IN THE SUPREME COURT OF IOWA No. 13–1906
Filed March 4, 2016
Amended March 7, 2016
STATE OF IOWA,
Appellee,
vs.
JOSHUA SCOTT PEARSON,
Appellant.
On review from the Iowa Court of Appeals.
Appeal from the Iowa District Court for Marion County, Martha L.
Mertz, Judge.
Defendant seeks further review of a court of appeals decision
holding the district court properly resentenced the defendant upon
remand. DECISION OF COURT OF APPEALS AND JUDGMENT AND
SENTENCE OF DISTRICT COURT VACATED; CASE REMANDED WITH
DIRECTIONS.
William L. Bushell, Des Moines, and Angela L. Campbell of Dickey
& Campbell Law Firm, P.L.C., Des Moines, for appellant.
Thomas J. Miller, Attorney General, Mary A. Triick, Assistant
Attorney General, and Edward Bull, County Attorney, for appellee. 2
CADY, Chief Justice.
The defendant, Joshua Scott Pearson, seeks further review of a
court of appeals decision holding the district court properly resentenced
him upon remand. Pearson asserts the district court exceeded its
authority when it resentenced him instead of merely correcting an error
in the sentencing order. As a result, Pearson contends, he unjustly
received a harsher sentence than the one in the original sentencing
order. Upon further review, we hold the district court exceeded its
mandate when it resentenced the defendant upon remand. Accordingly,
we vacate the decision of the court of appeals and the judgment and
sentence of the district court and remand the case for entry of judgment
consistent with this opinion.
I. Background Facts and Proceedings.
On November 4, 2011, the State charged thirty-one-year-old
Joshua Scott Pearson with committing sex acts with a fifteen-year-old
girl. On April 17, 2012, Pearson pled guilty to two counts of sexual
abuse in the third degree in violation of Iowa Code section 709.4(2)(c)(4)
(2011). This section criminalizes the performance of a sex act with a
fourteen- to fifteen-year-old person by an individual at least four years
older and not married to the person. Id. At the guilty plea hearing, the
State established a factual basis for the plea.
At the subsequent sentencing proceeding, the prosecutor
mistakenly informed the district court that the defendant “pled guilty . . .
to two counts of sexual abuse in the third degree in violation of Iowa
Code [s]ection[s] 709.1 and 709.4(2)(b).” This was the only reference
made to the applicable Code sections by anyone at the sentencing
proceeding. A violation of Iowa Code section 709.4(2)(b) criminalizes a
sex act with a twelve- or thirteen-year-old. Compare id. § 709.4(2)(b), 3
with id. § 709.4(2)(c)(4). Section 709.4(2)(b) is a forcible felony while
section 709.4(2)(c)(4) is a nonforcible felony. See id. § 702.11. The
written judgment and sentence entered by the district court adjudged the
defendant guilty of two counts of sexual abuse in the third degree in
violation of Iowa Code section 709.4(2)(b). Yet, it was clear that during
the sentencing proceeding, the court understood the defendant pled
guilty to crimes involving a fifteen-year-old female and a thirty-one-year-
old male consistent with the elements of section 709.4(2)(c)(4). In its
colloquy with the defendant, the court stated, “This victim was roughly
fifteen years younger. She was a 15 year old girl.”
As part of the plea agreement, the parties were free to argue for
whatever disposition they deemed appropriate. The defendant argued for
a twenty-year suspended sentence. Probation, he asserted, would
provide him with the maximum opportunity for rehabilitation. The State
argued for two consecutive, indeterminate ten-year sentences. In
delivering its sentence, the district court stated probation was not
justified in this instance. The major issue before the court was whether
the sentences should be consecutive or concurrent. The court sentenced
the defendant to two concurrent, indeterminate ten-year sentences. 1
On June 13, Pearson filed a notice of appeal. Two months later, on
August 29, the defendant filed a motion to correct an illegal sentence,
asserting the district court applied the wrong Code section at his
sentencing and asking the court to correct the error promptly. 2 The
1In addition to the prison terms, the judgment also provided the defendant was subject to lifetime parole, DNA profiling, sex-offender registration, and several no- contact orders. See Iowa Code § 81.2; id. § 664A.5; id. § 692A.104; id. § 901.5(8A)(a); id. § 903B.1. 2There is nothing in the record to indicate the district court addressed this
motion. Because the defendant had filed an appeal, the district court did not have jurisdiction to correct the judgment. See State v. Jose, 636 N.W.2d 38, 46 (Iowa 2001). 4
defendant also filed successive motions for reconsideration of sentence
with the district court. Each time the defendant argued for probation
and alleged, among other things, the court used the wrong Code section
in his sentencing. The district court denied each of the defendant’s
motions for reconsideration.
