and the teachings of Roper, Graham, Miller, and Bruegger. Null asserts the district court further erred when sentencing Null by assuming Null had committed first-degree murder when there was no support for this assumption in the record. Finally, Null claims the district court erred by claiming Null “has the opportunity down the road to seek parole” when he would only be eligible near the end of his life expectancy.
The State responds by urging us to defer to legislative judgments on the matter of punishment. It notes the holdings in Graham and Miller are limited to “juvenile offenders sentenced to life without parole,” see, e.g., Graham, 560 U.S. at -,
On the question of running the sentences consecutively rather than concurrently, the State argues the district court is entitled to broad discretion. See State v. Wright,
In order to address the issues raised in this appeal, we begin with an overview of how juveniles have been treated in our legal system. Against this backdrop, we then consider generally the contours of the Cruel and Unusual Punishments Clause of the Eighth Amendment as interpreted by the United States Supreme Court. Next, we tighten our legal focus by examining recent cases of the United States Supreme Court dealing with juvenile offenders.
B. Overview of Juveniles, Legal Responsibility, and Diminished Culpability.
1. Evolution of the treatment of juveniles in American law. At common law, the notion was that youth under the age of seven lacked criminal capacity, that youth between seven and fourteen were presumed to lack criminal capacity, and that youth over fourteen were presumed to have the capacity to commit criminal acts. Barry C. Feld, Unmitigated Punishment: Adolescent Criminal Responsibility and LWOP Sentences, 10 J.L. & Fam. Stud. 11, 14 n.ll (2007) [hereinafter Feld]; Andrew Walkover, The Infancy Defense in the New Juvenile Court, 31 UCLA L.Rev. 503, 510-11 (1984) [hereinafter Walkover], Thus, in a prosecution of a youth aged between seven and fourteen years, the state was required to overcome the presumption that the youth lacked the mental capacity to commit crimes “by showing that the child knew the wrongfulness of his act.” Walkover, 31 UCLA L.Rev. at 511. For the first hundred years or so after the founding of the United States, juveniles, if they were tried at all, were tried in adult courts. Feld, 10 J.L. & Fam. Stud, at 13-14.
In the late 1890s, the Progressives began to press for the establishment of juvenile courts that would seek to promote the welfare of juvenile offenders. See In re Gault,
But the results were not always satisfactory as translating the rehabilitative model into reality proved difficult. By the 1960s, it became apparent 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. As a result, in 1966 the Supreme Court in Kent v. United States,
2. The law recognizes adolescents as different. Many areas of the law reflect the differences between youth and adults. For instance, adolescents are prohibited by law from engaging in certain behavior thought to be risky. In Iowa, youth under age twenty-one are not permitted access to alcohol, Iowa Code § 123.47, or to engage in pari-mutuel betting, id. § 99D.1K7). Further, those under age eighteen are not permitted access to tobacco products, id. § 458A.2(2), or to obtain tattoos, id. § 135.37(2). The transfer of firearms to a minor is a criminal offense. Id. § 724.22. The State grants graduated driver’s licenses to youth between the ages of fourteen and seventeen under certain restrictions. Id. § 321.180B.
Youth are also prohibited from engaging in a number of important transactions and from participating in important aspects of citizenry. The period of minority generally extends to the age of eighteen, unless the minor is married. Id. § 599.1. Minors may disavow contracts within a reasonable period of time after obtaining majority. Id. § 599.2. Minors may not serve as a fiduciary. Id. § 633.63. Minors may not marry unless they are sixteen or seventeen years old, have their parents’ consent, and a judge approves. Id. § 595.2(4), held unconstitutional in part on other grounds by Varnum v. Brien,
Juvenile offenders are generally not held criminally responsible. Id. § 232.8(1). The criminal law also provides special protection to adolescents in sexual matters. The commission of a lascivious act with a minor is a serious misdemeanor. Id. § 709.14. A teacher who commits sexual conduct with a student is guilty of an aggravated misdemeanor or class “D” felony depending on the presence of a pattern, practice, or scheme. Id. § 709.15(5). A person who provides a pass to or who admits a minor to a premises where obscene material is exhibited, or who sells, gives, delivers, or provides obscene material to a minor commits either a serious or aggravated misdemeanor depending on the age of the minor. Id. § 728.3.
Finally, Iowa law recognizes that juveniles lack judgment to exercise constitutional rights in legal settings. Iowa Code section 232.45(H)(6) provides that statements made by a juvenile at an intake or waiver hearing are inadmissible in a subsequent criminal trial in the prosecution’s case in chief.
3. Expanding juvenile sanctions. A perceived increase in juvenile crime led to dire predictions for the future. Princeton University Professor John Dilulio, Jr. predicted an onslaught of “tens of thousands of severely morally impoverished juvenile super-predators.” John J. Dilulio, Jr., The Coming of the Super-Predators, The Weekly Standard, November 27, 1995, at 23; see also Feld, 10 J.L. & Fam. Stud, at 31 & n.108 (citing politicians who warned of the coming generation of “super-predators”). Criminologist James Alan Fox observed that “‘unless we act today, we’re going to have a bloodbath when these kids grow up.’ ” Brief of Jeffrey Fagan, et al. as Amici Curiae in Support of Petitioners, at 14 & n.13, Miller v. Alabama, 567 U.S. -,
During this time frame, states began to enact laws expanding the exposure of juveniles to criminal sanctions by encouraging the trial of juvenile offenders in adult rather than juvenile courts. See, e.g., 1995
The fear of juvenile predators may be reflected in sentencing practices nationwide. According to one study, “in eleven out of the seventeen years between 1985 and 2001, youth convicted of murder in the United States were more likely to enter prison with a life without parole sentence than adult murder offenders.” Human Rights Watch & Amnesty International, The Rest of Their Lives: Life Without Parole for Child Offenders in the United States 2 (2005). Another study during approximately the same time frame indicates that for violent, weapons-related, and other crimes, juvenile offenders transferred to criminal court were more often sentenced to prison and for longer periods of time than their adult counterparts. Donna Bishop & Charles Frazier, Consequences of Transfer, in The Changing Borders of Juvenile Justice: Transfer of Adolescents to the Criminal Court 227, 284-36 (Jeffrey Fagan & Franklin E. Zimmering eds., 2000).
