State of Iowa v. Keyon Harrison
State of Iowa v. Keyon Harrison
Opinion of the Court
*185Keyon Harrison appeals his conviction for first-degree murder. Harrison argues applying the felony-murder rule to juvenile offenders based upon a theory of aiding and abetting violates the Iowa and United States Constitutions. Harrison also presents as-applied and categorical constitutional challenges to his sentence claiming a sentence of life with the possibility of parole for a juvenile offender who was convicted of felony murder constitutes cruel and unusual punishment under the Iowa and United States Constitutions. Further, Harrison maintains the trial court failed to provide the jury with proper instructions regarding the types of assault required to establish the forcible felony robbery element of felony murder. Finally, Harrison presents ineffective-assistance-of-counsel claims alleging he was prejudiced by the errors of his trial counsel, including trial counsel's failure to request certain jury instructions and failure to object to certain evidence presented at trial. For the reasons set forth below, we affirm the conviction and sentence.
I. Background Facts and Proceedings.
On November 7, 2014, starting at approximately 3:45 p.m., Aaron McHenry began receiving calls and text messages from Keith Collins who was looking to buy marijuana from McHenry. Collins, then seventeen years old, and Keyon Harrison, then sixteen years old, were at an Oasis store at the time, and they initially wanted to meet McHenry at the Oasis store. However, McHenry did not know where the Oasis store was located. Therefore, McHenry arranged for them to meet at the Family Dollar store near the 2600 block of Hickman Lane around 4:20 p.m. The purpose of the meeting was to complete the sale of marijuana from McHenry to Collins and Harrison.
At 4:23 p.m., Shirley Dick was taking her dogs outside when she saw a black male, later identified as Collins, walking near her home at 2600 Hickman Lane. Dick approached Collins to see if there was anything she could help him with, and Collins told her that he was waiting for his girlfriend. Dick told Collins there were no kids that lived on her street, and Collins turned away without responding to her. Thereafter, Dick noticed Jorge Gutierrez, a nearby neighbor, chasing his dog as it ran from his house in the direction of Dick's house. Dick waited outside, offering to help Gutierrez retrieve his dog.
While Gutierrez was retrieving his dog and returning home, he observed Collins sitting on a retaining wall on Hickman Lane. Gutierrez also saw McHenry and Harrison walking from 26th Street in the direction of Hickman Lane. Gutierrez saw McHenry and Harrison begin to walk faster, and they eventually "started to, like, push each other." Nevertheless, Gutierrez went back inside, and Shirley Dick turned to walk back towards her home.
*186As she turned around, Dick heard gunshots, and she saw Collins take off running underneath nearby bushes. Dick testified that Collins was "maybe five feet" from McHenry when she turned around, but she did not see Harrison or anyone else in the area.
Several other neighbors told police they saw two black males running away from the area, and two nearby homeowners provided police with security camera footage from their homes showing a black male running away from the area. Camera footage at Broadlawns Hospital, taken shortly after the shooting, shows Collins and Harrison together at the hospital where Collins was treated for an injury to his right hand. Harrison and Collins then went to meet up with Harrison's girlfriend at her residence. The girlfriend testified that when she joined them, she saw Harrison "was holding two bags of marijuana in his hands, like baseball size". Thereafter, the group went to a store to buy blunt wraps for smoking marijuana, and Harrison and Collins smoked some of the marijuana when they returned to the girlfriend's house. Harrison and Collins then returned to Collins's apartment around 8:00 p.m.
When police responded to the 911 call about a shooting at Hickman Lane, they discovered Aaron McHenry's dead body. McHenry had multiple gunshot wounds to the head, torso, upper back, and arm, including a couple of wounds that contained signs indicating he was shot from close range. Police were able to identify Collins as a suspect soon after the shooting. Police contacted the Hoover High School resource officer after another Hickman Lane neighbor told them that one of the individuals went to Hoover High School with her. She also told police that people at the school thought he resembled the rapper Bobby Shmurda. The resource officer identified two individuals who fit that description. Later, the police provided the neighbor with two separate photo arrays. The neighbor was able to positively identify Collins as one of the individuals running from the area of the shooting. Police subsequently obtained a search warrant for Collins's apartment, which they executed about twelve hours after responding to the scene of the shooting.
Harrison was with Collins at the apartment when the police executed the search warrant. Collins had marijuana in his backpack, and Harrison had marijuana on his person. Both packages of marijuana confiscated from Collins and Harrison were identical in amount and packaging. Police recovered the cell phone used to communicate with McHenry, but they did not recover a gun during the search. The police then took Harrison into custody. After Harrison's mother arrived, Detective Youngblut provided Harrison and his mother with his Miranda rights, and they agreed to sign a written waiver of his Miranda rights.
Youngblut conducted Harrison's questioning and recorded the entire interview and events surrounding the interview at the police station. The recording equipment was visible, and there was a sign outside of the interview room informing people that the room was audio and video *187recorded. Harrison's mother was aware of the recording. While police were not in the room, she informed Harrison that the room was being recorded. During the interview, Harrison was repeatedly dishonest with Youngblut. Harrison told Youngblut that Collins did not have a cell phone. Harrison told Youngblut that he was not with Collins around the time of the murder because he was somewhere else and that he went to Broadlawns Hospital with his girlfriend from his girlfriend's house to meet up with Collins.
When Youngblut left the room, Harrison's mother accused Harrison of lying and told Harrison, "I can't help you if you lyin' to me." In response, Harrison stated,
Alright mama. Look, look. We was walking, [Collins]'s like, "I got a lick." I'm like, "Bro, no, bro, you're not going to do it." He's like, "Bro, I've got a lick. I need it. I need to go to Chicago." He's like-because he's trying to go to Chicago or whatever with his mom. He's like, "Bro, I need it." So I'm like, "Bro, you can hit that lick but bro, I'm just going to stay on the side." So we walking down, we walking down the street and then he was....
Harrison's mother then interjected to remind Harrison that they were being recorded before Harrison could finish the rest of the sentence. A "lick" is slang for a robbery, and the cell phone the police recovered from Collins listed McHenry's phone number under the name "Lick." Investigators found marijuana residue in McHenry's pants pocket but no marijuana, which they believed indicated someone had stolen marijuana from him.
