State of Iowa v. Thomas Winston Hales ( 2021 )

IN THE COURT OF APPEALS OF IOWA
No. 19-2098
Filed January 21, 2021
STATE OF IOWA,
Plaintiff-Appellee,
vs.
THOMAS WINSTON HALES,
Defendant-Appellant.
________________________________________________________________
Appeal from the Iowa District Court for Woodbury County, Todd A. Hensley,
District Associate Judge.
A defendant appeals the denial of his motion to suppress and conviction.
AFFIRMED.
James N. Daane of Mayne, Hindman, Daane, Parry & Wingert, Sioux City,
for appellant.
Thomas J. Miller, Attorney General, and Genevieve Reinkoester and Kyle
Hanson, Assistant Attorneys General, for appellee.
Considered by Mullins, P.J., May, J., and Blane, S.J.*
*Senior judge assigned by order pursuant to Iowa Code section 602.9206
(2021).
2
BLANE, Senior Judge.
Defendant Thomas Hales appeals the district court’s denial of his motions
to suppress and to reconsider and his conviction after a bench trial of operating
while intoxicated (OWI), second offense. Upon our review, we find reasonable
suspicion supported the officer’s stop, the district court correctly denied Hales’s
motions to suppress and reconsider, and we affirm Hales’s conviction.
I. Factual and procedural history.
Shortly after midnight on December 13, 2017, Hales was headed home,
driving north on Nebraska Street in Sioux City. At the same time, Sioux City Police
Officer Christopher Thomas was northbound on Nebraska Street following a
vehicle that had entered in front of him with its high beams on. As Officer Thomas
drove in the right lane, he came up next to Hales’s vehicle in the center lane. Up
to that point, the officer had not observed Hales’s vehicle do anything to draw his
attention. As Officer Thomas pulled alongside, Hales’s vehicle moved to the left
out of the center lane, drawing the officer’s attention. The officer initiated his patrol
vehicle camera, slowed down, dropped in behind and followed Hales for a period.
The patrol vehicle video recording shows the movement of Hales’s vehicle and
what Officer Thomas observed that night.1 Based upon his observation, Officer
Thomas turned on his patrol vehicle emergency lights, pulled Hales over, and
initiated his investigation, which eventually lead to Hales’s arrest for OWI, second
offense. Hales was formally charged by trial information with that offense, a
violation of Iowa Code section 321J.2 (2017), as well as with a companion simple-
1The video recording was admitted as an exhibit for both the motion to suppress
as well as the bench trial, and is part of the appellate record for our review.
3
misdemeanor charge of improper use of lanes, in violation of Iowa Code section
321.306, which was held open pending disposition of the OWI charge.
Hales filed a motion to suppress seeking to exclude all evidence obtained
from the traffic stop and requesting both cases be dismissed. Hales asserted that
Officer Thomas did not have a basis to initiate the traffic stop and therefore violated
his constitutional right against unreasonable searches and seizures under the
United States and Iowa Constitutions. The State resisted. After a hearing, the trial
court denied the motion to suppress. The court ruled that the State’s proffered
basis for the stop—violation of section 321.306—was not established by the
evidence, but that probable cause did exist for an uncharged violation of Iowa
Code section 321.256,2 and that the officer had reasonable suspicion because
Hales’s vehicle was “drifting left and traveling over the dividing line of the lanes” at
12:30 in the morning.
Hales’s attorney and the prosecutor then worked out a stipulation so the
court could address Hales’s motion to reconsider the suppression ruling, as well
as for a bench trial to the court. The court set the reconsideration motion and
bench trial for April 10, 2019. The parties stipulated to the admission of the minutes
of evidence and Hales’s prior OWI conviction. In addition, the parties stipulated:
[O]n December 13, 2017, [Hales] operated a motor vehicle in
Woodbury County, Iowa. At the time he was operating the motor
vehicle in Woodbury County, Iowa, he was under the influence of an
alcoholic beverage and . . . he had a breath alcohol level of 0.136
grams of alcohol per 210 liters of breath.
...
2That section provides, “No driver of a vehicle shall disobey the instructions of
any official traffic-control device placed in accordance with the provisions of this
chapter . . . .”
4
. . . [T]he parties also agree subject to our argument that the
issues raised in our Motion to Suppress are preserved for appeal
pursuant to State v. Davis[3] and that the issue of whether the court’s
decision that Officer Thomas had reasonable suspicion other than a
321.256 violation to stop the vehicle is preserved not only under the
Fourth Amendment of the United States Constitution but also under
Article I Section 8 of the Iowa Constitution.