4. Developments of modem science. While legislative changes in the 1990s ensured more juveniles would be treated as adults in the criminal justice system, developments in social psychology and neuroscience have reinforced traditional notions that juveniles and adults are, in fact, quite different. The United States Supreme Court relied heavily upon the evolving science in its trilogy of recent Eighth Amendment cases involving juveniles. In Roper, the Court cited scientific support for its propositions that juveniles and adults differ in significant ways for the purpose of Eighth Amendment analysis. See
While the number of studies cited in the amicus briefs before the Supreme Court in
As the body of psychosocial studies grows, so too does the understanding of the implications of adolescence. For instance, the human brain continues to mature into the early twenties. Id. at 44. Much of this development occurs in the frontal lobes, specifically, in the prefrontal cortex, which is central to “executive functions,” such as reasoning, abstract thinking, planning, the anticipation of eon-sequences, and impulse control. Id. (internal quotation marks omitted). Recent studies show that through adolescence and into early adulthood, the regions of the brain and systems associated with impulse control, the calibration of risk and reward, and the regulation of emotions undergo maturation. Id. at 45. In short, “[t]he research clarifies that substantial psychological maturation takes place in middle and late adolescence and even into early adulthood.” Id. at 60.
Further, the science establishes that for most youth, the qualities are transient. That is to say, they will age out. A small proportion, however, will not, and will catapult into a career of crime unless incarcerated. Id. at 53 (estimating that only about five percent of young offenders will persist in criminal activity into adulthood). Unfortunately, however, it is very difficult to identify which juveniles are “adolescence-limited offenders,” whose antisocial behavior begins and ends during adolescence and early adulthood, and those who are “life-course-persistent offenders” whose antisocial behavior continues into adulthood. Id. at 54 (internal quotation marks omitted); see also Beth A. Colgan, Constitutional Line Drawing at the Intersection of Childhood and Crime, 9 Stan. J. C.R. & C.L. 79, 81-85 (2013) (summarizing advances in brain imaging and social science); Elizabeth S. Scott & Laurence Steinberg, Social Welfare and Fairness in Juvenile Crime Regulation, 71 La. L.Rev.
5. Waves of “superpredators” fail to appear. The predictions of the mid-1990s that thousands of juvenile superpredators would soon appear and threaten public safety did not materialize. According to a United States Surgeon General’s report, there was no support for the conclusion that youth in the early 1990s — the time when some were predicting an onslaught of superpredators — were involved in crime more violent or more vicious than in earlier years. David S. Tanenhaus & Steven A. Drizin, “Owing to the Extreme Youth of the Accused”: The Changing Legal Response to Juvenile Homicide, 92 J.Crim. L. & Criminology 641, 643 n.9 (2002) [hereinafter Tanenhaus & Drizin] (citing Dep’t of Health & Human Servs., Youth Violence: A Report of the Surgeon General 5 (2001)). By the time Miller reached the United States Supreme Court in 2012, Professors Dilulio and Fox had recanted their views. They joined an amicus brief in Miller that recognized Dilulio’s role in predicting a wave of juvenile superpreda-tors and Fox’s prediction of a “bloodbath when these kids grow up.” See Brief of Jeffrey Fagan, et al. as Amici Curiae in Support of Petitioners, at 14-19, Miller, 567 U.S. -,
6. Question of diminished culpability. The traditional limitations on juvenile actions and the science presented above suggests that juveniles as a general matter should have diminished culpability for criminal activities. As noted in Tison v. Arizona,
C. Overview of Cruel and Unusual Punishment Under the Eighth Amendment.
1. Introduction. The Eighth Amendment declares: “Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.” U.S. Const, amend. VIII. As has been noted by scholars, the opaque phraseology of the Cruel and Unusual Punishments Clause gives rise to more questions than it answers. Douglas A. Berman, Graham and Miller and the Eighth Amendment’s Uncertain Future, 27 Crim. Just. 19, 23 (2013). Nonetheless, a few baseline principles emerge from the cases of the United States Supreme Court.
The Supreme Court for the last century, however, has held that the Eighth Amendment also embraces a proportionality principle, expressed in the truism with ancient roots that the punishment should fit the crime. As noted in Weems v. United States,
Critics have noted that while the Supreme Court has embraced the notion of proportionality, its application of that general principle has not been very consistent.
The Court has recognized its difficulties in the area, noting in Lockyer v. Andrade,
In determining whether a criminal penalty amounts to an Eighth Amendment violation, the Supreme Court looks to contemporary norms, or, in the court’s phraseology, from “the evolving standards of decency that mark the progress of a maturing society.” Trop v. Dulles,
It is by now beyond serious dispute that the Eighth Amendment’s prohibition of “cruel and unusual punishments” is not a static command. Its mandate would be little more than a dead letter today if it barred only those sanctions— like the execution of children under the age of seven — that civilized society had already repudiated in 1791.
Finally, it is clear that the Eighth Amendment is designed to curb legislative excesses. Its very function is, at the margins, to prevent the majoritarian branches of government from overreaching and enacting overly harsh punishments. As the Court noted in Trop, “We cannot push back the limits of the Constitution merely to accommodate challenged legislation.”
First, the Supreme Court has taken a categorical approach in which it has determined the Cruel and Unusual Punishments Clause prohibits the death penalty in certain classes of cases or for particular types of offenders. For example, in Coker v. Georgia,
The Court has also prohibited the death penalty for particular classes of offenders. For example, in Thompson v. Oklahoma,
With respect to cases that did not trigger a categorical approach, the Supreme Court developed a requirement of a careful, individualized determination prior to imposition of the death penalty. In Woodson v. North Carolina,
“[T]he Eighth and Fourteenth Amendments require that the senteneer ... not be precluded from considering,*60 as a mitigating factor, any aspect of a defendant’s character or record and any of the circumstances of the offense that the defendant proffers as a basis for a sentence less than death.”
Eddings,
D. Application of Cruel and Unusual Punishment Concepts to Juvenile Offenders Under the Eighth Amendment.
1. Introduction. For many years, the Supreme Court has recognized the difference between adults and juveniles. For example, in Haley v. Ohio,
In Eddings, the Court recognized that “youth is more than a chronological fact” because “[i]t is a time and condition of life when a person may be most susceptible to influence and to psychological damage.”
Finally, in Johnson, the Court noted the “lack of maturity and an underdeveloped sense of responsibility” of youths “often result in impetuous and ill-considered actions and decisions.”
While the special features of adolescence have long been recognized in the Court’s jurisprudence, the unique features of youth came into focus in Roper, Graham, and Miller. These three cruel and unusual punishment cases have worked a major change in the Court’s approach to juvenile justice.