The State charged both Harrison and Collins with first-degree murder. They were tried separately. The State initially charged Harrison with first-degree murder in violation of Iowa Code sections 707.1 and 707.2 and first-degree robbery in violation of Iowa Code sections 711.1 and 711.2 (2015). Harrison's trial began on October 3, 2016. On October 4, before the presentation of any evidence, the State filed an amended trial information that dropped the charge of first-degree robbery.
The State conceded during trial that "the evidence tends to suggest that it was probably [Harrison's] friend and companion Keith Collins" who shot McHenry, and it dismissed the charge of premeditated murder in the first-degree under Iowa Code section 707.2(1)(a ). At trial, the State only presented the theory of first-degree murder based upon the felony-murder rule under Iowa Code section 707.2(1)(b ). The State argued Harrison was guilty of aiding and abetting in the robbery and murder of McHenry. At the conclusion of the trial, the jury returned a unanimous verdict finding Harrison guilty of first-degree murder in violation of Iowa Code sections 707.1 and 707.2(1)(b ) for killing McHenry while participating in a forcible felony, the robbery. Harrison was sentenced to life in prison with immediate parole eligibility. Harrison filed a timely appeal, which we retained.
II. Standard of Review.
We review alleged violations of state or federal constitutional rights de novo. State v. Coleman ,
Our standard of review for challenges to jury instructions is for correction of errors at law. Alcala v. Marriott Int'l, Inc. ,
III. Analysis.
Harrison presents a number of claims on appeal. First, he maintains the felony-murder rule violates the Due Process Clause of both the Iowa and United States Constitutions when it is applied to juvenile offenders pursuant to a theory of aiding and abetting. Second, Harrison argues a sentence of life with the possibility of immediate parole eligibility for a juvenile offender convicted of first-degree murder under the felony-murder rule is unconstitutional both as applied to him and on its face under the Cruel and Unusual Punishment Clauses of the Iowa and United States Constitutions. Third, Harrison claims the trial court did not provide proper jury instructions on the specific types of assault necessary to establish a felonious robbery. Finally, Harrison advances ineffective-assistance-of-counsel claims alleging his trial counsel breached essential duties that resulted in prejudice by failing to request certain jury instructions and failing to object to certain evidence presented at trial. We address these claims in turn.
A. The State and Federal Juvenile Sentencing Landscape. Article I, section 17 of the Iowa Constitution and the Eighth Amendment of the United States Constitution provide Iowans convicted of a crime with the right to be free from cruel and unusual punishment. U.S. Const. amend. VIII ; Iowa Const. art. I, § 17. This fundamental constitutional tenet "flows from the basic 'precept of justice that punishment for crime should be graduated and proportioned' to both the offender and the offense." Miller v. Alabama ,
First, in Roper , the Supreme Court held that imposing capital punishment on juvenile offenders constitutes cruel and unusual punishment under the Eighth Amendment.
Finally, in Miller , the Supreme Court prohibited all mandatory sentences of life imprisonment without the possibility of parole for juvenile offenders under the Eighth Amendment.
Following Miller , the Iowa Governor commuted the sentences of all thirty-eight juvenile offenders serving statutorily mandated sentences of life without parole to sentences of life without parole eligibility for sixty years with no credit for earned time. See State v. Ragland ,
First, in State v. Null , we held that sentencing a juvenile offender to 52.5 years imprisonment triggered Miller 's individualized sentencing requirement noting "[t]he 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."
In State v. Lyle , we held that "the sentencing of juveniles according to statutorily required mandatory minimums does not adequately serve the legitimate penological objectives in light of the child's categorically diminished culpability."
(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 *190particular "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.
In State v. Louisell , we vacated a sentence for a determinate term of years in prison, holding that sentencing juvenile offenders convicted of first-degree murder to a fixed term of years was not an option "[b]ecause there was no statutory authority for the determinate sentence" and "judges may only impose punishment authorized by the legislature within constitutional constraints."
Further, in State v. Seats , we expounded upon the sentencing factors espoused in Lyle and Miller that a sentencing court must consider "before sentencing a juvenile to life in prison without the possibility of parole."
In State v. Sweet , we adopted "a categorical rule that juvenile offenders may not be sentenced to life without the possibility of parole under article I, section 17 of the Iowa Constitution."
In Propps , we upheld a juvenile offender's indeterminate sentence with no mandatory minimum and immediate parole eligibility because it gave the juvenile the "potential for immediate parole if rehabilitation, maturity, and reform have been demonstrated."
B. Applying the Felony-Murder Rule to Juvenile Offenders. Harrison argues applying the felony-murder rule to juvenile offenders when their liability is grounded on a theory of aiding and abetting violates due process under the Iowa and United States Constitutions. Specifically, Harrison alleges the felony-murder rule is premised on the assumption that juvenile offenders who participate in a forcible felony can appreciate the potential consequences of their participation even though juvenile offenders are "not developed enough to appreciate not only the assumption, but the natural consequence of the [forcible felony] (i.e. the murder)." Harrison relies primarily on our state and federal juvenile sentencing jurisprudence which recognizes that there is a "fundamental and virtually inexorable difference between juveniles and adults for the purposes of punishment." Lyle ,
Iowa Code section 707.2(1)(b ) states, "A person commits murder in the first degree when the person commits murder under any of the following circumstances.... The person kills another person while participating in a forcible felony."
The felony-murder rule aims to deter people from committing those felonies the legislature has deemed inherently dangerous to the life of others. See Tribble ,
[w]hen a person engages in conduct dangerous enough to be identified by our legislature as a predicate felony for felony murder, the elements of the felony-murder statute are satisfied if the person also engages in an act causing death while participating in the dangerous conduct.