A. Original Appeal. We transferred Pearson’s case to the court of
appeals. In his appeal, Pearson asserted the district court made a
mistake of law when it entered judgment and convicted Pearson of
violating Iowa Code section 709.4(2)(b), which he contended could not be
corrected by the use of a nunc pro tunc order. He requested remand to
the district court “to correct the statutory violation of the judgment.” The
State agreed the wrong Code section had been entered in the defendant’s
judgment but contended it was merely a clerical error, which could be
corrected with a nunc pro tunc order. The State further contended the
record unambiguously demonstrated the court intended to enter
judgment against Pearson for violating Iowa Code section 709.4(2)(c)(4),
criminalizing a sex act with a fifteen-year-old. It asserted that “[t]he
district court did not consciously reason and determine to enter
judgment under Iowa Code section 709.4(2)(b).” The State requested the
court affirm the judgment and remand the case to the district court to
enter a nunc pro tunc order correcting the clerical error.
The court of appeals, however, agreed with Pearson. It found that
the “oral pronouncement of the sentence . . . was to charges Pearson had
not pleaded guilty to” and for which there was no support in the record.
State v. Pearson, No. 12-1311, 2013 WL 5291941, at *2 (Sept. 18, 2013).
Therefore, the court was unable to remand for a nunc pro tunc order.
Instead, the court “vacate[d] the judgment and sentence on Iowa Code
section 709.4(2)(b) and remand[ed the case] to the district court to allow 5
the district court to amend the judgment and sentence to reflect the
defendant’s intent in entering the plea.” Id. at *1.
B. Proceeding on Remand. The matter returned to the district
court before a different judge on November 22, 2013. Initially, the court
stated, “This matter is back before the Court for the purpose of
resentencing on two counts of sexual abuse in the third degree contrary
to Iowa Code [s]ection 709.4(2)(c).” (Emphasis added.) The prosecutor
agreed, and the court continued:
This matter went up on appeal and was remanded for sentencing based on an interesting opinion drawing a distinction between when we must vacate sentences and when we can simply correct them with an order nunc pro tunc. In this instance the Court of Appeals said it had to remand for resentencing.
The court then proceeded to review the presentence investigation
report (PSI) and the record in the case. The court inquired whether there
was “any legal reason or cause why judgment and sentence should not
now be pronounced,” to which defense counsel replied, “No.” Both the
State and the defendant renewed the sentencing recommendations
previously urged. The State requested consecutive, indeterminate ten-
year sentences while the defendant again asked for “a probationary
sentence, two ten-year sentences run concurrent and on probation.”
The defendant was then given the opportunity to address the court
before sentence was pronounced. In speaking to the court, Pearson
initially objected to the prosecutor’s remarks that he failed to apologize to
the victim. In addition, he stated:
I didn’t ask for a new sentencing. I asked for the correct code to be applied in my appeal. It’s my belief that [the court of appeals] determined that an error in judgment, not a clerical error, was made by either the district attorney’s office or the Court initially. 6
The court then found the defendant guilty of two counts of sexual
abuse in the third degree in violation of Iowa Code section 709.4(2)(c)(4),
the correct Code section, and sentenced him to two indeterminate ten-
year sentences to be served consecutively.
At the end of the hearing, when discussing whether the judgment
order should send the defendant to Oakdale for assessment or back to
prison, the court stated, “I think that was sort of the whole point of the
appeal, was it not, Mr. Pearson, to get it right the first time?” The
defendant responded, “Yes. It was just to get the code right the first
time. I didn’t think a new sentencing and everything but that’s . . . .”