Hales presented additional evidence in support of his motion to reconsider the
earlier suppression ruling. The trial court then acknowledged the stipulation was
being accepted under the condition that Hales was preserving his motions to
suppress and reconsider and the court would consider evidence depending on the
court’s suppression ruling.
After the hearing and bench trial, the court entered its ruling and verdict. It
reversed its prior ruling in part, finding Hales had not violated Iowa Code section
321.256 and this was not probable cause for the stop. But the court affirmed its
earlier decision that the stop was justified by facts supporting reasonable suspicion
and denied the motion to reconsider. As to the bench trial, the court found Hales
guilty of OWI—second offense. The court imposed sentence on November 27,
2019, which included a dismissal of the simple-misdemeanor improper-use-of-
lanes charge. Hales appeals.
II. Standard of review.
“When a defendant challenges a district court’s denial of a motion to
suppress based upon the deprivation of a state or federal constitutional right,
our standard of review is de novo.” State v. Brown, 930 N.W.2d 840, 844
3Although there is no citation in the record for this case reference, we believe
Hales’s counsel was referring to State v. Davis, 228 N.W.2d 67, 69 (Iowa 1975),
overruled on another ground by State v. Hanes, 790 N.W.2d 545 (Iowa 2010).
5
(Iowa 2019). We examine the entire record and “make an independent evaluation
of the totality of the circumstances.” Id. In doing so, we evaluate each case “in
light of its unique circumstances.” Id.Appellate courts give deference to the district court’s factual findings due to
its direct evaluation of each witness’s credibility but are not bound by the district
court’s factual determinations. State v. Pals, 805 N.W.2d 767, 771 (Iowa 2011).
III. Discussion.
A. Preservation of error.
We must first address the State’s contention that Hales waived his right to
appeal the district court’s rulings on the motions to suppress and to reconsider. In
his reply brief, Hales counters that the parties’ stipulation specifically preserved the
suppression issue for appeal.
Initially, the State argues that at the bench trial Hales stipulated to the facts
supporting the elements of OWI, and is equivalent to a guilty plea, citing State v.
Sayre, 566 N.W.2d 193, 195–96 (Iowa 1997). A guilty plea “waives all irregularities
except that the information or indictment charges no offense and the right to
challenge the plea itself.” State v. Carroll, 767 N.W.2d 638, 642 (Iowa 2009)
(quoting State v. Freilinger, 557 N.W.2d 92, 93 (Iowa 1996)).
Our supreme court discussed the distinction between a guilty plea and
bench trial in Sayre:
This court has previously held a bench trial on a stipulated
factual record is not the same as a guilty plea proceeding, and due
process does not require the court to undertake a guilty plea colloquy
prior to accepting a stipulated factual record. This distinction results
from the fact that in the context of a stipulated bench trial the decision
of whether to convict remains with the fact finder no matter how
overwhelming the evidence of guilt.
6
566 N.W.2d at 195 (citations omitted). It is clear that the court here did not conduct
a plea colloquy with the parties leaving the decision of guilt to the trial court. Under
Sayre, Hales neither pled guilty nor waived his right to appeal the district court’s
suppression ruling.
We turn to the State’s second argument, that Hales’s stipulation to the
results of the blood-alcohol test waived his right to appeal the suppression ruling.
Our supreme court discussed the preservation issue under somewhat similar facts.
See State v. Brown, 656 N.W.2d 355, 359–60 (Iowa 2003).
As Brown’s trial date approached, the parties sought a
preliminary determination of the admissibility of [hearsay evidence].
The district court held that . . . testimony was admissible. On
November 5, 2001, Brown stipulated to a trial on the minutes of
testimony provided in his case. . . . Brown was found guilty of murder
in the second degree . . . . On January 7, 2002, Brown filed timely
notice of appeal from the guilty verdict and sentencing.
....
We consider first the State’s argument that Brown failed to
properly preserve the hearsay and Confrontation Clause issues for
appeal by stipulating to the minutes of testimony without specifically
renewing his pretrial objection to [hearsay evidence]. An
examination of the record reveals that Brown objected to the use of
[hearsay evidence] on a number of occasions before his stipulation,
but later stipulated, without objection, to minutes that included the
very same statements to which he had earlier objected. Generally,
a stipulation to the admission of testimony at trial constitutes a waiver
of any objection to the testimony raised prior to trial. See State v.
Terry, 569 N.W.2d 364, 368–69 (Iowa 1997); State v. Schmidt, 312
N.W.2d 517, 518 (Iowa 1981); see also State v. Bergmann, 633
N.W.2d 328, 332 (Iowa 2001). This appeal, however, presents a
situation distinguishable from our prior considerations of this type of
preservation issue.
