2008 WI App 89
court of appeals of
published opinion
Case No.: |
2007AP905-CR |
|
Complete Title of Case: |
†Petition for review filed |
|
State of
Plaintiff-Respondent, v. Christopher S. Hoppe,
Defendant-Appellant.† |
|
|
Opinion Filed: |
May 28, 2008 |
Submitted on Briefs: |
February 14, 2008 |
|
|
|
|
JUDGES: |
Brown, C.J., |
Concurred: |
|
Dissented: |
|
|
|
Appellant |
|
ATTORNEYS: |
On behalf of the defendant-appellant, the cause was submitted on the briefs of Martha K. Askins, assistant state public defender. |
|
|
Respondent |
|
ATTORNEYS: |
On behalf of the plaintiff-respondent, the cause was submitted on the brief of J.B. Van Hollen, attorney general, and Eileen W. Pray, assistant attorney general. |
|
|
2008 WI App 89
COURT OF APPEALS DECISION DATED AND FILED May 28, 2008 David R. Schanker Clerk of Court of Appeals |
|
NOTICE |
|
|
This opinion is subject to further editing. If published, the official version will appear in the bound volume of the Official Reports. A party may file with the Supreme Court a petition to review an adverse decision by the Court of Appeals. See Wis. Stat. § 808.10 and Rule 809.62. |
|
Appeal No. |
|
|||
STATE OF |
IN COURT OF APPEALS |
|||
|
|
|||
|
|
|||
|
|
|||
State of
Plaintiff-Respondent, v. Christopher S. Hoppe,
Defendant-Appellant. |
||||
|
|
|||
APPEAL
from a judgment and an order of the circuit court for
Before Brown, C.J.,
¶1 NEUBAUER, J. Christopher Hoppe seeks to withdraw his guilty pleas to twelve counts of possession of child pornography. He appeals from the judgment convicting him and from the order denying his postconviction effort to withdraw his pleas. He contends that the plea colloquy fell too far short of required standards and that, due to being medicated and not reading the plea questionnaire/waiver of rights form (“plea questionnaire”), he did not comprehend the rights he was waiving or the penalties he faced.
¶2 We conclude that, although the plea colloquy was brief, since Hoppe assured the trial court that he had discussed the plea and its consequences with both of his attorneys and that he “fully” understood the elements of the charges and everything in the plea questionnaire with all of his rights in mind, Hoppe did not make a prima facie showing that the plea colloquy was defective. Even assuming for argument’s sake that it was flawed, Hoppe had an evidentiary hearing. The total record establishes that the State proved by clear and convincing evidence that his plea was knowingly and voluntarily made. We affirm.
BACKGROUND
¶3 The essential facts are not in dispute. A December 2002 criminal complaint charged Hoppe with two counts of first-degree sexual assault of a child and one count of intentional child abuse, contrary to Wis. Stat. §§ 948.02(1) and 948.03(2)(b) (2005-06).[1] In July 2004, the State filed a seventy-count Third Amended Information reiterating the three original charges and adding sixty-six counts of possession of child pornography and one count of bail jumping, contrary to Wis. Stat. §§ 948.12(1m) and 946.49(1)(b).[2]
¶4 Hoppe was represented at the plea hearing by Attorneys William Daley and Jeffrey De La Rosa.[3] Pursuant to a plea agreement, Hoppe pled guilty to twelve counts of possession of child pornography; the remaining fifty-seven counts were to be dismissed and read in and the parties would be free to argue the sentence. The trial court, the Honorable Robert Kennedy presiding, conducted a plea colloquy at which he introduced the plea questionnaire Hoppe had signed. Judge Kennedy addressed Hoppe personally:
THE COURT: Okay … Christopher, have you gone over this plea questionnaire and waiver of rights form with your attorneys—and by the way, which one did you go over it with, Mr. De La Rosa or Mr. Daley?
THE DEFENDANT: Both, sir.