The court advised the defendant that he was subject to DNA
profiling, sex-offender registration, and several no-contact orders. In
addition, the court’s judgment and sentencing order provided the
“[d]efendant shall successfully complete a sexual offender treatment
program [(SOTP)] while incarcerated.”
C. Current Appeal. The defendant now appeals his resentencing,
asserting that upon remand the district court erred by not following the
instructions of the court of appeals in two respects. First, Pearson
claims the court erred because “instead of correct[ing] the technical error
in the first sentencing order, it resentenced [him] anew,” resulting in a
change in his sentences from concurrent to consecutive. Second, he
asserts the court’s resentencing also resulted in a change in his sentence
by requiring that he complete the required SOTP while incarcerated as
opposed to the original sentence, which would have allowed him to
complete the program while on parole.
We again transferred the case to the court of appeals, which
concluded the district court properly resentenced the defendant and
affirmed the district court. Upon our further review, we find the district 7
court exceeded its mandate when it resentenced the defendant upon
remand, and we vacate the decision of the court of appeals and the
judgment and sentence of the district court and remand for entry of
judgment consistent with this opinion. Consequently, we need not
address the defendant’s assertion that the harsher sentence was unjust
and the result of vindictiveness.
II. Standard of Review.
Both the defendant and the State assert this court’s review is for
errors at law. The defendant has brought this challenge as an appeal,
see Iowa Code § 814.6 (2013) (providing criminal defendants in most
instances a right of appeal from final judgment of sentence); however, in
his argument he relies almost exclusively on City of Okoboji v. Iowa
District Court, 744 N.W.2d 327 (Iowa 2008), a certiorari case. Because
the defendant has a statutory right to appeal, we need not address
whether he could have challenged the district court’s action with a writ of
certiorari. See Kuhlmann v. Persinger, 261 Iowa 461, 468–69, 154
N.W.2d 860, 864 (1967) (recognizing other forms of relief when a district
court misconstrues an appellate mandate); see also Bousman v. Iowa
Dist. Ct., 630 N.W.2d 789, 793–94 (discussing defendant’s right to appeal
under section 814.6 and availability of certiorari proceedings).
Additionally, we agree our review is for correction of errors at law. See
Iowa R. App. P. 6.907.
III. Discussion.
A. Resentencing. The defendant asserts the district court erred
in resentencing him. Specifically, the defendant contends the district
court exceeded its authority upon remand.
“It is a fundamental rule of law that a trial court is required to
honor and respect the rulings and mandates by appellate courts in a 8
case.” City of Okoboji, 744 N.W.2d at 331. “A mandate to the district
court contained in a decision of this court becomes the law of the case on
remand, and a district court that misconstrues or acts inconsistently
with the mandate acts illegally by failing to apply the correct rule of law
or exceeding its jurisdiction.” Id. at 330. Moreover, a district court on
remand “is limited to do the special thing authorized by this court in its
opinion, and nothing else.” Kuhlmann, 261 Iowa at 468, 154 N.W.2d at
864.
When presented with a mandate on remand, the district court’s
first task is to determine the precise action directed to be performed by
the appellate court. City of Okoboji, 744 N.W.2d at 331. In doing so, the
court “must not read the mandate in a vacuum, but must consider the
full opinion of the appellate court and the circumstances the opinion
embraces.” Id. at 332. In other words, “[t]he rationale of the appellate
court opinion must be examined to uncover the intent of the appellate
court.” Id.
The defendant contends the appellate court was clear: “We vacate
the judgment and sentence on Iowa Code Section 709.4(b) and remand to
the district court to allow the district court to amend the judgment.”
Pearson, 2013 WL 5291941, at *3 (emphasis added). According to the
defendant, the district court only had authority to correct the clerical
error on the judgment and was not authorized to resentence the
defendant.
Before addressing the merits of the defendant’s substantive claim,
we must first consider whether the defendant has preserved error on this
issue. The State concedes a defendant may challenge an “error[] in
sentencing . . . on direct appeal even in the absence of an objection in the
district court.” State v. Lathrop, 781 N.W.2d 288, 293 (Iowa 2010). It 9
argues, however, that the defendant’s challenge is to the district court’s
authority to resentence him, not to the legality of the sentence itself;
therefore it contends his challenge does not fall into this broad error-
preservation principle applicable to illegal sentences. See, e.g., State v.
