Lead Opinion
In this аppeal, 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 ápplied 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.
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 occurred 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 frеquently 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. § 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.-,
The court of appeals affirmed the sentence. Lyle sought further review and asserted the decision of the court of appeals was contrary to Miller. 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 Rag-land,
II. Scope and Standard of Review.
An unconstitutional sentence is an illegal sentence. See State v. Bruegger,
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.,
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,
IY. 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 shall 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.”).
Article I, section 17 of the Iowa Constitutiоn “embraces a bedrock rule of law that punishment should fit the crime.” Bruegger,
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.” Trap v. Dulles,
Until recently, 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 case-law: outright categorical prohibitions on certain punishments for certain crimes or against certain offenders, e.g., Graham,
By importing the line of cases represented by Lockett, Miller 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,
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.
Yet, “[consensus is not disposi-tive.” Kennedy,
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:
*388 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, West-law current through 2014 Reg. Sess.)).
Just as we typically “owe substantial deference to the penalties the legislature has established for various crimes,” State v. Oliver,
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 grant a work permit to a minor if “the
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. -, -,
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 sentencing for juveniles, a consensus is certainly building in Iowa in the direction of eliminating mandatory minimum sentencing.
In doing so, we cannot ignore that over the last decade, juvenile justice has seen remarkable, perhaps 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. Id.; see also In re Gault,
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,
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,
Sensing the changing perceptions about liberty and due process in the middle of the twеntieth 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,
Following In re Gault, however, little additional progress was achieved. See Guggenheim, 47 Harv. C.R.-C.L. L.Rev. at 466-74. State legislatures generally responded to Kent and In re . Gault by amending their laws to prosecute more juveniles as adults in adult court and to give more juveniles adult sentences. See id. at 472-74; Donna M. Bishop, Juvenile Offenders in the Adult Criminal Justice System, 27 Crime & Just. 81, 84 (2000). As we have recognized, “Kent and In re Gault may have stimulated a mindset of increased exposure of youth to adult criminal sentences.” Null,
Nevertheless, the Court did recognize serious differences in juveniles that supported differential treatment in a few cases. See Johnson v. Texas,
In the context of capital murder, the Court recognized the importance of youth as a mitigating factor. See Eddings,
[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,
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,
Eddings and Thompson demonstrate that while our emerging knowledge of adolescent neuroscience and the diminished culpability of juveniles is indeed compelling, see id. at 836,
Yet, for the bulk of the time after Ed-dings 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,
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.
[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 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 trаits of juveniles are more transitory, less fixed.” Id. at 570,
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(l)(e) (2003)), for actively participating in a series of armed home invasion robberies.
More importantly, despite what appeared to be a national consensus against giving youthful nonhomicide offenders life-without-parole sentences, the Court proceeded to the second prong of analysis in a categorical challenge. See id. at 67-75,
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.
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. Miller, 567 U.S. 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.
Id.
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 Miller. See Ragland,
To be sure, death conceivably remained different not only after the Supreme Court’s opinion in Roper, but after the Court’s opinions in Graham and Miller. 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 the remainder of their life. Graham itself recognized that “life without parole is ‘the second most severe penalty permitted by law.’ ”
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 Miller 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.” Null,
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,
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,
More recently, the United States Supreme Court has recognized а 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 séntencing of juveniles according to statutorily required mandatory mínimums' does not adequately serve the legitimate peno-logical 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,
We recognize the prior cases considering whether certain punishments were cruel and unusual all involved harsh, lengthy sentences, including death sentences. See Miller, 567 U.S. at-,
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-,
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,
Rehabilitation and incapacitation can justify criminally punishing juveniles, but mandatory mínimums 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,
The greater likelihood of reform for juveniles also substantially undermines an incapacitation rationale. See id. at 72-73,
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.’ ” Null,
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 particular
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(l)(e). Consequently, the mandatory minimum sentenсes 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 Miller, but it did 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, 567 U.S. at-,
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. Of Graham,
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.” Id. 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 must serve 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 mandatory minimum 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 mandatory minimum imprisonment. We also recognize our decision will apply to all juveniles currently serving a mandatory minimum sentence of imprisonment. Thus, this casе will require all juvenile offenders who are in prison under a mandatory minimum 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 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.
Accordingly, article I, section 17 of the Iowa Constitution forbids a mandatory minimum sentencing schema for juvenile offenders that deprives the district court of the discretion to consider youth and its attendant circumstances as a mitigating factor and to impose a lighter punishment by eliminating the minimum period of incarceration without parole.