2. Roper: Recognition of constitutionally significant differences between juveniles and adults through law and science in the death penalty context. The first case of the recent juvenile sentencing trilogy is Roper. There, the Supreme Court granted certiorari to review the striking decision of the Supreme Court of Missouri that Stanford was no longer good law because of an evolving national consensus against the imposition of the death penalty on juveniles. Roper,
The Supreme Court affirmed. Roper,
The Court next recognized three important differences between youth under the age of eighteen and adults, all of which had been noted in prior cases. First, the Court relied upon Johnson’s recognition that youths’ lack of maturity and underdeveloped sense of responsibility often combine to result in impulsive decision making and, in turn, reckless behavior. Id. at 569,
In addition to citing the recognitions of its precedents, the Court relied upon recent scientific advances shedding light on the reasons underlying the differences between youth and adults. In particular, the Court, relying upon the work of Scott and Steinberg, noted that “juveniles have less control, or less experience with control, over their own environment” and that risky and antisocial behavior often end as a teenager matures, which leads to the conclusion that “only a relatively small proportion of adolescents who experiment in risky or illegal activities develop entrenched patterns of problem behavior that persist into adulthood.” Roper,
The Court concluded a categorical prohibition was necessary because “[t]he differences between juvenile and adult offenders are too marked and well understood to risk allowing a youthful person to receive the death penalty despite insufficient culpability.” Id. at 572-73,
The Court concluded with the observation that the United States was the only country in the world that officially sanctioned the juvenile death penalty. Id. at 575,
To sum up, in Roper the Court recognized that juveniles have lessened culpability than adults because juveniles have immature judgment, are more susceptible to negative peer and environmental influences, and have transitional identities in comparison with their fully biologically developed adult counterparts. See Barry C. Feld, A Slower Form of Death: Implications .of Roper v. Simmons for Juveniles Sentences to Life Without Parole, 22 Notre Dame J.L. Ethics & Pub. Pol’y 9, 26-43 (2008) (reviewing the developmental psychological research that bolstered the Supreme Court’s conclusion in Roper). Roper broke new ground regarding the application of the Eighth Amendment against juvenile offenders. When the decision was rendered, seventy-three juveniles faced execution in the United States. Clayton A. Hartjen, Youth, Crime & Justice: A Global Inquiry 121 (2008). In addition to directly affecting these youths, however, there was a substantial question whether the approach in Roper would extend to contexts other than the death penalty where incarcerated juveniles claimed their imprisonment amounted to cruel and unusual punishment in violation of the Eighth Amendment. In other words, was Roper simply a death penalty case, which rested on the slogan “death is different,” or did Roper have wider implications for cruel and unusual punishment cases involving juveniles?
3. Graham: A constitutionally required “second look" for nonhomicide juvenile offenders sentenced to life in prison without parole. The wider view of Roper was vindicated when the Supreme Court decided Graham just five years later. In Graham, the Court considered whether life without parole could be imposed against a juvenile defendant for a nonho-micide offense. 560 U.S. at - ,
The Court first concluded there was a developing national consensus against life-without-parole sentences for juveniles convicted of nonhomicide offenses. Id. at -,
Again relying on the differences between juveniles and adults, the Court concluded the penological justifications of life-without-parole sentences were undermined. Id. at -,
In evaluating whether to categorically prohibit the sentence, the Court concluded a case-by-case approach was undesirable because such an approach would not “with sufficient accuracy distinguish the few incorrigible juvenile offenders from the many that have the capacity for change” or account for the “special difficulties encountered by counsel” in representing juveniles. Id. at -,
In categorically prohibiting life without parole for a juvenile who does not commit a homicide offense, the Court was careful to point out the Eighth Amendment requires only “some meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation.” Id. at -,
4. Miller: differences between juveniles and adults prohibit mandatory life in
The first case considered in Miller was that of Kuntrell Jackson. Jackson came from a family life of violence. Id. at -,
When he was fourteen, Jackson and two other boys decided to rob a video store. Id. One of the boys carried a sawed off shotgun concealed under his coat. Id. At first, Jackson refused to enter the store, but later changed his mind while the robbery was in progress. Id. After he entered the store, Jackson apparently made a comment, either addressing the clerk stating, “[w]e ain’t playin,” or addressing his comrades stating, “I thought you all was playin’.” Id. (internal quotation marks omitted). While Jackson was inside the store, the boy with the shotgun shot and killed a store clerk who threatened to call police. Id. The boys fled the scene empty-handed. Id.
The State of Arkansas charged Jackson with capital felony murder and aggravated robbery. Id. The district court refused to transfer his case to juvenile court. Id. After the jury convicted Jackson, the district court sentenced him to life in prison without parole, the statutory minimum sentence. Id.
The other case concerned Evan Miller, who was also fourteen at the time of his crime. Id. -,
Miller was at home with a friend when a neighbor arrived to make a drug deal with Miller’s mother. Id. at -,
Miller was originally charged as a juvenile, but his case was transferred to adult
In an opinion by Justice Kagan, the Court canvassed its recent precedents. The case implicated two strands of the Court’s precedent under the Cruel and Unusual Punishments Clause. Id. at -,
The Court reiterated the distinctive characteristics of juveniles identified in Roper and Graham — the lack of maturity, the vulnerability to peer pressure, and the lack of a well-formed character — as well as the underpinnings provided by science, social science, and common sense (“on what ‘any parent knows’ ”), “diminish penological justifications for imposing the harshest sentences on juvenile offenders, even when they commit terrible crimes.” Id. at-,
To be sure, Graham’s flat ban on life without parole applied only to nonhomi-cide crimes, and the Court took care to distinguish those offenses from murder, based on both moral culpability and consequential harm. But none of what it said about children — about their distinctive (and transitory) mental traits and environmental vulnerabilities — is crime-specific.
Id. at-,
The Court, however, found it unnecessary to decide whether to impose a categorical ban on life in prison without parole for juveniles, choosing instead to take a narrow route. The Court drew upon Graham ⅛ comparison of a life-without-parole sentence for a juvenile to the death penalty, a penalty “reserved only for the most culpable defendants committing the most serious offenses.” Id. at -,
As a result, the Court did not consider the alternative argument that the Eighth Amendment categorically bans life without parole for juveniles. Id. at-,
5. Implications of the Roper-Graham-Miller trilogy. Roper, Graham, and Miller directly settled a number of controversies. After these cases, it is clear that the Eighth Amendment prohibits the imposition of the death penalty for crimes committed by juvenile defendants, that life in prison without parole cannot be imposed on a juvenile nonhomicide offender, and that mandatory life without parole cannot be imposed on a juvenile who commits homicide without consideration of the mitigating characteristics of youth. All of these results rested on the notion that juveniles are constitutionally different from adults for purposes of the imposition of harsh punishments.