Bruegger, 773 N.W.2d 862, 872 (Iowa 2009) (holding when “the claim is
that the sentence itself is inherently illegal, whether based on
constitution or statute,” the claim may be asserted at any time). When
specifically asked by the district court whether he knew of “any legal
reason or cause why judgment and sentence should not be pronounced,”
the defendant, through counsel, responded he did not. Thus, the very
issue the defendant challenges in this appeal—resentencing—his counsel
failed to object to when given the opportunity to do so by the court.
We have long held that we “would not decide a case based on a
ground not raised in the district court.” DeVoss v. State, 648 N.W.2d 56,
60 (Iowa 2002). These error preservation rules are based upon fairness.
[I]t is fundamentally unfair to fault the trial court for failing to rule correctly on an issue it was never given the opportunity to consider. Furthermore, it is unfair to allow a party to choose to remain silent in the trial court in the face of error, taking a chance on a favorable outcome, and subsequently assert error on appeal if the outcome in the trial court is unfavorable.
Id. (alteration in original) (quoting 5 Am. Jur. 2d Appellate Review § 690,
at 360–61 (1995)).
Even though neither the State nor Pearson sought resentencing on
appeal or on remand, and both only wanted the conceded mistake in the
existing judgment and sentence corrected, the district court on remand
ordered resentencing. While the attorneys yielded to the directive of the
district court, Pearson told the court when he had the opportunity to
address the judge that he did not want to be resentenced. In other 10
words, the one person in the courtroom who was the subject of the
resentencing objected when it was his turn to speak. Under these
unique facts, we conclude the defendant did not fail to preserve error on
his claim.
We now proceed to determine whether the district court acted
contrary to “the precise action directed to be done by the appellate
court.” City of Okoboji, 744 N.W.2d at 331. In this case, the court of
appeals opinion stated it “vacate[d] the judgment and sentence on Iowa
Code section 709.4(2)(b) and remand[ed] to the district court to allow the
district court to amend the judgment and sentence to reflect the
defendant’s intent in entering the plea.” Pearson, 2013 WL 5291941, at
*1 (emphasis added).
As previously noted, the appellate court did not believe it could remand
the case to the district court for the entry of a nunc pro tunc order to
correct a clerical error. Id. at *1.
The function of a nunc pro tunc order is not to modify or correct a judgment but to make the record show truthfully what judgment was actually rendered—“not to make an order now for then, but to enter now for then an order previously made.”
Gen. Mills, Inc. v. Prall, 244 Iowa 218, 225, 56 N.W.2d 596, 600 (1953)
(quoting Chariton & Lucas Cty. Nat’l Bank v. Taylor, 213 Iowa 1206,
1208, 240 N.W. 740, 741 (1932)). The court found that this was not a
case of judgment entry incorrectly differing from the oral rendition of the
judgment, in which the nearly universal application is that the oral
pronouncement controls. Pearson, 2013 WL 5291941, at *2. The
appellate court concluded, “The oral pronouncement of the sentence here
was to charges Pearson had not pleaded guilty to, nor was there any
evidence to support a finding Pearson had violated that code section.” Id. 11
It found the case akin to State v. Garrett, 516 N.W.2d 892 (Iowa 1994).
Id.
In Garrett, the state charged the defendant with criminal trespass,
and the court properly submitted the elements of trespass to the jury.
516 N.W.2d at 894. However, the verdict form for the criminal trespass
charge was erroneously labeled “criminal mischief.” The jury returned a
verdict against Garrett on this form. Id. Nevertheless, the court entered
judgment of conviction and sentence for criminal trespass. Id. The
defendant challenged his sentence as illegal. Id.
Under the facts of that case, this court drew two conclusions: (1) A
clerical error existed in the verdict form, and (2) the jury intended to find
Garrett guilty of criminal trespass. Id. at 895–96. We held “the district
court had the authority to ignore the clerical error . . . and accept the
verdict as a finding by the jury that Garrett was guilty of criminal
trespass.” Id. at 896. We said this because we found the jury’s intention
to find him guilty of criminal trespass was “clearly apparent from the
instructions and verdict forms.” Id. However, we held, “Technically, the
district court should have amended the verdict form to reflect this
finding.” Id. For that reason, we vacated the sentence on criminal
trespass and remanded to the district court to allow it to amend the
verdict form and resentence on the criminal trespass. Id.