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.
WATERMAN, J., joins ZAGER, J., and MANSFIELD, J., joins both WATERMAN, J., and ZAGER, J.
Notes
. 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, 567 U.S. -, -,
. 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,
. 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.
. The State argues, and Lyle does not disagree, that the statute does not aрply retroactively. See Iowa Code § 4.13(l)(c) (2013).
. We recognize many states are currently wrestling with whether Miller applies retroactively on collateral review. Compare Jones v. State,
. 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
. 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.
. 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 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." Null,
(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.”
. We recognize we have held a mandatory minimum sentence constitutional. See State v. Lara,
. To avoid any uncertainty about the parameters of the resentencing hearing and the role of the district court on resentencing, we reiterate that the specific constitutional challenge raised on appeal and addressed in this opinion concerns the statutory imposition of a minimum period of incarceration without parole equal to seventy percent of the mandatory sentence. The holding in this case does not address the mandatory sentence of incarceration imposed under the statutory sentencing schema or any other issues relating to the sentencing schema. Under article I, section 17 of the Iowa Constitution, the portion of the statutory sentencing schema requiring a juvenile to serve seventy percent of the period of incarceration before parole eligibility may not be imposed without a prior determination by the district court that the minimum period of incarceration without parole is warranted under the factors identified in Miller and further explained in Null. The factors to be used by the district court to make this determination on resentencing include: (1) the age of the offender and the features of youthful behavior, such as "immaturity, impetuosity, and failure to appreciate risks and consequences”; (2) the particular "family and home environment” that surround the youth; (3) the circumstances of the particular crime and all circumstances relating to youth that may have played a role in the commission of the crime; (4) the challenges for youthful offenders in navigating through the criminal process; and (5) the possibility of rehabilitation and the capacity for change. See Miller, 567 U.S. at -,
In order to address the issue raised in this appeal, the district court shall conduct a hearing in the presence of the defendant and decide, after considering all the relevant factors and facts of the case, whether or not the seventy percent mandatory minimum period of incarceration without parole is warranted as a term of sentencing in the case. If the mandatory minimum sentence is not warranted, the district court shall resentence the defendant by imposing a condition that the defendant be eligible for parole. If the mandatory minimum period of incarceration is warranted, the district court shall impose the sentence provided for under the statute, as previously imposed.
Dissenting Opinion
(dissenting).
I respectfully dissent for the reasons set forth in Justice Zager’s dissent, which I join. I write separately beсause I would go further to overrule as plainly erroneous our court’s juvenile sentencing decisions in Pearson and Null 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 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 swéeping, 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 twenty-six? 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,
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?
This is much more than an interesting intellectual debate over jurisprudential philosophies and the proper role 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.
The majority opines that the resentenc-ing 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,
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 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.
I therefore dissent for the reasons set forth above and in Justice Zager’s dissent.
MANSFIELD, J., joins this dissent.
. 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 crimi
[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.
. Two years after Lyle’s conviction, the legislature prospectively granted sentencing courts discretion to waive mandatory mínimums 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 mínimums 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.
. 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.”). ■
Dissenting Opinion
(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 juvеniles constitutes
In both Pearson and Null, we reversed the mandatory minimum sentences imposed on those juvenile offenders based on an application of the “principles in Miller as developed by the Supreme Court in its Eighth Amendment jurisprudence.” Pearson,
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, Null, 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 nonho-micide crime. See id. at 52-53,
The majority’s reason for applying Graham is that juveniles are categorically less
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,
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 whеn 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
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,
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 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,
In rejecting the mandatory sentences in Pearson and Null, we applied the principles espoused by the United States Supreme Court in Miller. Pearson,
The Court began by explaining the differences between children and adults as established in its precedents. 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 -,
While relying heavily on the other two factors, the Court’s holding in Miller 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-,
In rejecting the mandatory minimum sentences imposed in Pearson and Null, 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,
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 Null, 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 Null 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, does offer him the chance at “a more normal adult life.” Pearson,
So too with rehabilitation; it is the “pe-nological 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 Null or Pearson ends 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-,
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 Null, which dramatically extended the circumstances under which a Miller-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.
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,
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: “[Ajpplying 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,
WATERMAN and MANSFIELD, JJ„ join this dissent.
. 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.
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.” Id. 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 sentencing statute "demonstrates that the legislature did not necessarily reject prior penalties as excessively harsh.” Bousman,