One of the questions not answered in Miller is whether life without parole can ever be imposed for crimes committed by a juvenile. The notion that the Eighth Amendment provides a categorical ban to life-without-parole sentences for juveniles even in homicide cases was urged by the American Bar Association based on its decades-long involvement in juvenile and criminal justice matters. Brief of ABA as Amicus Curiae in Support of Petitioners, at 6-7, Miller, 567 U.S. -,
Miller also does not expressly address to what extent a mandatory minimum sentence for adult crimes can automatically be imposed on a juvenile tried as an adult without allowing the juvenile to seek a lesser sentence based on the reasoning of Roper, Graham, and Miller. The notion that the reasoning of Roper was limited to the death penalty cases was proven wrong in Graham, and the notion that Graham ⅛ reasoning was limited to nonhomicide cases was proven wrong in Miller. Further, the Supreme Court in Miller specifically declared that what it said about juveniles in Roper, Graham, and Miller is not “crime-specific.” Miller, 567 U.S. at -,
In any event, it is unclear what the Supreme Court precisely meant in Graham by requiring the state to provide “some meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation.” 560 U.S. at-,
E. Developments in State Constitutional Law.
1. Cruel and unusual punishment development in other states. Nearly all state constitutions have a provision limiting the scope of punishments that may be imposed on criminal defendants. Richard S. Frase, Limiting Excessive Prison Sentences Under Federal and State Constitutions, 11 U. Pa. J. Const. L. 39, 64-65 (2008) [hereinafter Frase]. Many of them are worded differently in material ways from the Eighth Amendment, while others are closely parallel. Id.; accord 2 Jennifer Friesen, State Constitutional Law: Litigating Individual Rights, Claims and Defenses § 13.02[2], at 13-4 to 13-5 (4th ed.2006) [hereinafter Friesen].
Unlike other areas of law such as search and seizure, where there are hundreds of state law eases that substantially depart from federal interpretations of the Fourth Amendment, there has not been a large body of independent state constitutional law in the area of cruel and unusual punishment. Frase,
For example, in Workman the Kentucky Court of Appeals, then the highest court in the state, held a sentence of life without parole imposed upon a fourteen-year-old rape offender violated the Kentucky Constitution.
With respect to generally applicable proportionality tests, most states employ them, though some have yet to develop a standard independent of that articulated by the United States Supreme Court in Solem. 2 Friesen at § 13.04[l][b], at 13-35 to 13-40; see, e.g., People v. Bullock,
When it comes to post-Miller cases involving challenges to penalties imposed on juveniles, there has been little development of state constitutional law. Most recent state court decisions have claimed to follow the Roper-Graham-Miller framework under their state constitutions. For instance, in Commonwealth v. Batts,
2. Cruel and unusual punishment under the Iowa Constitution. Article I, section 17 of the Iowa Constitution, in a similar manner to its federal counterpart, provides that “cruel and unusual punishment shall not be inflicted.” Defendants generally have not suggested any distinction between the analysis applicable to the state clause and the federal clause. See State v. Musser,
In Bruegger, we considered an important question regarding the applicability of Roper concepts outside the death penalty context. There, an adult offender received a lengthy enhanced sentence as a result of a previous conviction that occurred when he was twelve years old.
F. Application of Cruel and Unusual Punishment Principles.
1. Introduction. As indicated above, Null challenges his sentence under the Eighth Amendment to the United States Constitution and article I, section 17 of the Iowa Constitution. In this case, Null urges that we take the principles of Miller and apply them under the facts of this case under the Iowa Constitution. See id. at 883 (applying principles espoused in Roper in a more stringent fashion under the Iowa Constitution than had been explicitly adopted by the Supreme Court under the United States Constitution). As explained at length below, we are persuaded that Miller ⅛ principles are sound and should be applied in this case. As in Bruegger, we reach our conclusion independently under article I, section 17 of the Iowa Constitution.
2. Applicability of the principles underlying Roper, Graham, and Miller. Null received a lengthy term-of-years sentence based on the aggregation of his sen
First, we note that Miller emphasizes that nothing said in Roper, Graham, or Miller is “crime-specific.” Miller, 567 U.S. at -,
Second, we believe that while a minimum of 52.5 years imprisonment is not technically a life-without-parole sentence, such a lengthy sentence imposed on a juvenile is sufficient to trigger Miller-type protections. Even if lesser sentences than life without parole might be less problematic, we do not regard the juvenile’s potential future release in his or her late sixties after a half century of incarceration sufficient to escape the rationales of Graham or Miller. The prospect of geriatric release, if one is to be afforded the opportunity for release at all, does not provide a “meaningful opportunity” to demonstrate the “maturity and rehabilitation” required to obtain release and reenter society as required by Graham, 560 U.S. at -,
We recognize that the evidence in this case does not clearly establish that Null’s prison term is beyond his life expectancy. A generalized mortality table submitted in the district court suggests that Null’s sentence may closely come within two years of his life expectancy, but not exceed it. It may be, as some have suggested, that long-term incarceration presents health and safety risks that tend to decrease life expectancy as compared to the general population. See, e.g., People v. J.I.A., No. G040625,
We conclude that Miller ⅛ principles are fully applicable to a lengthy term-of-years sentence as was imposed in this case because an offender sentenced to a lengthy term-of-years sentence should not be worse off than an offender sentenced to life in prison without parole who has the benefit of an individualized hearing under Miller. We recognize that some courts have viewed Miller more narrowly, holding that it applies only to mandatory sentences of life without parole. See, e.g., People v. Sanchez, No. B230260,
We also recognize that some courts have held Miller does not apply where the lengthy sentence is the result of aggregate sentences. See, e.g., Bunch v. Smith,
3. Content of sentencing requirements in juvenile cases. Having determined the rationale of Miller applies to this case, we now consider what the district court is required to do in deciding whether a juvenile defendant should be sentenced to a half century in prison. The Supreme Court has directed that a trial court must undertake an analysis of “[everything [it] said in Roper and Graham ” about youth. Miller, 567 U.S. at -,
We think the direction from the Supreme Court that trial courts consider everything said about youth in Roper, Graham, and Miller means more than a generalized notion of taking age into consideration as a factor in sentencing. See People v. Araujo, Nos. B235844, B240501,
First, the district court must recognize that because “children are constitutionally different from adults,” they ordinarily cannot be held to the same standard of culpability as adults in criminal sentencing. Miller, 567 U.S. at -,
If a district court believes a case presents an exception to this generally applicable rule, the district court should make findings discussing why the general rule does not apply. See, e.g., Simmons,
Second, the district court must recognize that “[j]uveniles are more capable of change than are adults” and that as a result, “their actions are less likely to be evidence of ‘irretrievably depraved character.’ ” Graham, 560 U.S. at -,
Finally, and related to the previous discussion, the district court should recognize that a lengthy prison sentence without the possibility of parole such as that involved in this case is appropriate, if at all, only in rare or uncommon cases. Miller, 567 U.S. at -,
At the same time, it bears emphasis that while youth is a mitigating factor in sentencing, it is not an excuse. See Miller, 567 U.S. at -,
Because of our disposition of this case, it would be premature at this time to consider issues that need not be decided today. For instance, we do not consider whether the sentence in this case would be cruel and unusual under a gross proportionality or any other type of proportionality analysis. Any proportionality question will be considered only after the district court applies the principles of Miller to Null’s sentence. Further, we do not decide whether mandatory minimum sentences for adults may be automatically imposed upon juveniles without consideration of the diminished culpability of juvenile defendants. Similarly, like in Miller, we do not decide whether lengthy sentences of fifty years in prison or more are categorically banned. We simply conclude that under article I, section 17 of the Iowa Constitution, this case must be remanded to the district court for resentencing in light of the requirement of Miller that the district court consider all that was said in Roper and its progeny about the distinctive qualities of youth. We emphasize that the sole issue on remand is whether Null may be required to serve 52.5 years in prison before he is eligible for parole consideration.