In contrast to first-degree murder under section 707.2(1)(a ), which requires a showing that the defendant "willfully, deliberately, and with premeditation kills another person," first-degree murder under the felony-murder rule only requires a showing that the defendant acted with the specific intent to commit the predicate felony that led to the killing. Compare
The Fifth and Fourteenth Amendments of the United States Constitution, and Article I, section 9 of the Iowa Constitution, prohibit the state from depriving any person of "life, liberty, or property, without due process of law." U.S. Const. amends. V, XIV ; Iowa Const. art. I, § 9. " 'Due process requires fundamental fairness in a judicial proceeding,' so a trial that is fundamentally unfair violates the guarantees of due process in the United States and Iowa Constitutions." More v. State ,
We have previously addressed a due process challenge like the one Harrison *193now makes regarding the alleged presumptions incorporated in the felony-murder rule, as well as application of the felony-murder rule to defendants who were convicted of felony-murder for aiding and abetting a felony. See generally Conner v. State ,
Despite our rejection of Harrison's argument in Conner , Harrison argues Conner is not controlling because we did not decide Conner under the Iowa Constitution, it did not involve a juvenile offender, and it directly contradicts our recognition in Heemstra of the presumptions inherent to the felony-murder rule. While we acknowledge our court previously stated in Heemstra that the felony-murder rule presumes the defendant committed the killing with malice, we were not speaking to the constitutional issue now raised. See
The felony-murder rule does not create a conclusive presumption that the defendant committed the murder "willfully, deliberately, and with premeditation," because these are not elements of first-degree felony murder in Iowa. Nowlin ,
By asking us to rely on a procedural fiction to hold that the felony-murder rule creates an unconstitutional presumption about the intent of juvenile offenders, Harrison is essentially asking us to implement greater due process rights for juvenile *195offenders than adult offenders. Harrison is right that we have recognized that "children are constitutionally different from adults," Seats , 865 N.W.2d at 556 (quoting Miller ,
"Harm to a victim is not lessened because of the young age of an offender." Propps , 897 N.W.2d at 102. "[W]hile youth is a mitigating factor in sentencing, it is not an excuse." Lyle ,
the State has a legitimate interest in holding persons responsible for their criminal acts. When those acts are particularly serious, as in the case of forcible felonies, it is logical that the State would assign grave consequences to them.... "Having placed certain designated crimes committed by juveniles who have reached the age of sixteen within the criminal court jurisdiction, the legislature presumably thought the need for adult discipline and legal restraint was necessary in these cases."
State v. Mann ,
Harrison does not provide us with any reason for further intruding upon the role of the legislature to expand our juvenile sentencing jurisprudence to hold that juvenile offenders cannot be tried for certain crimes altogether due to their mens rea requirements. No other state that has considered this issue has abolished the application of the felony-murder rule to juvenile offenders.
Further, Harrison misrepresents the felony-murder rule in his argument that it is premised on the ability to foresee danger. Though the inherent dangerousness of the forcible felonies encompassed within the felony-murder rule may make certain killings foreseeable, the felony-murder rule encompasses unforeseeable crimes. The premise of the rule is that there are certain felonies that "are so inherently dangerous that proof of participating in these crimes may obviate the need for showing all of the elements normally required for first-degree murder." Heemstra ,
The fact that killing was not within the actual contemplation and intention of one of the parties to the robbery does not relieve such person of the responsibility as long as the other party to the robbery had the necessary mens rea and the act was a consequence of carrying out the unlawful common design.
Finally, Harrison's contentions that he could not foresee the consequences of his decision to participate in a robbery, or that he could not control his impulses even if he could foresee the consequences, are irreconcilable with his admitted role in the commission of the robbery. Harrison admitted that he knew Collins was going to commit a "lick" when Harrison knowingly accompanied him to Hickman Lane that day. Harrison then lured McHenry to Collins and used force against him to help Collins carry out the robbery. By participating in robbery-a forcible felony that the Iowa legislature has deemed inherently dangerous to human life-Harrison became liable for any killing committed in the commission of that offense by him or Collins. While there may be a unique factual situation in which the felony-murder rule is unconstitutional as applied to a certain juvenile offender, this is not that case. Therefore, we decline to hold that the felony-murder rule is fundamentally unfair or that it violates due process under the Iowa or United States Constitutions when applied to juvenile offenders pursuant to a theory of aiding and abetting.
C. Sentencing Juveniles Convicted Under the Felony-Murder Rule. Harrison presents both an as-applied and categorical constitutional challenge to his sentence of life imprisonment with immediate parole *197eligibility. Harrison argues that the sentence of life imprisonment with the possibility of immediate parole for juvenile offenders convicted of first-degree murder as an accomplice to felony murder constitutes cruel and unusual punishment under the Iowa and United States Constitutions. Further, Harrison claims his sentence of life imprisonment with the possibility of immediate parole is "grossly disproportionate to [his] ultimate[ ] culpability" since he "did not personally murder any individual, [and] no evidence was presented that he knew a murder would happen or was likely to happen."
1. Categorical challenge. We analyze categorical challenges to a sentence through a two-step inquiry. Lyle ,
First, there is not a national consensus against sentencing juvenile offenders convicted of felony murder as the principal or accomplice to life imprisonment with immediate parole eligibility, and Harrison acknowledges this. In fact, he "is not aware of any state that has categorically held that life with the possibility of parole should be categorically prohibited for juveniles convicted of felony murder."
Despite the fact that there is no national consensus in opposition to the challenged sentencing practice based on the laws of other states, Harrison asks us to consider "that many legal scholars throughout the country have not only routinely held that the felony murder rule is improper, but have specifically argued for the abolishment of the felony murder rule as applied to juveniles." Nevertheless, much of the scholarly criticism-including from some of the legal scholars Harrison cites-of applying the felony-murder rule to juveniles focuses on the sentence of life without parole that many jurisdictions impose on juveniles convicted of felony murder. See, e.g. , Steven A. Drizin & Allison McGowen Keegan, Abolishing the Use of the Felony-Murder Rule When the Defendant Is a Teenager ,
While there is not a national consensus against the sentencing practice at issue, this does not end our inquiry into Harrison's categorical challenge to sentencing juvenile offenders convicted of felony murder to life imprisonment with immediate parole eligibility. We still must "consider our controlling precedents and our interpretation *200of the Iowa Constitution's text, history, meaning, and purpose to guide our own independent judgment on the constitutionality of the challenged sentence." Zarate ,
"We seek to interpret our constitution consistent with the object sought to be obtained at the time of adoption as disclosed by the circumstances." Chiodo v. Section 43.24 Panel ,
Both our juvenile sentencing jurisprudence and that of the United States Supreme Court centers around the "fundamental and virtually inexorable difference between juveniles and adults for the purposes of punishment." Lyle ,
Thus, in our previous juvenile sentencing cases, "we sought to eliminate the mandatory nature of mandatory minimums and sentences that were the functional equivalent of life without parole because those sentences did not offer juveniles a 'meaningful opportunity' to demonstrate their rehabilitation before the parole board." Id. at 101. Consequently, unlike the mandatory life without parole that adults who commit first-degree murder are subject to, there is no mandatory minimum term of confinement for juvenile offenders convicted of first-degree murder. Compare
Similarly, the parole board provides juvenile offenders with "an individualized analysis that considers the juvenile's past, in addition to current psychiatric and psychological evaluations, the time already served on the sentence, any reports of misconduct or good behavior, and the inmate's attitude and behavior while incarcerated." Propps , 897 N.W.2d at 102 ; see also
Unlike a sentencing judge, "[t]he parole board has the benefit of seeing the individual offender's actual behavior, rather than having to attempt to predict chances at maturity and rehabilitation based on speculation." Id. As a result, the parole board may decide to continue confinement of the juvenile "[i]f rehabilitation has not yet occurred" until he or she "has demonstrated through his or her own actions the ability to appreciate the severity of the crime." Id. "This is consistent with the approach of our prior holdings in the area of juvenile sentencing, because it allows for a realistic and meaningful opportunity for parole upon the juvenile's demonstration of maturity and rehabilitation." Id.