Our prior considerations in this area arose from situations in
which the defendant, through trial counsel, affirmatively consented
to the admission of specific testimony or other evidence at trial that
had been subject to a prior objection. Bergmann, 633 N.W.2d at 332;
Terry, 569 N.W.2d at 368–69; Schmidt, 312 N.W.2d at 518. In this
situation, Brown did not affirmatively and specifically consent to the
admission of [hearsay] testimony at the bench trial, but generally
7
stipulated that the district court could consider the minutes of
testimony. Moreover, the record reveals the parties, as well as the
trial court, understood the pretrial objections and the court’s ruling on
the admissibility of [the hearsay] testimony would be sufficient to
preserve the issue at the stipulated trial. Although Brown did not
specifically renew his objection to this testimony at the time of his
stipulation and bench trial, the district court indicated during the
course of the trial that it intended to consider [the] testimony, yet
further expressed its understanding that Brown was not waiving his
“right to argue” on appeal that the objectionable statements should
have been excluded. The preservation of error doctrine is grounded
in the idea that a specific objection to the admission of evidence be
made known, and the trial court be given an opportunity to pass upon
the objection and correct any error. See Sievers v. Iowa Mut. Ins.
Co., 581 N.W.2d 633, 638 (Iowa 1998). Under the circumstances of
this case, the spirit of the rule was met. We conclude Brown
preserved error.
Id. at 359–61.
In Brown, the court found the issue preserved for appeal. In the present
case, consistent with Brown and particularly the Sievers case, Hales did “not
waiv[e] his ‘right to argue’ on appeal that the objectionable [evidence] should have
been excluded,” and complied with the preservation of error doctrine. Id. at 361.
Hales renewed his motion to suppress by filing a motion to reconsider. The district
court held a combined hearing on the motion to reconsider and a bench trial with
stipulated testimony. The State agreed to the stipulation, and the district court
accepted that the suppression issue was being preserved for appeal. Hales
preserved error with “a specific objection to the admission of evidence be[ing]
made known, and the trial court be[ing] given an opportunity to pass upon the
objection and correct any error.” Sievers, 581 N.W.2d at 638.
8
B. Whether the evidence supports a reasonable suspicion for the
stop?
“The Fourth Amendment to the United States Constitution and article 1,
section 8 of the Iowa Constitution protect individuals against unreasonable
searches and seizures by government officials.” State v. Kinkead, 570 N.W.2d 97,
100 (Iowa 1997). “Searches conducted without a warrant are per se unreasonable
unless an exception to the warrant requirement applies.” Id. Traffic stops based
on the officer’s personal observation that give the officer reasonable suspicion that
a crime has been or is being committed fall under a recognized exception to the
warrant requirement. Stopping an automobile and detaining its occupants
constitutes a seizure under the Fourth Amendment. State v. Kooima, 833 N.W.2d
202, 206 (Iowa 2013) (citing Delaware v. Prouse, 440 U.S. 648, 653 (1979)). A
police officer can stop and briefly detain a person for investigative purposes if the
officer has a reasonable suspicion supported by articulable facts that criminal
activity may be afoot. Id. (citing United States v. Sokolow, 490 U.S. 1, 7 (1989)).
In order to apply this exception, “the State must show by a preponderance of the
evidence that the stopping officer had specific and articulable facts, which taken
together with rational inferences from those facts, to reasonably believe criminal
activity may have occurred.” State v. Tague, 676 N.W.2d 197, 204 (Iowa 2004).
“If the state does not meet this burden, the evidence obtained through the stop
must be suppressed.” State v. Louwrens, 792 N.W.2d 649, 651-52 (Iowa 2010).
Reasonable suspicion must be determined considering the totality of the
circumstances confronting the officer at the time the officer makes the decision to
stop the vehicle. State v. Kreps, 650 N.W.2d 636, 642 (Iowa 2002). Iowa has
9
adopted an objective test to evaluating the reasonableness of a traffic stop under
the Fourth Amendment of the United States Constitution. Brown, 930 N.W.2d at
844. Since this involves a constitutional issue, as noted above, our review is de
novo. The articulable facts whether criminal activity may have been occurring and
the officer had reasonable suspicion are found in the patrol car video, which is
available for our review. We need not rely on findings of the district court, nor the
descriptive narrative contained in the parties’ briefs.
Upon our review of the video, we find, as did the district court, Hales’s
vehicle was “drifting left and traveling over the dividing line of the lanes” at 12:30
in the morning. The officer, based upon his observations as disclosed by this patrol
vehicle recording, had a reasonable suspicion that Hales was operating his vehicle
while intoxicated. The stop was justified and constitutional. The motions to
suppress and reconsider were properly denied. Accordingly, we affirm the
conviction.
AFFIRMED.