THE COURT: Both, excellent. Are you satisfied you understand everything in the questionnaire and waiver of rights and the elements of the charges you’re going to be pleading to, a copy of which elements are attached hereto?
….
THE DEFENDANT: I understand it fully, sir.
THE COURT: Fully. In your opinion are you going to be freely, knowingly, and voluntarily entering your pleas pursuant to the agreement with all your rights in mind?
THE DEFENDANT: Yes, sir, I am.
THE COURT: Counsels, Mr. De La Rosa first and then Mr. Daley, are you both so satisfied? Mr. De La Rosa?
Mr. De La Rosa: Yes, sir.
THE COURT: Mr. Daley?
MR. DALEY: Yes, your honor.
THE COURT: Based on that, I find that it will be a free, knowing and voluntary plea, or set of pleas. I’m now going to turn to … Counts 4 through 15, of the third amended information.
….
You have the third amended information in front of you and you can see what I’m referring to as those entries?
THE DEFENDANT: Yes, sir, I see it.
THE COURT: Very well. Then, continuing on, all of those charges are contrary to Section 948.12(1)(a), Wisconsin Statutes.
How do you plead to all of those counts, 4 through 15 …?
THE DEFENDANT: I plead guilty, sir.
THE COURT: Counsels, do you … both agree, along with your client, that there is a factual basis? Meaning not necessarily that he agrees that … the facts are as claimed, but that if a jury accepted these facts, they could, based upon that, find the defendant guilty. Do both attorneys and the defendant agree that there is a factual basis in that light?
Mr. De La
MR. DALEY: Yes, your honor.
THE COURT: Very well. Based upon that, I find a factual basis. I adjudge the defendant guilty.
Counts 1 through 3 and 16 through 19 … are all dismissed and read in for purposes of sentencing.
I’ll order a presentence investigation. The parties will be free to argue. We’ll set that up at this time.
….
Mr. De La Rosa: I’m sorry, judge, that was … through Count 69, correct?
THE COURT: 16 through 69 are dismissed and read in, plus 1 through 3.
MR. DE
LA
….
THE COURT: All right. Now I’m going to cover one thing that I don’t think has to be covered, but I’m doing it as an excess of caution.
There is no real plea agreement other than this dismissal, and that’s, nothing you can do about it. The parties are free to argue. So this language really doesn’t mean a whole lot. But do you understand that the judge is not bound by any plea agreement or recommendations and may impose the maximum penalty; do you understand that?
THE DEFENDANT: Yes, sir, I do.
THE COURT: And you … talked that over with your attorneys, as well as the rest?
THE DEFENDANT: Yes, I have.
….
THE COURT: All right. Then I am … all set to proceed to set a sentencing date.
¶5 Hoppe was sentenced to twelve years’ initial confinement, eighteen years’ extended supervision and seventeen years’ probation, to be served consecutively. He then moved for postconviction relief, asking to withdraw his guilty pleas. He contended the court did not comply with Wis. Stat. § 971.08[4] and other court-mandated procedures because the trial court accepted his guilty plea without determining whether any promises had been made to him, informing him of the maximum penalty he faced, or ascertaining that he understood the information in the plea questionnaire and the rights he was waiving. Hoppe also asserted that his pleas were otherwise not knowing and voluntary because he was on painkillers and muscle relaxers for a medical condition and he did not read the questionnaire himself.
¶6 The trial court granted an evidentiary hearing without first determining whether Hoppe had made a prima facie case showing defects in the plea colloquy. Due to a judicial rotation, Judge John Race conducted the two-day hearing. After hearing argument and examining the plea questionnaire, Judge Race determined that Hoppe did not make a prima facie showing. Both Attorney De La Rosa and Hoppe then testified. De La Rosa testified he spent approximately twenty minutes reviewing the plea questionnaire with Hoppe, discussed Hoppe’s maximum exposure, that the court could consider read-in charges, and that he believed Hoppe understood. Hoppe testified that he realized he did not understand what he was pleading to because the court did not explain anything to him, he does not recall his attorneys explaining things to him, the medications he took interfered with his understanding, and, without his reading glasses, he could not read the plea questionnaire. Finding Hoppe’s testimony “self-serving” and “simply … not credible,” the court ultimately denied the motion. Hoppe appeals.