"In addition to our understanding and interpretation of the Iowa Constitution, we also consider whether the challenged sentencing practice serves legitimate penological goals and the culpability of the offender at issue." Zarate ,
Despite our emphasis on rehabilitation, juvenile sentences may still aim to promote additional penological goals, including deterrence, retribution, and incapacitation. We previously noted this in Roby , explaining, "[I]t may be appropriate retribution to incarcerate a juvenile for a short time without the possibility of parole. Additionally, a sentencing judge could properly conclude a short term of guaranteed incarceration is necessary to protect the public." 897 N.W.2d at 142. Ultimately, "[c]riminal punishment can have different goals, and choosing among them is within a legislature's discretion." State v. Oliver ,
Though Harrison is correct to note that deterrence and retribution are *202less applicable to juveniles due to their diminished culpability, they still carry "some weight depending on the circumstances of each case." Zarate ,
Juvenile offenders who choose to participate in inherently dangerous felonies, whether they are the principal actor or aid and abet the felony, demonstrate a certain lack of maturity and impulse control that particularly implicates the penological goals of incapacitation and rehabilitation. "Nothing that the Supreme Court has said" or that we have said "suggests trial courts are not to consider protecting public safety in appropriate cases through imposition of significant prison terms." Null , 836 N.W.2d at 75. Harrison is claiming that juveniles have uncontrollable impulses due to their youth that limit their ability to appreciate the gravity of their participation in an inherently dangerous felony. Importantly, sentencing juvenile offenders in his position to life imprisonment with the possibility of immediate parole takes this into account by allowing the parole board to examine maturity and rehabilitation and provides such offenders with a meaningful opportunity for release as soon as they meet these goals.
Overall, "the legislature is in the best position to identify and adopt legal protections that advance our constitutional recognition that 'children are different.' " Zarate ,
2. As-applied challenge. Harrison argues his sentence of life imprisonment with the immediate possibility of parole is unconstitutional as applied to him because it is grossly disproportionate to his ultimate culpability. The Iowa and United States Constitutions both prohibit cruel and unusual punishment. See U.S. Const. amend. VIII ; Iowa Const. art. I, § 17. This prohibition "embraces a bedrock rule of law that punishment should fit the crime." Bruegger ,
We use a three-prong test to determine whether a sentence is grossly disproportionate under the Iowa and United *203States Constitutions. First, we examine "whether the sentence being reviewed is 'grossly disproportionate' to the underlying crime," which "involves a balancing of the gravity of the crime against the severity of the sentence."
As we engage in this three-part inquiry, we must keep in mind certain general principles that help guide our determination of whether the challenged sentence is grossly disproportionate. "The first is that we owe substantial deference to the penalties the legislature has established for various crimes." Oliver ,
For instance, in Bruegger , we held that the defendant's twenty-five year prison sentence for statutory rape was susceptible to an as-applied constitutional challenge because the unique features of the case "converge[d] to generate a high risk of potential gross disproportionality-namely, a broadly framed crime, the permissible use of preteen juvenile adjudications as prior convictions to enhance the crime, and a dramatic sentence enhancement for repeat offenders."
Turning to the threshold inquiry, we cannot find that Harrison's sentence of life imprisonment with immediate parole eligibility for felony murder is grossly disproportionate to the underlying crime. Unlike the defendant in Bruegger , who committed an act "of lesser culpability" that fell within the scope of "a broadly-framed statute," felony murder does not encompass "acts of lesser culpability" since every felony murder requires a defendant's participation in a forcible felony that directly leads to the killing of the victim. Bruegger ,
Moreover, his sentence does not involve "the permissible use of preteen juvenile adjudications as prior convictions to enhance the crime and a dramatic sentence enhancement for repeat offenders" like the defendant in Bruegger . See Bruegger ,
Further, the legislature's decision to designate felony murder committed by either the principal or aider and abettor as first-degree murder reflects the seriousness of this offense. The legislature sought to prescribe "the most severe sentences for [juvenile] offenders convicted of murder in the first degree," including those juveniles convicted under the felony-murder rule. Louisell , 865 N.W.2d at 600. "[W]e owe substantial deference to the penalties the legislature has established for various crimes." Oliver ,
Finally, Harrison's argument that his sentence denies him of a meaningful opportunity for parole since "the ability of parole appears to be a legal fiction more than real opportunity" is not ripe for adjudication. We rejected similar arguments in both Louisell and Zarate since neither of those defendants had actually been denied parole in order to claim a legal violation. See Zarate ,
In conclusion, life imprisonment with immediate parole eligibility for aiding and abetting in felony murder is not grossly disproportionate to the seriousness of the offense given the fatal harm Harrison helped enact on the life of another. Nevertheless, even if it were, Harrison's argument *205would fail under our intrajurisdictional and interjurisdictional analyses since he received the most lenient punishment given to offenders convicted of felony murder. See
D. Jury Instructions Regarding Robbery and the Felony-Murder Rule. Harrison argues the jury instructions did not properly inform the jury on the types of assault required to establish a felonious robbery. The jury was provided the following definitional instruction of robbery:
A person commits a robbery when, having the specific intent to commit a theft, the person commits an assault to assist or further the commission of the intended theft or the person's escape from the scene thereof with or without the stolen property.