We recognize that upon remand, one of the issues the district court will need to consider is the question of whether Null’s sentences for second-degree murder and first-degree robbery will run concurrently or consecutively. Ordinarily, such a determination rests within the sound discretion of the district court. Here, however, the district court must consider wheth
Y. Conclusion.
For the reasons expressed above, the sentence in this case is vacated. We remand the case to the district court for resentencing consistent with this opinion.
DISTRICT COURT SENTENCE VACATED AND CASE REMANDED WITH INSTRUCTIONS.
Notes
. The presentence investigation report recommended concurrent sentences for Null. The report indicated that it took Null’s age into consideration, that the convictions were based on a single incident, that he would have served a substantial portion of his fifty-year sentence by the time the twenty-five-year sentence was imposed in the event of consecutive sentences, and that concurrent sentences would hold Null accountable while protecting the community.
. In particular, the scientific studies were surveyed and synthesized in the Brief for the American Psychological Ass’n, American Psychiatric Ass’n and National Ass’n of Social Workers as Amici Curiae in Support of Petitioners, Miller v. Alabama, 567 U.S.-,
. See, e.g., Ian P. Farrell, Gilbert & Sullivan and Scalia: Philosophy, Proportionality, and the Eighth Amendment, 55 Vill. L.Rev. 321, 322 & n.ll (2010) (noting the justices’ "chronic disagreement about the precise contours” of proportionality); Donna H. Lee, Resuscitating Proportionality in Noncapital Criminal Sentencing, 40 Ariz. St. L.J. 527, 530 (2008) (characterizing Supreme Court as "fractiously divided” in its approach to proportionality); Youngjae Lee, The Constitutional Right Against Excessive Punishment, 91 Va. L.Rev. 677, 679-81, 695-99 (2005) (explaining the Court's "conceptual confusion over the meaning of proportionality”); Wayne A. Logan, Proportionality and Punishment: Imposing Life Without Parole on Juveniles, 33 Wake Forest L.Rev. 681, 693-706 (1998) (tracking evolution of proportionality principle in Supreme Court cases involving life-without-parole sentences).
. The Supreme Court in Miller did not expressly cite to peer-reviewed studies in reaching its conclusion, but citing the briefs of amici, noted "the science and social science supporting Roper's and Graham's conclusions have become even stronger.” Miller v. Alabama, 567 U.S. -, -n. 5,
. The American Academy of Child and Adolescent Psychiatry (AACAP), which filed ami-cus briefs in Roper, Graham, and Miller pointing out biological differences between juvenile and adult brains, has urged that juveniles serving life-without-parole sentences receive an initial sentencing review within five years or by the age of twenty-five, whichever occurs first. Am. Acad, of Child & Adolescent Psychiatry, Policy Statement: Juvenile Life Without Parole: Review of Sentences (April 2011), available at http://www.aacap.org/cs/root/ poIicy_statements/juvenile_life_without_ parole_review_of_sentences. Such a sentence review, according to the AACAP, must include "a review of educational and court documents as well as a comprehensive mental health evaluation, conducted by a child mental health professional.” Id..; see also Gerard Glynn & Ilona Vila, What States Should Do To Provide a Meaningful Opportunity for Review and Release: Recognize Human Worth and Potential, 24 St. Thomas L.Rev. 310, 323 (2012).
. See Beth Caldwell, Twenty-Five to Life for Adolescent Mistalces: Juvenile Strikes as Cruel and Unusual Punishment, 46 U.S.F. L.Rev. 581, 615 (2012) ("The reasoning employed in Bruegger is bolstered by the Graham decision, which extended Roper to a non-death penalty case.”); see also Christopher J. Walsh, Comment, Out of the Strike Zone: Why Graham v. Florida Makes it Unconstitutional to Use Juvenile Convictions as Strikes to Mandate Life Without Parole Under § 841(B)(1)(A), 61 Am. U.L.Rev. 165, 186-204 (2011) (urging the extension of Graham to prohibit enhancement of sentences to mandatory life without parole based on juvenile-age prior convictions for defendants convicted of drug trafficking in violation of 21 U.S.C. § 841).
