State of Iowa v. Evan Paul Headley
State of Iowa v. Evan Paul Headley
Opinion
A defendant appeals his sentence for domestic abuse assault and second-degree burglary. He argues the sentencing court violated his due process rights and abused its discretion by considering the risk assessment tools contained in the presentence investigation report (PSI). He also argues the court abused its discretion by considering the investigator's recommendation in the PSI. If these claims were not preserved, he claims ineffective assistance of counsel in the alternative.
The defendant also challenges the restitution imposed by the district court. He claims the court imposed an illegal sentence *548 by ordering him to pay the court costs associated with the dismissed charges. He further claims the court erred by failing to determine his reasonable ability to pay prior to determining the amount of restitution owed.
On appeal, we find the district court did not abuse its discretion in considering the risk assessment tools on their face as contained within the PSI. We further find the defendant failed to preserve error on his due process and abuse-of-discretion claims regarding the court's consideration of the risk assessment tools contained in the PSI. We also find the record is insufficient to reach these due process and abuse-of-discretion claims on direct appeal.
In regard to his claim that the district court abused its discretion when it considered the department of correctional services' sentencing recommendation, we find it did not. We also find the court did not enter an illegal sentence by requiring the defendant to pay the court costs associated with the dismissed charges. However, we find the district court erroneously ordered restitution without first conducting the applicable reasonable-ability-to-pay analysis. Therefore, we vacate the restitution portion of the defendant's sentence and remand for resentencing in light of this opinion and our opinion in
State v. Albright
,
I. Factual and Procedural Background.
On July 28, 2017, Des Moines police officers responded to a domestic fight at the home of S.M. When officers arrived in the neighborhood, S.M. was several houses north of her address and waived the officers down. S.M. told officers her ex-boyfriend, Evan Headley, had shown up to her house uninvited and forced his way into her home. S.M. said she and Headley began arguing and Headley forced S.M. into her bedroom, onto her bed, and held her down with his body weight. Headley left swelling on S.M.'s shoulders before S.M. was able to escape Headley's grasp.
When officers entered S.M.'s home, they made contact with Headley as he was attempting to jump out of a window of the residence. Officers took Headley into custody and transported him to the Polk County Jail. At the time of this incident, Headley was on supervised probation for domestic abuse assault, and a nonexpiring protection order was in place between S.M. and Headley, with S.M. being the protected party. 1
On September 11, the State charged Headley with burglary in the second degree, assault with intent to commit a sexual abuse, domestic abuse assault enhanced, and stalking in violation of a protective order. On December 26, pursuant to a plea deal, Headley pled guilty to burglary in the second degree in violation of Iowa Code sections 713.1 and 713.5 (2018), and domestic abuse assault, enhanced second offense, in violation of sections 708.1(2)( a ) and 708.2A(3)( b ).
On January 25, 2018, the department of correctional services filed a PSI. The PSI included evaluations of Headley using both the Iowa Risk Revised (IRR) and the Dynamic Risk Assessment for Offender Re-Entry (DRAOR) risk assessment tools. Headley's IRR score was "in the high category for future violence and the high category for future victimization." His DRAOR score "placed him in the moderate/high category to recidivate," or in other words, *549 indicated he would fail on community-based supervision. Based on the personal interview with Headley, the Iowa Mental Health Screen, the IRR, the DRAOR, and Headley's criminal history, education, employment, and family history, the presentence investigator recommended incarceration.
On March 13, at the sentencing hearing, the district court judge asked Headley's counsel about the PSI, questioning, "Have you and your client been able to review this, Mr. Webber?" Headley's defense counsel replied, "We have, Your Honor." The court then asked, "Any additions, corrections, deletions, or modifications on behalf of the defendant?" Defense counsel replied, "No, Your Honor."
Headley's counsel asked the court to place Headley at the Fort Des Moines Residential Facility based on Headley's substance abuse, mental health issues, and his eligibility according to the PSI and a substance abuse evaluation. The State recommended incarceration.