At first blush, it would appear that the court of appeals’ reliance on
Garrett supports the conclusion that it intended for the district court to
engage in a resentencing of Pearson on remand. However, we “must not
read the mandate in a vacuum, but must consider the full opinion of the
appellate court and the circumstances the opinion embraces.” City of
Okoboji, 744 N.W.2d at 332. “The rationale of the appellate court opinion
must be examined to uncover the intent of the appellate court.” Id. 12
Even though the district court in this case was not provided with
any evidence to support a finding that Pearson had violated Iowa Code
section 709.4(2)(b), it entered judgment and sentence on this section.
The appellate court determined this was a mistake of law in the
judgment, not a mere clerical error. Pearson, 2013 WL 5291941, at *1.
The appellate court noted that in Garrett “the proper remedy was to
vacate the sentence on criminal trespass and remand to allow the district
court to amend the verdict form to reflect the jury’s actual intent and to
enter a new sentence on the amended verdict.” Id. at *2.
Although the appellate court directed the district court to vacate
Pearson’s sentence, it did not specifically direct the district court to
engage in a resentencing procedure. Rather, it directed the court to
amend its error in judgment. 3 The appellate court found that while the
district court made a mistake in judgment because it erroneously entered
judgment on a Code section to which the defendant had not pled guilty
and for which there was no evidence, the main issue before the district
court had been whether the sentences should be served consecutively or
concurrently. Id. It further found there was “nothing in the record to
suggest that the court believed Pearson had a younger victim.” Id. Thus, the appellate court acknowledged that the original sentence, though
based upon a mistake in law in the judgment, was not based upon a
mistake in the district court’s understanding of the actual factual basis
for the plea. Id. Under these circumstances, we do not believe the
appellate court, regardless of any reliance upon Garrett, could have
intended the State, upon remand, to have another bite at the apple to
3Black’sLaw Dictionary defines “amend” to mean “[t]o correct or make usu[ally] small changes to (something written or spoken); to rectify or make right.” Amend, Black’s Law Dictionary (10th ed. 2014). 13
argue for a harsher sentence than the one originally imposed.
Conversely, the appellate court could not have intended Pearson to have
a new opportunity to seek a lighter sentence when resentencing was
never requested on appeal.
Additionally, we think Garrett can be distinguished from the facts
of this case. In Garrett, the court’s judgment and sentence was for a
wholly different crime than the crime for which the jury found him guilty.
Garrett, 516 N.W.2d at 894. Unlike in this case, the fact finder in Garrett
made findings as to an uncharged crime. Id. The finding of guilt that
entitled the court to impose sentence was faulty. See id. It makes sense
that we required the district court to “resentence Garrett on the amended
criminal trespass verdict.” Id. at 896. Criminal trespass was a crime for
which Garrett had never been sentenced. Here, however, the court
sentenced Pearson for the correct crime but under the wrong Code
section. There was no error in the entry of guilt. Therefore, there was no
need to resentence Pearson once the judgment was amended.
B. Sentence. We find that the district court exceeded its mandate
in resentencing the defendant anew, and we vacate the resulting
sentence. Therefore, we need not consider whether the district court
unjustly provided the defendant with a harsher sentence than he had
before the district court committed error in the original sentencing order.
C. Outcome. This case presents the choice of two outcomes. One
is for Pearson to continue to serve out the sentence of incarceration he
received in 2012. The other is for Pearson to now serve a new sentence
of incarceration twice as long as his original sentence. It all comes about
because Pearson exercised his right to appeal from his sentence to
correct an inadvertent, nonsubstantive mistake in the entry of judgment
and sentence that he was not responsible for creating. It would be wrong 14
for the process of criminal justice to do anything more than correct its
own mistake and allow Pearson to serve out the original sentence
imposed.