. A decision of this court to depart from federal precedent arises from our independent and unfettered authority to interpret the Iowa Constitution. State v. Baldon,
. See, e.g., Cal.Penal Code § 1170(d)(2) (West, Westlaw current through ch. 70 of 2013 Reg. Sess.) (offering juvenile offenders sentenced to life without parole several opportunities to ask for a reduced sentence of twenty-five years to life beginning after fifteen years imprisonment); Del.Code Ann. tit. 11 § 4209A (West, Westlaw current through 79 Laws 2013, chs. 1-61) (providing the possibility of parole eligibility to juveniles convicted of first-degree murder after twenty-five years); N.C. Gen.Stat. Ann. § 15A-1340.19A (West, Westlaw current through S.L.2013-128, 130-144 of the 2013 Reg. Sess.) (providing parole eligibility for juveniles convicted of first-degree murder after twenty-five years imprisonment); 18 Pa. Cons.Stat. Ann. § 1102.1(a) (West, Westlaw current through Reg. Sess. Act 2013-11) (providing parole eligibility for juveniles age fifteen and older convicted of homicide after thirty-five years and for those under fifteen years of age after twenty-five years); Utah Code Ann. §§ 76-5-202(3)(e), 76-3-207.7 (West, Westlaw current through 2013 Gen. Sess.) (providing that juveniles convicted of first-degree murder are eligible for parole after serving twenty-five years); Wyo. Stat. Ann. § 6-10-301(c) (West, West-law current through 2013 Gen. Sess.) (providing parole eligibility for juveniles convicted of first-degree murder after twenty-five years imprisonment); see also H.R.1993, 89th Gen. Assemb., Reg. Sess. (Ark.2013) (amending Arkansas Code section 5-10-101(c) to provide that juveniles convicted of first-degree murder may be sentenced to life in prison without possibility of parole for twenty-eight years); H.R. 152, 2013 Reg. Sess. (La.2013) (providing, in newly enacted section 15.574.4(E) of Louisiana Revised Statutes, the possibility of parole eligibility for juveniles convicted of first or second-degree murder after thirty-five years imprisonment); L. 44, 103d Leg., 1st Sess. (Neb.2013) (giving a trial court discretion to impose a term-of-years sentence ranging from forty years to life after considering specific factors related to youth); S. 239, 2013 Leg. Assemb., 88th Sess. (S.D.2013) (granting a trial court discretion to impose a sentence less than life without parole on a juvenile convicted of first or second-degree murder following consideration of specific factors related to youth and providing that life without parole "should normally be reserved for the worst offenders and the worst cases”).
. Some have suggested a lack of "certainty” in our disposition. The demand for certainty,
Further, slippery-slope arguments, like arguments seeking certainty, are two-way streets. Frederick Schauer, Slippery Slopes, 99 Harv. L.Rev. 361, 381 (1985) ("[I]n virtually every case in which a slippery-slope argument is made, the opposing party could with equal formal and linguistic logic also make a slippery slope claim.”). One could plausibly employ a slippery-slope argument to suggest the elimination of the Cruel and Unusual Punishments Clauses of the State and Federal Constitutions by deferring to other branches of government.
Concurrence Opinion
(concurring in part and dissenting in part).
I join in the court’s opinion to the extent it affirms the defendant’s convictions. I respectfully dissent as to the reversal of the defendant’s sentence.
To begin with, I believe the sentencing proceeding in this case complied with Miller v. Alabama, 567 U.S. -,
Unfortunately, the majority opinion goes well beyond that, providing pages of material. Yet at a critical point, the majority’s reasoning is cursory. The majority invokes the Iowa Constitution in a brief paragraph without explaining why it is doing so and whether it intends to depart from Miller This creates additional and unnecessary uncertainty as to the scope and meaning of the majority opinion.
In addition to the aforementioned concerns, I agree with my colleague Justice Zager that the district court did not abuse its discretion in imposing consecutive sentences and therefore join part II of his dissent.
I. Background.
Let us review the facts: Denem Null and two companions felt they had been slighted in a drug transaction. Null stole a handgun. Null and his companions then forced their way into an apartment, intending to rob the residents. The victim, an innocent bystander who was not a drug user or dealer, stood at the door. Null pointed the gun at him and demanded the “f-” marijuana. The victim told Null and his companions to leave. Null shot the victim twice in the head, killing him. Null then pointed the gun at the victim’s companion,- who turned her head, fearing she would be shot. At that point, however, someone in the back bedroom opened a door. Null and his companions realized there were additional persons in the apartment and decided to flee. After Null was arrested and read his rights, he stated that “he did not care that he was going to jail for life for murder.”
Null was originally charged with first-degree murder. However, a plea agreement was reached. The State added a charge of first-degree robbery; Null agreed to plead guilty to that charge and to a charge of second-degree murder; the first-degree murder charge was dismissed. Under the plea agreement, whether the murder and robbery sentences would run concurrently or consecutively was left up to the court to determine at sentencing. Null understood the State was going to
By the time of the sentencing hearing, Null had turned eighteen. The presen-tence investigation (PSI), which the district court clearly had read and which it discussed at the sentencing, recommended concurrent sentences. In explaining this recommendation, the PSI cited the defendant’s age. The PSI also described Null’s difficult family circumstances. Yet, in addition, it quoted Null’s acknowledgment, “I had everything I needed to do right.” Following verbal presentations by the victim’s family, the prosecutor, and defense counsel, Null was given the opportunity to address the court. He told the court, “I ain’t got nothing to say.” The district court decided to make the two sentences consecutive. It gave a detailed explanation for its decision.
Our task on appeal should be straightforward. Null was sentenced before the United States Supreme Court decided Miller. Now we have the benefit of Miller. We need to determine whether Null’s existing sentence comports with Miller. If it doesn’t, then we need to remand the case for the district court to resentence in light of Miller. Unfortunately, the majority overlooks the first issue and overdoes the second.
Moreover, at the end of its opinion, the majority needlessly injects uncertainty into its ruling by detouring into Iowa constitutional law. Although the relevant precedent (Miller) is a federal constitutional case decided only one year ago, the majority proclaims that it is applying “the principles of Miller ... under the Iowa Constitution.” What this statement means is unclear. How do you “apply” a federal constitutional decision under the state constitution? I fear this strange statement will lead to confusion among lawyers and judges. Instead, we should be direct and clear about whether we are requiring something that Miller does not require.
II. Null’s Sentence Does Not Violate Miller.
I do not believe Null’s sentence violates Miller; hence, in my view, no resentencing is necessary. I will assume for the sake of argument that Null’s murder sentence and his robbery sentence should be aggregated into one sentence because they arose out of a single course of events. I will also assume for the sake of argument that a requirement to serve 52.5 years minimum before parole eligibility is a de facto life without parole (LWOP) sentence, although this is a close call. See People v. Caballero,
Nevertheless, the district court had discretion whether to impose consecutive or concurrent sentences. Concurrent sentences would have made Null eligible for parole after serving thirty-five years. Thus, the outcome of 52.5 years before parole eligibility was not mandatory. Additionally, before making the sentences
In other words, the court did what it was supposed to do under Miller. It took into account all the mitigating evidence relating to Null’s youth, but ultimately found it was outweighed by other considerations. At sentencing, Null’s attorney argued almost all of the Miller factors, including his client’s chronological age, his lack of maturity, the absence of mentoring or a stable upbringing, and the circumstances of the offense including the extent of Null’s participation. Any Miller factors not expressly raised by Null’s counsel were clearly considered by the district court, as evidenced by its remarks at sentencing. For these reasons, I believe the sentencing here complied with Miller.