The jury instructions also informed the jury on the definition of assault through the standard model instruction for a simple misdemeanor assault.
Iowa Code section 4.13(1) provides that "[t]he reenactment, revision, amendment, or repeal of a statute does not affect ... the prior operation of the statute or any prior action taken under the statute."
E. Ineffective-Assistance Claims. Harrison presents a number of *206ineffective-assistance-of-counsel claims. Criminal defendants have the right to effective assistance of counsel under both the Iowa Constitution and the United States Constitution. U.S. Const. amend. VI ; Iowa Const. art. I, § 10. "Generally, claims of ineffective assistance of counsel are preserved for postconviction relief proceedings." State v. Soboroff ,
To prove ineffective assistance of counsel, the defendant must show "by a preponderance of the evidence both that counsel failed an essential duty and that the failure resulted in prejudice." Schlitter ,
Further, prejudice results from counsel's failure to perform an essential duty when "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different."
1. Challenge to the use of felony robbery as a predicate felony . This claim of ineffective assistance involves the jury instructions utilized by the district court. Therefore, the record is adequate to resolve this claim on direct appeal. See Soboroff ,
[a] person commits robbery when, having the specific intent to commit a theft, the person commits an assault to assist or further the commission of the intended theft or the person's escape from the scene thereof with or without the stolen property.
....
An assault is committed when a person does an act which is intended to either: 1. Cause pain or injury to another person; or 2. Result in physical contact which will be insulting or offensive to another person; or 3. Place another person in fear of immediate physical contact which will be painful, injurious, insulting or offensive to the other person when coupled with the apparent ability to do the act.
"Under the merger doctrine, a person is only guilty of felony murder if the act resulting in the predicate felony is *207independent of the act resulting in death." Tribble ,
Harrison premises his argument largely on our holding in Heemstra , in which the defendant was convicted of first-degree murder under a general verdict after the defendant shot and killed the victim during the course of an argument.
In reaching this conclusion, we relied in part on a similar case from New York, People v. Moran ,
Since Heemstra , we have considered similar felony-murder cases predicated on the forcible felony of felonious assault. In State v. Millbrook , we held "the fact that intimidation with a dangerous weapon is not a lesser-included offense of first-degree murder does not preclude application of the merger doctrine enunciated in Heemstra ."
All of these cases dealt with the merger doctrine in relation to the forcible felony of assault, and none of them discussed extending the merger doctrine to cases that involve felony robbery as the predicate for felony murder. We even quoted other authorities in Heemstra that specifically stated the act of robbery was sufficiently independent from the act of killing to preclude it from being merged into the murder. See Heemstra ,
Unlike the felonious assault at issue in Heemstra , felony robbery is not merely a less serious version of murder from which every felonious robbery ending in death could automatically be elevated to first-degree murder in the same way felonious assault could "bootstrap the killing into first-degree murder." Heemstra ,
2. Evidentiary and testimonial objections . Harrison also maintains his trial counsel was ineffective in failing to challenge certain testimony and evidence presented at trial. Harrison asserts that his trial counsel should have objected to testimony and evidence presented at his trial regarding his codefendant's conviction for first-degree murder in the death of McHenry. Harrison also challenges trial counsel's decision not to object to certain testimony from Detective Youngblut. Harrison challenges trial counsel's decision to allow the testimony of Shirley Dick from Collins's trial to be read into the record since Dick passed away before Harrison's trial. Finally, Harrison argues his trial counsel was ineffective in failing to object to the playing of Dick's 911 call for the jury. However, the record is inadequate for us to address these claims. Like most *209claims of ineffective assistance of counsel, we preserve these claims for postconviction-relief proceedings "so an adequate record of the claim can be developed and the attorney charged with providing ineffective assistance may have an opportunity to respond to defendant's claims." Soboroff ,
IV. Conclusion.
For the aforementioned reasons, we affirm the conviction and sentence for Harrison and preserve the additional claims of ineffective assistance of counsel for postconviction-relief proceedings.
AFFIRMED.
All justices concur except Wiggins, and Appel, JJ., who dissent, and Hecht, J., who takes no part.
Shirley Dick testified about the events she witnessed surrounding McHenry's death at Collins's trial, but she passed away before she was able to testify at Harrison's trial. The parties agreed to read her testimony into the record at Harrison's trial, and her testimony was admitted to the court as an exhibit. The parties also agreed to have Dick's 911 call reporting the gunshots played at trial.
The State argues that Harrison did not preserve error on this issue since he waited to raise it until after the State had presented its case on the felony-murder theory. We assume error is preserved without addressing this challenge.
Though Harrison was convicted in 2016, there has been no change in the felony-murder statute since the time of his trial. See
See, e.g. , State v. Herrera ,
California is the only state we are aware of that has considered abolishing the application of the felony-murder rule to juvenile offenders on constitutional grounds. This was based on the argument that juvenile offenders cannot foresee the consequences of their actions. A California Court of Appeal rejected this argument. People v. Richardson , No. A134783,
See
We are also not aware of any state that has considered a categorical challenge to the specific sentence of life imprisonment with immediate parole eligibility for a juvenile offender convicted under the felony-murder rule. One state, North Carolina, has similarly considered a constitutional challenge to the sentence of life with the possibility of parole after a prison term of twenty-five years for a juvenile offender convicted under the felony-murder rule. See State v. Jefferson , --- N.C. App. ----,
A few other states have considered the constitutionality of lengthy term of years sentences or sentences of life imprisonment for juvenile offenders convicted under the felony-murder rule. Those states have declined to find such sentences are categorically unconstitutional. See Bell v. State , No. CR 10-1262,
A sampling of the sentencing statutes of other states reveals that most states do not distinguish between premeditated murder and felony murder for the purpose of sentencing juvenile or adult offenders. See, e.g. , Ala. Code § 13A-6-2 (Westlaw through Act 2018-579) (classifying felony murder as first-degree murder and codifying the punishment for juvenile offenders who commit murder to be either life imprisonment without parole or life);
North Carolina is the only state we are aware of that differentiates between premeditated and felony murder for juvenile sentencing purposes. Under this statute, an offender convicted of first-degree murder under the felony-murder rule shall be sentenced "to life imprisonment with parole." N.C. Gen. Stat. Ann. § 15A-1340.19B(a)(1) (West, Westlaw through 2017 Reg. Sess.). For juvenile offenders, " 'life imprisonment with parole' shall mean that the defendant shall serve a minimum of 25 years imprisonment prior to becoming eligible for parole."