In the end, it is important that we apply our own rules of error
preservation and judicial interpretation in a way that does not obscure
the goal of justice in each case. What is painfully obvious in this case is
that the mistake that occurred at the original sentencing hearing was
inconsequential to the sentence imposed. As a result, there was
absolutely no reason for any court to order resentencing as a means to
fix the mistake. Nor was there any reason for the mistake to consume
the time and expense of two appeals and now the further review of this
court. Nor was the mistake one that should further require the time and
expense of postconviction relief proceedings.
IV. Conclusion.
For the reasons stated above, we vacate the decision of the court of
appeals and the judgment and sentence of the district court and remand
the case to the district court to amend the original judgment and
sentence to reflect the correct Code section without a resentencing of the
DECISION OF COURT OF APPEALS AND JUDGMENT AND
All justices concur except Mansfield and Zager, JJ., who dissent. 15
#13–1906, State v. Pearson
MANSFIELD, Justice (dissenting).
I respectfully dissent. In my view, the district court correctly
followed the court of appeals’ mandate from the prior appeal. In any
event, Pearson waived any objection to resentencing by voluntarily
participating in the resentencing proceeding and seeking to benefit from
it.
The defendant in this case, Joshua Pearson, repeatedly coerced a
fifteen-year-old girl who was less than half his age into having sex with
him. Pursuant to a plea agreement, Pearson pled guilty to two counts of
third-degree sexual abuse. There was no agreement on sentence.
Pearson argued for a suspended sentence and probation. The State
asked for consecutive sentences. The district court sentenced Pearson to
prison but made the two sentences concurrent. Yet at the conclusion of
the hearing, the court observed, “I will say it’s a very difficult question as
to whether these should be consecutive or should be concurrent.”
The June 8, 2012 judgment and sentencing order contained an
error. It cited Iowa Code section 709.4(2)(b) rather than section
709.4(2)(c)(4) as the provision under which Pearson had been convicted.
This error may have occurred because at the outset of the sentencing
hearing, the county attorney cited to section 709.4(2)(b) rather than
section 709.4(2)(c)(4). This was the only reference to a code section at
the sentencing hearing. However, the trial information had cited to the
correct code provision.
Pearson appealed. Meanwhile, he submitted two motions for
reconsideration of his sentence accompanied by personal letters. The
letters pointed out the incorrect code citation but also asked for
probation. Thus, his September 20 letter said, “I am filing a motion to 16
reconsider my sentence of two concurrent ten year sentences to
probation time instead.” His January 22, 2013 letter again noted the
incorrect code provision while setting forth “reasons that I am arguing for
probation.” Both motions were denied by the original sentencing judge.
When the case reached the court of appeals, the parties agreed the
mistake in the judgment and sentencing order necessitated a remand.
The State, however, argued that because the error was merely clerical, it
was necessary only to remand for a nunc pro tunc order correcting the
statutory citation. Pearson argued the case should be remanded for a
correction of a mistake of law in the judgment. Neither side specifically
asked for the existing judgment and sentence to be vacated.
In a September 18, 2013 decision, the court of appeals found nunc
pro tunc relief was unavailable because the oral pronouncement of
sentence had also contained a reference to the wrong code section.
Therefore, it “vacate[d] the judgment and sentence on Iowa Code section
709.4(2)(b) and remand[ed] to the district court to allow the district court
to amend the judgment.” State v. Pearson, No. 13–1311, 2013 WL
5291941, at *3 (Iowa Ct. App. Sept. 18, 2013) (emphasis added).
After procedendo issued, the State moved in the district court for a
hearing “for the Court to amend its ruling.” The State did not ask for
resentencing. However, the district court issued an order on November 1
setting a date for a new sentencing hearing.
On November 22, the resentencing hearing took place. A different
judge presided from the one who had conducted the previous sentencing.