DISCUSSION
¶7 Plea withdrawal is a matter of right for a defendant who
shows that the plea was not knowingly or voluntarily entered. State v. Van Camp, 213
¶8 Hoppe’s claim is two-fold.
He contends the plea colloquy was inadequate and that factors extrinsic
to the colloquy—that he was under the influence of pain medication and did not
read the plea questionnaire—rendered his plea infirm. Plea withdrawal motions based on a defective
colloquy claim follow State v. Bangert, 131
Adequacy of plea colloquy under Bangert line of cases
¶9 Hoppe first argues that the plea colloquy was deficient
because the trial court failed to determine that Hoppe understood the
constitutional rights he was waiving, the potential penalties he faced, his
pleas’ consequences,[5]
and whether Hoppe had been threatened or promised anything to induce his
pleas. See State v. Brown,
2006 WI 100, ¶35, 293
¶10 For a plea to satisfy the constitutional standard, a defendant
must enter it knowingly, voluntarily and intelligently. State v. Bangert, 131
¶11
¶12 A defendant alleging that the trial court failed to fulfill its
plea colloquy duties is entitled to an evidentiary hearing if he or she makes a
prima facie showing that the court accepted the plea in violation of Wis. Stat. § 971.08 or other mandatory
procedures, and alleges that he or she did not know or understand the
information that should have been produced at the plea colloquy. Bangert, 131
¶13 Hoppe concedes that the record here, in the form of the plea
questionnaire, shows that he was informed of the maximum penalties he
faced. He argues, however, that a plea
questionnaire is not a substitute for the in-person colloquy between the court
and a defendant and cannot be used to defeat his prima facie case. Hoppe relies on Howell, where
our supreme court held that if the plea colloquy is defective, the defendant’s
right to an evidentiary hearing under Bangert cannot be
circumvented by the court’s or the State’s assertion that the record as a whole
supports a conclusion of a constitutionally sound plea. See Howell, 301
¶14 The issue in Howell was whether the trial court
erred in failing to hold an evidentiary hearing on Howell’s motion to withdraw
his guilty plea, and under which line of cases—Bangert, Nelson/Bentley,
or both—the court should have examined the request. Howell, 301
¶15 We do agree that a plea questionnaire is not meant to eliminate
the need for the court to make a record demonstrating the defendant’s
understanding that the plea results in a waiver of the rights detailed in the
form.
Personal colloquy by
verbally following the provisions of [
Moederndorfer,
141
People can learn as much from reading as listening, and often more. In fact, a defendant’s ability to understand the rights being waived may be greater when he or she is given a written form to read in an unhurried atmosphere, as opposed to reliance upon oral colloquy in a supercharged courtroom setting.
¶16 That is precisely what occurred here. The plea questionnaire and waiver of rights form used here recited each constitutional right subject to being waived, and required that the box before each right be checked to signify an understanding that a plea would result in that right being relinquished. When completed, the form recited that Hoppe understood that by entering a guilty plea, he gave up of his own free will his constitutional rights to a trial, to remain silent, to testify and present evidence, to subpoena witnesses on his behalf, to a unanimous verdict of twelve jurors, to confront his accusers and to be proved guilty beyond a reasonable doubt. Hoppe signed the plea questionnaire, indicating that he “reviewed and underst[oo]d the entire document and any attachments[,] … reviewed it with [his] attorney[s] … [and] answered all questions truthfully.”