The district court sentenced Headley to prison for a total term not to exceed eighteen years for the burglary, domestic abuse assault, and four probation violations. The district court judge also ordered Headley to make restitution, saying, "I'm not aware of the amount. If it's brought to my attention as to a specific amount, an order will be entered and you will have an opportunity to contest it." The court memorialized this in its sentencing order.
On March 26, Headley appealed his sentence alleging ineffective assistance of counsel.
On June 8, the Polk County Sheriff's Department filed an application for reimbursement for $13,695. The reimbursement covered Headley's room and board for 238 days of incarceration. On June 12, the court approved the sheriff's application for reimbursement and assessed a total of $14,228.80 to Headley for court costs and correctional fees.
II. Issues Raised on Appeal.
Headley raises five issues on appeal. First, whether the district court abused its discretion by considering the risk assessment tools in the PSI at sentencing. Second, whether the district court violated Headley's due process rights by considering the risk assessment tools in the PSI when it determined Headley's sentence. Third, whether the district court abused its discretion by considering an improper sentencing factor when it considered the department of correctional services' sentencing recommendation. Fourth, whether the district court imposed an illegal sentence by ordering Headley to pay court costs associated with the dismissed charges. Fifth, whether the district court erred in ordering Headley to reimburse the State for court costs and correctional fees without first considering Headley's reasonable ability to pay.
III. Whether the District Court Abused Its Discretion by Considering the Risk Assessment Tools in the PSI at Sentencing.
We apply an abuse of discretion standard when the sentence challenged was within the statutory limits.
State v. Seats
,
The crux of Headley's argument is that because the legislature has not
*550
authorized the court to use risk assessment tools in sentencing, the district court abused its discretion by considering these tools when it sentenced Headley. If we can determine whether a court abused its discretion by using an improper factor without further evidence, a defendant need not object to the use of an improper sentencing factor at the time of sentencing.
State v. Gordon
,
"In applying the abuse of discretion standard to sentencing decisions, it is important to consider the societal goals of sentencing criminal offenders, which focus on rehabilitation of the offender and the protection of the community from further offenses."
State v. Formaro
,
Iowa Code section 901.5 describes the sentencing provisions for Iowa judges:
After receiving and examine all pertinent information, including the presentence investigation report and victim impact statements, if any, the court shall consider the following sentencing options. The court shall determine which of them is authorized by law for the offense, and of the authorized sentences, which of them or which combination of them, in the discretion of the court, will provide maximum opportunity for the rehabilitation of the defendant, and for the protection of the community from further offenses by the defendant and others.
Iowa Code section 901.3 clarifies what is to be included in a PSI. The statute states the investigator must inquire into
*551 a. The defendant's characteristics, family and financial circumstances, needs, and potentialities.
b. The defendant's criminal record and social history.
c. The circumstances of the offense.
d. The time the defendant has been in detention.
e. The harm to the victim, the victim's immediate family, and the community....
f. The defendant's potential as a candidate for the community service sentence program established pursuant to section 907.13.
g. Any mitigating circumstances relating to the offense and the defendant's potential as a candidate for deferred judgement, deferred sentencing, a suspended sentence, or probation, if the defendant is charged with or convicted of assisting suicide....
h. Whether the defendant has a history of mental health or substance abuse problems. If so, the investigator shall inquire into the treatment options available in both the community of the defendant and the correctional system.
While the statute does not specifically address risk assessment tools, such as the IRR and DRAOR, these risk assessment tools contain pertinent information. The dictionary defines "pertinent" as having "some connection or relation with ... a matter under discussion." Pertinent , Webster's Third New International Dictionary (unabr. ed. 2002). The dictionary defines "information" as "knowledge communicated by others or obtained though investigation, study, or instruction." Information , Webster's Third New International Dictionary . On their face, the tools appear to predict future conduct, recidivism, and the success of the defendant in a community-based correctional setting. These tools are "pertinent information" to sentencing under section 901.5.
When sentencing courts consider the risk a defendant poses to the community, the court furthers the legislative intent of providing "for the protection of the community from further offenses by the defendant."
Headley also argues the district court abused its discretion because even if risk assessment tools are permissible at sentencing, the district court did not know of the cautions and limitations associated with the tools. There are two problems with this argument. First, a court needs further evidence to determine the cautions and limitations of the tools. Second, we held in
State v. Guise
, this argument "is in essence a due process argument."