At the very beginning of the hearing, the judge explained that she
interpreted the court of appeals decision as requiring resentencing. No
one objected. The parties then proceeded with a resentencing. 17
The State was asked for its position on sentence. Once again, the
State recommended consecutive sentences. Among other things, the
State directed the court’s attention to the self-serving January 22 letter
sent by the defendant to the court seven months after the original
sentencing hearing. This letter, in the State’s view, demonstrated “that
the time that he spent in prison hasn’t reached the goals of sentencing
rehabilitation.” 4
The court then turned to defense counsel and asked for his
recommendation regarding sentencing. As before, defense counsel
argued for a suspended sentence and offered into evidence a letter from a
potential employer indicating that Pearson had a job available upon
release. 5
Lastly, the court gave Pearson the opportunity to address the
court. During this colloquy, the court asked Pearson why he had never
apologized to the victim or her family. Pearson responded that he was
“not questioning” the court’s statement that he had never apologized.
However, he said, “I do feel remorse for her and them.”
At the conclusion of the hearing, the court pronounced judgment
and sentence. It made clear that Pearson was being found guilty under Iowa Code section 709.4(2)(c)(4). It stated that it was not going to grant
probation and would run the sentences consecutively. The court gave
4For example, in the letter, Pearson complained that the girl’s mother rather than the girl herself had submitted a victim impact statement: [The mother] stated that her daughter wanted nothing to do with these proceedings, yet said she would speak on [the daughter’s] behalf. I am confused at how someone can speak for another person when said person does not wish to speak in the first place. 5Pearson later acknowledged that because he is serving time concurrently for third-degree sexual abuse perpetrated on the same victim in two other counties, he would have to resolve those matters before he could be released. 18
separate reasons for not suspending sentence and for ordering
consecutive sentences. Its explanation for consecutive sentences
centered on the defendant’s “absence of remorse.”
Pearson appealed again, this time arguing that the district court
had not followed the court of appeals’ mandate. We transferred the case
to the court of appeals.
In a March 11, 2015 opinion, the court found that the district
court had not exceeded the scope of its mandate by conducting a
resentencing. It noted the prior appellate decision had done two things:
(1) it had vacated Pearson’s judgment and sentence, and (2) it had
remanded to allow the district court to amend the judgment.
In the court of appeals’ view, a resentencing was authorized, if not
required, under its previous 2013 decision. The court noted that the
2013 decision had specifically discussed and relied on State v. Garrett,
516 N.W.2d 892 (Iowa 1994), as its model for what should happen. In
Garrett, as here, there had been a “clerical error”—although in the verdict
form rather than the judgment form. Id. at 896. Our court in Garrett
vacated the existing sentence, remanded for the verdict form to be
amended, and ordered the district court to “resentence [the defendant]
on the amended . . . verdict.” Id.
The court now overturns the court of appeals’ second decision. In
doing so, my colleagues commit two errors. First, they conclude that the
court of appeals misread the mandate of its own prior decision. I
disagree with my colleagues. The original court of appeals decision
vacated the judgment and sentence below and cited Garrett for what it
was doing, specifically noting that Garrett had directed the district court
to “enter a new sentence.” Pearson, 2013 WL 5291941, at *2–3. 19
According to Webster’s Dictionary, “vacate” means to “make void,”
to “annul.” See Vacate, Webster’s Third New International Dictionary
(unabr. ed. 2002). Black’s Law Dictionary defines the term as meaning
“[t]o nullify or cancel; make void; invalidate.” Vacate, Black’s Law
Dictionary (10th ed. 2014). Once the court of appeals vacated the
judgment and sentence, there was no longer a legal or valid sentence.
The district court had no alternative but to resentence Pearson. This is
exactly what the district court did through a formal resentencing
proceeding. As in any resentencing, the district court had to exercise its
discretion based upon the current information that was available to it.
That is what the district court did here and what the court of appeals
confirmed to be appropriate in its second decision.
In today’s opinion, the court distinguishes Garrett. It notes that in
Garrett the original inadvertent error was in the verdict form rather than,
as here, in the judgment. This may be a relevant distinction, but nobody
sought rehearing or further review of the prior court of appeals decision.
Hence, it is the law of this case. Whether the initial court of appeals
decision correctly or incorrectly applied Garrett is really not at issue now.
My colleagues also say that the prior court of appeals decision did
not “intend[] the State, upon remand, to have another bite at the apple to
argue for a harsher sentence.” But of course, a resentencing gives both
sides another bite at the apple—as this case illustrates. The defendant
can argue for a more lenient sentence, the State for a stricter one. Just
last year, we emphasized that appellate courts have discretion to order a
resentencing on all counts even when the improper sentence was only on
one count and was severable from the sentence on the remaining counts.