¶17 The form became State’s Exhibit Number 1 and was made part of
the record. Judge Kennedy addressed
Hoppe personally, as Wis. Stat. § 971.08
directs, and specifically invoked the plea questionnaire Hoppe had
completed. The court ascertained that
Hoppe had gone over the questionnaire with both attorneys; that he understood
“everything in the questionnaire and waiver of rights and the elements of the
charges you’re going to be pleading to,” and that a copy of the elements was
attached; that Hoppe was satisfied he made a free, voluntary and intelligent
plea with all of his rights in mind; that both attorneys were satisfied that
Hoppe’s plea was free, knowing and voluntary; and that there was a factual
basis for the plea. This colloquy, which
establishes that Hoppe voluntarily and knowingly waived his constitutional
rights, exceeds that in Hansen, where we deemed inadequate a plea
colloquy limited to little more than asking the defendant if he had “gone over”
the plea questionnaire with his attorney.
See Hansen, 168
¶18 A plea questionnaire’s proper use can lessen the extent and
degree of the colloquy otherwise required.
See Hansen, 168
¶19 As such, we also reject Hoppe’s claim that the plea colloquy was deficient because the court failed to ascertain that he understood the potential penalties he faced, namely, that he did not realize he faced consecutive sentences or understand that dismissed counts could be read in. Hoppe contends that he entered a plea because he received a “near-promise” of no more than two years, and lays blame at the feet of the trial court for not expressly asking whether any threats or promises induced his plea.
¶20 Hoppe originally faced sixty-nine related charges. In exchange for his guilty plea, the State dismissed all but twelve. The “Voluntary Plea” section of the plea questionnaire states:
I have decided to enter this plea of my own free will. I have not been threatened or forced to enter this plea. No promises have been made to me other than those contained in the plea agreement. The plea agreement will be stated in court or is as follows:
[This next in De La Rosa’s writing] Client will enter pleas to 12 counts of poss. of child porn.; state to dismiss and read in all remaining counts and 03CF214. PSI to be requested and the parties are free to argue sentence.
¶21 Hoppe acknowledged in the plea questionnaire that the “maximum
penalty I face upon conviction is: each
count consecutive: 5 years prison and a
$10,000.00 fine (60 y 120,000 total).”
Not only does it state “each count consecutive” and “60 y 120,000
total,” but the numbers in the parentheses could total the maximum only if each
of the twelve counts were imposed consecutively: 12 counts x 5 years each = 60 years, and 12
counts x $10,000 each = $120,000. The
plea questionnaire states that Hoppe understood that the judge was not bound by
the plea agreement or recommendations and could impose the maximum penalty. During the colloquy, the court called Hoppe’s
attention to the information, which Hoppe had in front of him, which set forth
the maximum penalties. The court advised Hoppe twice that the parties would be
free to argue sentence, and verified that Hoppe had understood that the
sentencing judge “is not bound by any plea agreement or recommendations and may
impose the maximum penalty.”
¶22 The form also explained the effects of read-ins: the judge may consider read-in charges when
imposing sentencing. During the plea
colloquy the court stated that identified counts were being dismissed and read
in for purposes of sentencing. As noted
above, the plea questionnaire stated that Hoppe had not been threatened or
forced to enter the plea, and no promises had been made.
¶23 Hoppe signed the questionnaire indicating that he understood the plea and its significant effects. He told Judge Kennedy he “fully” understood the form and the rights he was waiving, and that his guilty pleas were made knowingly and intelligently with all of his rights in mind. Hoppe’s ability to comprehend was further demonstrated by his age and educational background—forty-five years old with fifteen and one-half years of schooling—and he stated on the form that he had not had any medications or drugs within the last twenty-four hours. Having concluded that the plea questionnaire was made a part of the plea hearing record, we agree with Judge Race that Hoppe did not make the necessary showing.