A Connecticut appellate court has reached a similar conclusion in like circumstances in State v. Riley,
[E]ven though the defendant declined to avail himself fully of the opportunity to present mitigating evidence related to his youth and upbringing, it is clear that the court was cognizant of these issues and searched the presentence investigation report for circumstances that might have militated against imposing a life without parole sentence.
Id. at 310. The Connecticut appellate court also declined to require sentencing courts to engage in express, on-the-record consideration of the incidents of youth. Id. at 315 (observing that “sentencing, of course, is not a science”); see also Conley v. State,
In summary, and contrary to my colleagues’ suggestion, what the district court did here involved far more than “a generalized notion of taking age into consideration as a factor in sentencing.”
But even if we believe the sentence did not comply with Miller, there is a simple solution: We should just remand for the district court to apply Miller. This requires only a brief opinion, such as what we say in footnote 5 of our opinion this term in State v. Ragland,
The Wyoming Supreme Court’s decision in Bear Cloud v. State,
The law in this case is Miller. The pages of social science and history offered by the majority do not provide additional legal standards or meaningful guidance. They are unnecessary.
If some controverted point concerning Miller comes up after resentencing, we
At the end of its opinion, the majority tries to move into the practical world and explain “what the district court is required to do” to comply with Miller. However, I find the explanation unenlightening, and I fear our district courts will as well. My colleagues repeatedly say that “the district court must recognize” certain propositions. What does this directive mean? If it means that our trial judges must take on a certain state of mind when sentencing juveniles, how is that to be enforced? We don’t usually remand cases for judges to “recognize” things.
At one point, the majority says the district court should make findings if it is not following “the general rule” that children “cannot be held to the same standard of culpability as adults in criminal sentencing.” This also strikes me as an odd statement for the court to make. A conscientious trial judge can readily accept the proposition that a juvenile like Null should not be held to the same standard of culpability as an adult. So it is unclear to me that there would ever be an occasion for such a finding. However, the standard of culpability and the sentence are two different things. Just because a juvenile is held to a lesser standard of culpability, it does not follow that a juvenile cannot receive consecutive sentences when, as here, he intentionally shoots an unarmed bystander twice in the head and kills him in the course of an armed robbery.
IV. The Majority’s Decision to Apply Miller “Under” the Iowa Constitution Will Lead to Uncertainty.
Historically, when interpreting the Iowa Constitution, this court has deferred to United States Supreme Court interpretations of similarly worded provisions of the United States Constitution. See, e.g., State v. Musser,
Recently, however, we have said in various contexts that we may apply — or will apply — provisions of our constitution “more stringently” than corresponding provisions of the United States Constitution. See, e.g., State v. Kooima,
While I wholeheartedly agree we have the ultimate authority to interpret the Iowa Constitution, I have misgivings about these kinds of statements. We are all judges who seek to apply the law neutrally and fairly as we understand it. To say we apply the Iowa constitution “more stringently” is to import a value-laden terminology into our opinions. “Stringent” is not a term that helps one decide a particular case; it describes instead a mindset or outlook. It is like saying, “We are more protective of rights than the United States Supreme Court,” or depending on your
When our court borrows from federal precedent but ultimately departs from it, we owe an obligation to be clear about the extent and nature of our departure and the analytical framework we are following. This helps trial judges and lawyers know what is expected of them in the future. “More stringent” does not fulfill that obligation.
Having said that, it is one thing to make these statements when the underlying United States Supreme Court standard is a balancing test, such as whether a criminal sentence is “grossly disproportionate” to the underlying crime. See Oliver,
Here, however, we do not have that excuse. Miller is not a balancing case. It involves, rather, the “confluence” of two factors — (1) a mandatory life without parole sentence that was imposed without consideration of the mitigating qualities of youth on (2) an individual who committed a crime when under the age of eighteen. See Miller, — U.S. at-,
My colleagues are not explicit. Rather, they say they are applying “the principles of Miller ... under the Iowa Constitution.” I do not know what this means. The only clue can be found in the preceding citation to Bruegger, where my colleagues include a parenthetical statement that we have applied “principles espoused in Roper in a more stringent fashion under the Iowa Constitution than had been explicitly adopted by the Supreme Court under the United States Constitution.” This suggests my colleagues may be following something more than just Miller. But if so, they should say what it is, why they are taking this approach, and what in Iowa’s constitution justifies it.
To my knowledge, no other state supreme court has applied Miller in this way. Other courts have simply implemented Miller and said that is what they are doing.
In sum, I believe the sentencing hearing in this case complied with Miller. But if a new sentencing hearing is necessary, we should just order it. And while we are at it, we should be forthright as to whether we are following Miller and, if not, what additional requirements we are imposing and why.
For the foregoing reasons, I respectfully concur in part and dissent in part.
WATERMAN, J., joins this concurrence in part and dissent in part.
. For example:
My client, Your Honor, at age 16 made a bad decision. And like many people that are age 16 they are not capable of making good decisions sometimes. They are unable to think about what if, what is beyond this immediate decision that I am making.
... He made that bad decision. And he didn’t have the foresight, the maturity, the wisdom to ask himself what if. What if.
[[Image here]]
If you look at the biographical information on Mr. Null, this was almost predetermined. His involvement with the court system was almost predetermined.
[[Image here]]
Mr. Null did not have the mentoring, did not have the role models, did not have the upbringing some of us are fortunate enough to have....
It is a terrible tragedy.... It results from a mistake. The mistakes of a young man who couldn’t see past the length of his arm as to what could have happened, as to what ultimately did happen.
Your Honor, I’m asking you to impose these sentences concurrently as a recognition of that mistake of youth.