Harrison does argue along these lines in his reply brief regarding his as-applied challenge. Specifically, Harrison notes that he is eligible for parole under his current sentence, but "the ability of parole appears to be a legal fiction more than a real opportunity." Thus, we will address that argument as part of his as-applied challenge.
Jury Instruction No. 28 defined "assault":
An assault is committed when a person does an act which is intended to either:
1. cause pain or injury to another person; or
2. result in physical contact which will be insulting or offensive to another person; or
3. place another person in fear of immediate physical contact which will be painful, injurious, insulting or offensive to the other person when coupled with apparent ability to do the act.
Dissenting Opinion
The question in this case is whether an unarmed child may be subject to life in prison with the possibility of parole for participating in a marijuana robbery where a coparticipant brought a gun to the crime and killed the robbery victim.
I. History of Felony Murder.
The origin of the felony-murder rule lies in the shadows of the past. Scholars have speculated that it arose because of a mistake made by Lord Coke in summarizing the legal texts of Lord Bracton when he substituted the word murder for homicide in describing death arising out of unlawful conduct. See Leonard Birdsong, Felony Murder: A Historical Perspective by Which to Understand Today's Modern Felony Murder Rule Statutes ,
In any event, the felony-murder rule was controversial in its country of origin. See Guyora Binder, The Origins of American Felony Murder Rules ,
The felony-murder rule took hold in America in the early years of the Republic. In 1794, Pennsylvania passed a statute that at least indirectly embraced felony murder. Id. at 17-18. The vast majority of states eventually followed suit. Id. at 18.
The felony-murder rule has been subject to extensive criticism. See generally Gerber, 31 Ariz. St. L.J. at 766-67, 770 (noting the rule suffers from at least four problems, each alone "fatal to a claim of principled *210justice"); Nelson E. Roth & Scott E. Sundby, The Felony-Murder Rule: A Doctrine at Constitutional Crossroads ,
The felony-murder rule has traditionally been defended on two grounds. First, it is said that the felony-murder rule embraces a theory of transferred intent, namely, that the intent of the cofelon who kills the victim during the course of a felony is transferred to others who participate in the crime. See Steven R. Morrison, Defending Vicarious Felony Murder ,
The second theory is that the legislature in enacting a felony-murder rule has determined that mens rea is not required to support a conviction. See Kevin Cole, Killings During Crime: Toward a Discriminating Theory of Strict Liability ,
Aside from legal theory, the felony-murder rule has been defended on a number of policy grounds. The rule is defended on the ground that it deters unlawful conduct that leads to the death. See David Crump & Susan Waite Crump, In Defense of the Felony Murder Doctrine ,
While the felony-murder rule has been adopted in most American jurisdictions, there has been a trend to limit its scope. Roth & Sundby, 70 Cornell L. Rev. at 446. The scope of felony murder has been limited through a number of techniques, including limiting the crimes from which felony murder may arise, imposing a requirement of proximate cause, requiring some showing of mens rea such as reckless indifference to human life, and adopting an affirmative defense where the cofelon did not participate in the killing in any meaningful way, was not armed with a dangerous weapon, and had no reason to believe that the other participant intended to engage in conduct likely to result in death or physical injury. Id. at 446 & nn.7-8. As noted by one court, "the felony murder doctrine expresses a highly artificial concept that deserves no extension beyond its required application." People v. Phillips ,
The limitations of felony murder adopted in some jurisdictions have not satisfied critics. When the Model Penal Code was promulgated in 1962, it sharply criticized *211the felony-murder rule as inconsistent with traditional notions of criminal culpability. According to the commentary, "Principled argument in favor of the felony-murder doctrine is hard to find." Model Penal Code § 210.2 cmt. 6, at 37 (Am. Law Inst. 1980).
Academic commentators have continued to attack the felony-murder rule. The parade of negative commentary is long and winding. See Gerber, 31 Ariz. St. L.J. at 766 ("The felony murder rule has an extensive history of thoughtful condemnation."); John Calvin Jeffries Jr. & Paul B. Stephan III, Defenses, Presumptions, and Burdens of Proof in the Criminal Law ,
Yet, in most jurisdictions, some form of felony murder remains on the books. Kentucky, Hawaii, and Ohio have abolished it through legislative action. See People v. Aaron ,
No one, of course, contends that participants in felonies are not deserving of punishment. A person who knowingly participates in a robbery has the necessary mens rea for a robbery and may be convicted and sentenced for that crime. In some cases, the participant may also have the necessary mens rea for a more serious offense, including involuntary manslaughter and even murder. What the critics insist, however, is that the traditional element of mens rea must accompany any such convictions with serious penological consequences.
II. Background of Felony Murder in Iowa.
Iowa's current felony-murder statute was passed as part of the criminal code revisions adopted by the Iowa General Assembly in 1976 and made effective in 1978. 1976 Iowa Acts ch. 1245, ch. 1, § 702 (codified at
In an early case decided shortly after the current felony-murder statute was enacted, we considered whether a showing of malice aforethought for murder was required under the statute. See State v. Galloway,
Yet, the situation has become clouded by the manner in which we have allowed malice to be proven. In State v. Veverka ,
We considered questions related to the scope of felony murder in Conner v. State ,
In Conner, we departed from the transferred-intent model of analysis, which would have exposed the felony-murder rule to due process attack, and instead declared that elimination of the mens rea requirement was not an irrebuttable presumption *213but instead "a matter of substantive law that places responsibility on a wrongdoer for the direct and indirect consequences of his joint criminal conduct with another."