See State v. Hopkins, 860 N.W.2d 550, 554 (Iowa 2015). If anything, it
appears that in a doubtful case, resentencing is the safest option. 20
This leads to my colleagues’ second error. A fair reading of the
record reveals that Pearson did not object to the resentencing below. In
fact, he was a willing participant. Through his counsel, he sought a
lesser sentence than the original sentence; meanwhile, the State sought
one that was more severe.
Three weeks before the November 22 hearing, an order had been
served on both defense counsel and the defendant setting this hearing
for “sentencing.” At the opening of the hearing, the court announced
several times that it was going to be conducting a new sentencing.
Defense counsel came prepared for a new sentencing and prepared to
argue for probation with a letter from a potential employer. The
defendant, in other words, plainly sought to take advantage of the
opportunity provided by a resentencing.
The court concedes that by this course of conduct the defendant
would normally waive any objection to resentencing, but it declines to
apply this waiver rule because of the “unique facts” of this case.
The unique fact detected by the court is that the defendant
personally objected to resentencing during his colloquy with the district
court even though his counsel went along with resentencing.
Respectfully, I believe the court is misreading the hearing record.
Notably, until this court’s opinion today, no one had suggested that the
defendant personally objected to resentencing. His appellate counsel
makes no such claim despite being new to the case and unencumbered
by any position taken by prior counsel at resentencing.
In discerning the existence of an objection no one claims was
actually made, the majority has taken out of context a few sentences
from the defendant’s colloquy with the district court. In context, Pearson
was backpedaling after having been criticized by the State for a lack of 21
remorse. Thus, he told the district court that he had not asked for a
resentencing on appeal. Instead, he maintained, “I asked for the correct
code to be applied in my appeal.” However, he acknowledged the court of
appeals did something different than he had requested:
It’s my belief that Judge Sackett, after reading the—going through my case had determined that an error in judgment, not a clerical error, was made by either the district attorney’s office or the Court initially.
These statements indicate to me that Pearson had been briefed by his
counsel ahead of the November 22 hearing and understood that even
though his initial request had been for nunc pro tunc relief based on a
clerical error, the court of appeals concluded a more significant error had
occurred, opening the door for a resentencing. Pearson was not stating
an objection to resentencing, he was giving an accurate description of the
course of his appeal. And Pearson sought, albeit unsuccessfully, to
benefit from the situation.
As we said recently,
[I]t is fundamentally unfair to fault the trial court for failing to rule correctly on an issue it was never given the opportunity to consider. Furthermore, it is unfair to allow a party to choose to remain silent in the trial court in the face of error, taking a chance on a favorable outcome, and subsequently assert error on appeal if the outcome in the trial court is unfavorable.
State v. Ambrose, 861 N.W.2d 550, 555 (Iowa 2015) (alternation in
original) (quoting State v. Pickett, 671 N.W.2d 866, 869 (Iowa 2003)).
But what if I’m wrong? What if Pearson was misinformed or ill-
served by his resentencing counsel? Then Pearson can file an
application for postconviction relief alleging he received ineffective
assistance at the November 22 hearing. That is what PCR proceedings
are for, so a record can be developed on what the defendant understood 22
and why defense counsel did what he did. In short, even if I agreed with
the majority that the court of appeals misread the mandate of its own
prior decision, I would find that Pearson waived objection to a
resentencing and that any challenge to the resentencing must be
developed in a PCR application.
The court also indicates that Pearson may have asserted a
vindictiveness claim, but I do not see such a claim being raised in the
briefs. Regardless, I see no basis for concluding that the district judge
acted vindictively in resentencing Pearson.
I acknowledge the unfairness recognized by the majority when a
defendant receives a more severe sentence after appealing a technical
error that was not his fault. In my view, this unfairness is tempered by
the defendant’s willing participation in and attempt to benefit from
resentencing, the potential availability of PCR relief, and some of the
aggravating facts of this case as recognized by both sentencing judges.
For the foregoing reasons, I would affirm the district court and the
court of appeals.
Zager, J., joins this dissent.