¶24 But were we to accept for argument’s sake that Hoppe made a
prima facie case of a defective plea colloquy—and we do not think that he
did—the remedy is not plea withdrawal, but an evidentiary hearing. As noted, Hoppe already has had one. At the hearing, the burden simply shifts to
the State to prove by clear and convincing evidence that the defendant entered
a knowing, voluntary and intelligent plea despite the inadequacy of the record
when the court accepted it. Bangert,
131
¶25 The record amply supports that Hoppe’s plea was knowing, voluntary and intelligent. He is well-educated and held responsible military and civilian positions. Both Daley and De La Rosa stated at the plea hearing that they were satisfied that Hoppe’s plea was knowing, voluntary and intelligent. De La Rosa testified that he felt confident that Hoppe was fully advised of and understood his rights because he reviewed the form with Hoppe for approximately twenty minutes and explained each constitutional right in understandable language, per his usual practice.
¶26 We are not moved by Hoppe’s contention that, despite his written and verbal assertions that he understood the magnitude of his possible sentence, he really did not because of his attorneys’ “near promise” of two years’ confinement at the most. In addition to the plea hearing record, De La Rosa testified at the postconviction hearing that he explained to Hoppe that he faced potential prison exposure of sixty years, that the court could consider read-in charges and that he believed that Hoppe understood.
¶27 Regardless, therefore, of whether we had concluded that Hoppe had made a prima facie showing, it simply would have merited him an evidentiary hearing at which the State would have been put to its proof. He got that hearing. Clear and convincing evidence was adduced that Hoppe’s plea was knowing, voluntary and intelligent. That is all that is required.
Plea infirmity under Nelson/Bentley line of cases
¶28 Hoppe also contends that factors extrinsic to the plea colloquy
warrant plea withdrawal, thus invoking the Nelson/Bentley line of
cases. See Howell,
301
¶29 A defendant raising a Nelson/Bentley challenge
faces stricter pleading requirements than on a Bangert
claim. Howell, 301
¶30 Hoppe testified at the postconviction hearing about the
circumstances surrounding his signing of the plea questionnaire and waiver of
rights. He testified that, due to taking
painkillers and muscle relaxers for a double hernia, he was unable to drive
from
¶31 In addition to the medication claim, Hoppe also testified that he did not read the questionnaire because he forgot his reading glasses in the car. However, De La Rosa read the plea questionnaire to him. Hoppe acknowledged on cross-examination that he had written in some of the answers himself. Hoppe asserted that he had a “preconceived idea” that only a majority of jurors had to agree and that he understood “consecutive” to refer to consecutive counts, not additive penalties, so that he thought he faced a maximum of two years’ incarceration regardless of the number of counts against him.
¶32 With respect to the unanimous jury, defense counsel
specifically remembered reading that provision on the plea questionnaire,
explaining it, and thus, testified that he believed that Hoppe understood that
twelve jurors had to agree on the verdict.
¶33 As noted, Hoppe is an educated man of demonstrated
capabilities. Yet, Hoppe claims he did
not understand what “consecutive” meant in reference to his sentence, or that
he did not realize the multiple charges exposed him to multiple
punishments. Those claims ring
false. See Brown,
293
¶34 The court found Hoppe to be “intelligent … eloquent and
manipulative,” and that his “self-serving testimony [did not] even come close
to demonstrating a lack of understanding.”
The trial court makes the credibility determinations when a defendant
seeks to withdraw a guilty plea.
CONCLUSION
¶35 Plea colloquies demand the trial court’s “utmost
solicitude.” Bangert, 131
By the Court.—Judgment and order affirmed.
[1] All references to the Wisconsin Statutes are to the 2005-06 version.
[2] Three counts were the initial three charges, sixty-six were possession of child pornography, and one, case no. 2003CF214, was a felony bail-jumping charge.
[3] Hoppe’s
lead counsel,
[4] Wisconsin Stat. § 971.08, governing plea withdrawal, provides in relevant part:
(1) Before the court accepts a plea of guilty or no contest, it shall do all of the following:
(a) Address the defendant personally and determine that the plea is made voluntarily with understanding of the nature of the charge and the potential punishment if convicted.
(b) Make such inquiry as satisfies it that the defendant in fact committed the crime charged.
[5]
Hoppe directs us to State v. Lackershire, 2007 WI 74, 301