. As noted above, I also join part II of Justice Zager’s dissent concluding that the district court did not abuse its discretion in imposing consecutive sentences. In addition, I do not believe that Null’s sentence can be viewed as grossly disproportionate to his crime and therefore unconstitutional within
. Those factors are:
(a) “the character and record of the individual offender [and] the circumstances of the offense,” Miller, 567 U.S. at -,132 S.Ct. at 2467 (quotation marks omitted);
(b) “the background and mental and emotional development of a youthful defendant,” id.;
(c) a juvenile's “chronological age and its hallmark features-among them, immaturity, impetuosity, and failure to appreciate the risks and consequences,” id., 567 U.S. at -,132 S.Ct. at 2468 ;
(d) “the family and home environment that surrounds” the juvenile, "no matter how brutal or dysfunctional,” id.;
(e) "the circumstances of the homicide offense, including the extent of his participation in the conduct and the way familial and peer pressure may have affected" the juvenile, id.;
(f) whether the juvenile “might have been charged and convicted of a lesser offense if not for incompetencies associated with youth,” e.g., the juvenile's relative inability to deal with police and prosecutors or to assist his own attorney, id.; and
(g) the juvenile’s potential for rehabilitation, id.
Bear Cloud,
. My colleagues do not say that a district court must make specific findings on each of the Miller factors. To my knowledge, no published opinion in any other jurisdiction has held that such findings are required. Cf. State v. Fletcher,
. In lieu of responding to this point, the majority attacks a straw man. The majority accuses me of taking the position that ‘‘[a]ny decision to depart from federal precedent” is "value-laden.” I have not said that. Certainly, it is possible for courts to engage in legitimate forms of state constitutional interpretation and come to a different conclusion from federal precedent. However, simply saying you interpret the state constitution "in a more stringent fashion” does not describe an actual method of interpretation.
. Certain other state courts have expressly rejected the proposition their constitution requires something more than Miller. See Conley,
My colleagues try to justify their approach by stating that Null argued for it — "Null urges
Concurrence Opinion
(concurring in part and dissenting in part).
I concur in the majority opinion which affirmed Null’s convictions and the rulings on the claims of ineffective assistance of counsel. I respectfully dissent as to the reversal of the defendant’s sentence.
Both the majority opinion and Justice Mansfield’s opinion provide the factual background which leads us here, so I will not recite these facts again as part of this opinion. Because Null was sentenced before Miller v. Alabama, 567 U.S. -,
I. Miller Does Not Apply to Null’s Sentence.
The majority opinion does an excellent job of tracing the evolution of the Eighth Amendment jurisprudence involving juvenile offenders. I also agree that juveniles are constitutionally different from adults for imposition of a state’s harshest penalties — either the death penalty or life without parole (LWOP). As the majority properly notes, however, none of the cases in the trilogy of Roper v. Simmons,
I acknowledge that there is a split of authority on whether Miller or Graham should be applicable to a term-of-years sentence. Numerous courts have held that a term-of-years sentence, however long, does not fall within the principles of Graham and Miller.
An expansion of the Graham and Miller requirements to cases involving term-of-years sentences similar to Null’s would also lead to uncertainty and confusion.
As the Sixth Circuit notes in Bunch v. Smith:
“At what number of years would the Eighth Amendment become implicated in the sentencing of a juvenile: twenty, thirty, forty, fifty, some lesser or greater number? Would gain time be taken into account? Could the number vary from offender to offender based on race, gender, socioeconomic class or other criteria? Does the number of crimes matter? There is language in the Graham majority opinion that suggests that no matter the number of offenses or victims or type of crime, a juvenile may not receive a sentence that will cause him to spend his entire life incarcerated with*86 out a chance for rehabilitation, in which case it would make no logical difference whether the sentence is “ ‘life’ ” or 107 years. Without any tools to work with, however, we can only apply Graham as it is written.”
The majority also notes that after Miller, the Supreme Court in several cases involving aggregate crimes, granted certio-rari, vacated the sentence, and remanded the cases for reconsideration in light of Miller. However, each of the cases cited by the majority requiring remand included the predicate LWOP sentence in a homicide context which is distinguishable from the term-of-years sentence imposed in Null. See Blackwell v. California, 578 U.S. -, -,
Clearly there is no overall consensus that Graham or Miller should apply to cases involving a de facto or functional equivalent of LWOP. The United States Supreme Court has had the opportunity to review cases that would allow it to expand the reasoning in Graham and Miller to cases of de facto life sentences very similar to the one given to Null, and it has declined to do so. See, e.g., Bunch,
II. The District Court Did Not Abuse Its Discretion in Making Null’s Sentences Consecutive.
Null argues that the district court abused its discretion by imposing consecutive sentences. The majority does not
the decision of the district court to impose a particular sentence within the statutory limits is cloaked with a strong presumption in its favor, and -will only be overturned for an abuse of discretion or the consideration of inappropriate matters.
State v. Formaro,
In order to comply with its statutory duty, the district court is required to determine a sentence based on what “is authorized by law for the offense,” and which sentence will, “in the discretion of the court, ... provide maximum opportunity for the rehabilitation of the defendant, and for the protection of the community from further offenses by the defendant and others.” Iowa Code § 901.5 (2009).
We have provided guidance to district court judges in applying their discretion, stating that judges should
“[wjeigh and consider all pertinent matters in determining proper sentence, including the nature of the offense, the attending circumstances, defendant’s age, character and propensities and chances of his reform. The courts owe a duty to the public as much as to defendant in determining a proper sentence. The punishment should fit both the crime and the individual.”
State v. Leckington,
In pronouncing sentence here, the district court emphasized that Null had received “significant juvenile court intervention ... that date[d] back to ... at least early 2005 according to the presentence report.” The court noted Null’s resistance to offered interventions and stated, “I can’t lose sight also that Mr. Null went to this apartment with a loaded gun and the victim was shot in the head.” The court concluded: “[Biased on all the information before me, I feel that consecutive sentences are appropriate in this case.” The court articulated the reasons for the conclusion as follows:
In determining the sentence as I have summarized here in open court, I have considered the entirety of the presen-tence report including the recommendation that was made by the report writer. I did consider that and determined that I was not going to follow that recommendation.
I consider the nature and circumstances of the offenses, consider the history and characteristics of the Defendant including his age and prior interventions that I have mentioned. I have considered the recommendation of both counsel in this case. I find the sentence that I have imposed offers the Defendant the maximum opportunity for rehabilitation, balanced against the interests of the community, not only protecting the community but also in receiving justice for what can only be described as a tragedy for all.
III. Conclusion.
For the foregoing reasons, I would affirm the sentence imposed by the district court.
. See Bunch v. Smith,
. United States v. Mathurin, No. 09-21075-Cr,