IV. Whether the District Court Violated Headley's Due Process Rights by Considering the Risk Assessment Tools in the PSI When It Determined Headley's Sentence.
Headley contends the district court violated his due process rights by *552 using the IRR and DRAOR at sentencing. Headley did not raise this issue at the time of sentencing. In Gordon , we held a defendant could not raise this due process argument for the first time on appeal when the defendant did not bring the issue to the attention of the district court at the time of sentencing. 921 N.W.2d at 23-24. We further held we could not address the due process issue under the rubric of ineffective assistance of counsel on direct appeal because the record was insufficient to reach this claim. Id. at 24. Therefore, we will not reach the merits of this argument on direct appeal. Headley may raise this issue in a postconviction-relief action if he so desires.
V. Whether the District Court Abused Its Discretion by Considering an Improper Sentencing Factor When It Considered the Department of Correctional Services' Sentencing Recommendation.
Headley contends the district court considered an improper sentencing factor by considering the sentencing recommendation contained in the PSI. Although Headley did not object to the court's use of the sentencing recommendation at the time of sentencing, he was not required to do so for us to consider it as an improper sentencing factor on direct appeal. See id. at 23-24 (holding if we can determine whether a court abused its discretion by using an improper factor without further evidence, a defendant need not object to the use of an improper sentencing factor at the time of sentencing).
Section 901.5 contains numerous sentencing options from incarceration to deferred judgment. When the department of correctional services recommends a deferred judgment, deferred sentence, or a suspended sentence, each of which is accompanied by probation, the department is telling the court the defendant can be rehabilitated in the community without incarceration, is a low risk for recidivism, and is not a danger to the community. When the department of correctional services recommends incarceration, the department is telling the court that the defendant cannot be rehabilitated in the community, is a high risk for recidivism, or is a danger to the community. This information is "pertinent information" for a court to consider when sentencing a defendant under section 901.5.
Moreover, we have previously held any sentencing recommendations contained in the PSI are not binding on the court.
State v. Grgurich
,
VI. Whether the District Court Imposed an Illegal Sentence by Ordering Headley to Pay Court Costs Associated with the Dismissed Charges.
In
State v. McMurry
,
VII. Whether the District Court Erred in Ordering Headley to Reimburse the State for Court Costs and Correctional Fees Without First Considering Headley's Reasonable Ability to Pay.
Headley argues the district court erred in ordering him to pay restitution in the form of court costs and correctional fees without first determining his reasonable ability to pay those items.
In
Albright
, 925 N.W.2d at 159, we clarified that certain items of restitution are subject to a reasonable-ability-to-pay determination.
See also
Here, the court failed to follow our statutory procedures as outlined in Albright . Accordingly, we must vacate that part of the sentencing order regarding restitution and remand the case back to the district court to impose restitution consistent with our decision in Albright .
VIII. Disposition.
We find the district court did not abuse its discretion in considering the risk assessment tools on their face as contained within the PSI. We further find Headley failed to preserve error on his due process and abuse-of-discretion claims regarding the court's consideration of the risk assessment tools contained in the PSI. We also find the record is insufficient to reach these due process and abuse-of-discretion claims on direct appeal. In regard to his claim that the district court abused its discretion when it considered the department of correctional services' sentencing recommendation, we find it did not. We find the court did not enter an illegal sentence by requiring Headley to pay the court costs associated with the dismissed charges. Finally, we find the district court erroneously ordered restitution without first conducting the applicable reasonable-ability-to-pay analysis. Therefore, we vacate the restitution portion of the defendant's sentence and remand for resentencing in light of this opinion and our opinion in
Albright
,
SENTENCE AFFIRMED IN PART, VACATED IN PART, AND REMANDED.
S.M. has two protective orders against Headley. The court filed one order on December 12, 2016, with an expiration date of February 7, 2022. The court filed a second, the nonexpiring order, on July 29, 2017.
Reference
- Full Case Name
- STATE of Iowa, Appellee, v. Evan Paul HEADLEY, Appellant.
- Cited By
- 93 cases
- Status
- Published