A significant question under the new felony-murder statute was whether we would recognize the merger rule, namely, that an assault that resulted in a homicide merged and could not provide the predicate felony for felony murder. In State v. Beeman , we declined to recognize the merger doctrine under our felony-murder statute.
In Heemstra , we reconsidered the question of whether the felony of willful injury could be used as a predicate crime or whether willful injury merged with the resulting homicide to prevent application of the felony-murder rule.
Even with the limitations, the felony-murder rule has produced some troublesome results. In Ragland , a child knowingly participated in a fight with a rival group of children.
III. Felony-Murder Cases in Other States.
A. Introduction. There have been relatively few cases challenging the constitutionality of the felony-murder rule. The older cases generally, however, reject due process challenges. See, e.g. , People v. Dillon ,
*214State v. Nichols ,
B. People v. Aaron . The first such case is Aaron ,
The Aaron court first surveyed caselaw and legislative developments regarding the felony-murder rule.
The Aaron court next focused its discussion on the issue of moral culpability. Id. at 316-17. Citing authorities for the proposition that culpability represents a basic principle of criminal law, the court observed that the felony-murder rule "completely ignores the concept of determination of guilt on the basis of individual misconduct." Id. With respect to first-degree murder, the court noted that while murder ordinarily requires "a showing of premeditation, deliberation and willfulness," felony murder "only requires a showing of intent to do the underlying felony." Id. at 317.
The Aaron court noted academic authorities that had condemned the felony-murder rule. See id. The court favorable cited a commentator who declared that "the felony-murder doctrine gives rise to what can only be described as an emotional reaction, not one based on logical and abstract principles." Id. (quoting Note, Recent Extensions of Felony Murder Rule ,
In the end, the Aaron court held that malice is an essential part of any murder, whether it occurred in the course of a felony or otherwise. Id. at 319. The court emphasized that the necessary malice, in the appropriate case, might be inferred from the circumstances of the crime. Id. at 327. The issue of malice, however, is for the jury, which "may not find malice from the intent to commit the underlying felony alone." Id.
C. State v. Ortega . A second case of interest is Ortega ,
The Ortega decision was based on three propositions. Id. at 1204. First, the Ortega court emphasized that in Anglo-American law, serious nonregulatory crimes require criminal intent. Id. Second, if criminal intent is supplied merely by participation in a felony, the "one runs headlong into Sandstrom ." Id. Third, the Ortega court found its approach most consistent with the structure of the homicide provisions of New Mexico law. Id. at 1206.
D. Lowry v. State . The third case is Lowry v. State ,
E. People v. Dillon . The fourth case worthy of note is Dillon ,
In Dillon , the child took the stand and described his state of mind, from youthful bravado to sheer panic as events unfolded.
The jury seems to have credited the child's testimony. See
The court advised the jury when discharging it that "[t]his felony murder rule is a very harsh rule and it operated very harshly in this case."
In reviewing the conviction and sentence, the California Supreme Court rejected challenges to felony murder based upon due process, reasoning that the legislature had defined the crime so as not to require a mens rea element for felony murder.
The court noted that the record showed that the defendant at the time of the events "was an unusually immature youth."
In the end, the court found life in prison violated the cruel and unusual punishment clause of the California Constitution.
IV. Framework of Challenges to the Felony-Murder Rule.
A. Transferred Intent and Due Process. The notion that the felony-murder *217rule embraces a theory of transferred intent may be attacked on the ground that it violates due process and constitutes cruel and unusual punishment. The outlines of the argument were developed some decades ago by Roth and Sundby. See Roth & Sundby, 70 Cornell L. Rev. at 460-90.
The argument begins with In re Winship ,
The Supreme Court then seemed to retreat from In re Winship and Mullaney in Patterson v. New York ,
The United States Supreme Court case revisited Mullaney and Patterson issues in Sandstrom ,
The felony-murder rule has been justified under a theory of "transferred intent," namely, that the mens rea required for murder is provided by imputing the mens rea from the defendant's felonious act. See Roth & Sundby, 70 Cornell L. Rev. at 453. Once a jury concludes that a killing had been committed in the course of the commission of a felony, the necessary culpability required for murder must be presumed. See id. at 460. The presumption of the necessary mens rea as arising out of something else-namely the commission of a felony where another has murdered someone-is subject to serious challenge under Sandstrom . Id. at 469.
B. Legislative Definitions of Crime and Due Process and Cruel and Unusual Punishment. A second theoretical defense of felony murder eschews any fictitious transferred intent but emphasizes the ability of the legislature to define crimes. According to this theory, the legislature is free to enact a felony-murder rule that does not require the state to prove the traditional mens rea normally associated with the crime of murder. But a bedrock principle of criminal law has been that imposition of serious criminal sanctions ought to reflect culpability.
The United States Supreme Court considered the question of mens rea requirement in Morissette v. United States ,
The Supreme Court reversed.
The contention that an injury can amount to a crime only when inflicted by intention is no provincial or transient notion. It is as universal and persistent in mature systems of law as belief in freedom of the human will and a consequent ability and duty of the normal individual to choose between good and evil. A relation between some mental element and punishment for a harmful act is almost as instinctive as the child's familiar exculpatory "But I didn't mean to...."
Even where a statute did not expressly include an intent requirement, the Morissette Court emphasized "[c]ourts, with little hesitation or division, found an implication of the requirement as to offenses that were taken over from the common law." Id . at 252,
The United States Supreme Court considered the role of culpability in two felony-murder cases involving the death penalty in Enmund v. Florida ,
In Enmund , the defendant drove the getaway car in an armed robbery.
The Supreme Court agreed.
The Enmund Court then turned to retribution.
The Court took a different tack in Tison ,
The Tison Court upheld the death sentences.
Justice Brennan and three other members of the court dissented.
C. Application of Felony Murder to Children in Light of Recent Developments in Juvenile Justice. As can be seen above, the felony-murder rule generally has substantial due process and proportionality problems. These well recognized challenges are greatly magnified in the context of juvenile offenders. This case involves more than the conventional challenges to felony murder, but because a child is involved the due process and cruel and unusual punishment claim are on legal steroids. A body of literature has recently developed suggesting that, at least as applied to children, the felony-murder rule is unconstitutional. See Steven A. Drizin & Allison McGowen Keegan, Abolishing the Use of the Felony-Murder Rule When the Defendant Is a Teenager ,
Recent challenges to the application of felony murder to juveniles emphasize the juvenile justice cases recently decided by the United States Supreme Court. See generally Miller v. Alabama ,
First, critics note that the deterrence rationale supporting felony murder is already weak with respect to adults. In Enmund, the Supreme Court stated that it *221was "quite unconvinced ... that the threat that the death penalty will be imposed for murder will measurably deter one who does not kill and has no intention or purpose that life will be taken."
If the Court is unconvinced that the death penalty in the felony-murder rule is a deterrent for adults, the Court would surely be unconvinced that life in prison with the possibility of parole would provide a deterrent for children who do not intend that life will be taken. In Graham , for instance, the Supreme Court noted that juveniles "are less likely to take a possible punishment into consideration when making decisions."
Second, critics maintain that the retributive goals of criminal punishment have less force as applied to juveniles. Retribution is an appropriate goal for morally culpable offenders. But the felony-murder rule does not require the individual mens rea ordinarily required to support a murder conviction. With respect to children, the retributive goals of the felony-murder rule are further diminished because of the characteristics of youth. See Roper ,
V. Discussion.
Justice Frankfurter noted long ago that "not the least significant test of the quality of a civilization is its treatment of those charged with crime, particularly with offenses which arouse the passions of a community." Irvin v. Dowd ,
First, although he certainly had the necessary mens rea to commit the robbery, the instructions in this case permitted the jury to find that if he was guilty of the crime of robbery, Harrison was also guilty of felony murder, or murder in the first degree. For all the reasons in the authorities cited above, this is a troublesome state of affairs. In order to comport with fundamental fairness, the issue is not whether Harrison had sufficient moral culpability to support robbery. He did. The issue is whether Harrison had sufficient moral culpability to support first-degree murder and a life sentence with possibility of parole, merely because of his participation in the robbery. In order to support such a conviction consistent with due process, the state must prove the elements of the underlying felony and, independently, sufficient malice to support a conviction of murder. Yet, the instructions permitted *222the jury to find Harrison guilty of murder without a finding of malice independent of the underlying felony.
Further, the limited moral culpability that may be assigned to Harrison is further diminished by the fact that he was a child. Without question, the teachings of Miller , Graham , and Roper establish that the moral culpability of juveniles even for horrendous crimes is diminished by their lack of neurological and psychological development. Thus, the very thin basis of culpability that might support the felony-murder rule in some circumstances is further diminished by the age of Harrison.
Second, there is the issue of deterrence. As was powerfully pointed out in Enmund, it is hard to understand how the felony-murder rule deters when the defendant has no intention to commit the crime.
It is true that in this case, Harrison was not sentenced to life in prison without the possibility of parole. Instead, he was sentenced to life in prison with the possibility of parole as required by State v. Sweet ,
There is no occasion today to reconsider whether the felony-murder rule is categorically unconstitutional on grounds of due process as applied to adults. That is not the issue before us. Instead, the question is whether the felony-murder rule as applied to children is so attenuated from traditional notions of due process of law. For the above reasons, I would conclude that application of the felony-murder rule to persons under the age of eighteen is so lacking in relationship to criminal culpability as to amount to a violation of due process under both the United States and the Iowa Constitutions.
I also write to express disagreement with the majority's approach to cruel and unusual punishment under the Iowa Constitution. First, I note that no party before this court has advocated that Iowa should not follow the standards for determining cruel and unusual punishment set out in State v. Bruegger ,
In any rate, in applying the federal standards, I would not put much weight onto the national consensus in considering the issue before us. The exploration of national consensus is a technique utilized by the United States Supreme Court to address its federalism concerns, namely, a concern that the United States Supreme Court must set a nationwide standard. Such federalism concerns tend to dilute the scope of individual rights and drive the decision toward a lowest acceptable common denominator. Such federalism concerns simply are not applicable when a state considers a constitutional question that does not apply outside the state.
In addition, I do not agree with the majority's handling of Bruegger in considering an as-applied standard. In Bruegger, we found that there was reason to believe that an as-applied challenge under article I, section 17 may be present.
First, the breadth of the crime, the age of Bruegger when the predicate offense was committed, and the geometric increase in sentence, were factors , not criteria . The factors were never intended to establish a ceiling or ironclad set of criteria for determining whether a sentence was cruel and unusual under article I, section 17, but rather the general nature of the factors that may point in the direction of finding a sentence so grossly disproportional as to amount to a violation of article I, section 17.
Second, the Bruegger factors are met in this case. Although the Iowa felony-murder statute has been limited in important ways, it is still very broad. Any person who simply participates in a robbery may be found guilty of felony murder, even if that person did not bring a weapon to the scene, had no knowledge that weapons would be present at the scene, and had nothing to do with the murder. Also, Harrison was seventeen at the time of the crime. And, instead of being exposed to the sanction for the crime he clearly was guilty of committing, robbery, which carries a term of years sentence, Harrison was sentenced to life in prison with possibility of parole. There seems little doubt that Harrison's prison sentence under felony murder will be geometrically longer than that which would have resulted if he had been convicted only of robbery.
It is true, of course, that Harrison is eligible for parole. That, of course, might be a mitigating factor, particularly if eligibility for parole is considered soon after he has reached full maturity and correctional authorities have an opportunity to evaluate his rehabilitation. And a meaningful opportunity to be heard must mean more than a paper review but must involve a serious assessment of the maturity and rehabilitation of the defendant. Even so, however, the difference between a sentence of life in prison with a meaningful opportunity to show rehabilitation and maturity after a decade in prison is substantially more severe than a mere conviction for robbery.
I find it unnecessary to reach the question of whether life without parole is categorically unconstitutional under article I, section 17, but I would hold that in this case, a life sentence with the possibility of parole, the harshest sentence available to a child, is grossly disproportional to what he deserves, namely, a sentence for robbery or perhaps involuntary manslaughter.
VI. Conclusion.
For the above reasons, I respectfully dissent.
Wiggins, J., joins this dissent.
Prior to the modern version of the statute, Iowa's felony murder rule was codified at Iowa Code section 690.2 (1977).
Reference
- Full Case Name
- STATE of Iowa, Appellee, v. Keyon HARRISON, Appellant.
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