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NOTICE This opinion is subject to further editing and
modification. The final version will
appear in the bound volume of the official reports. |
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Nos.
94-1898, 94-2024
STATE OF WISCONSIN : IN SUPREME COURT
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State of Wisconsin, Petitioner-Appellant, v. William Carpenter, Respondent-Respondent. |
FILED DEC
8, 1995 Marilyn L. Graves Clerk of Supreme Court Madison, WI |
State of Wisconsin,
Petitioner-Appellant,
v.
William A. Schmidt,
Respondent-Respondent.
APPEAL from orders of the circuit court for
Dane County, Mark A. Frankel, Judge. Affirmed
in part, reversed in part and cause remanded. APPEAL from an order of the circuit court for Sauk County, James
Evenson, Judge. Reversed and cause
remanded.
ANN
WALSH BRADLEY, J. These cases are before the court on
certification by the court of appeals from orders of the Circuit Court for Dane
County, Mark A. Frankel, Judge, and the Circuit Court for Sauk County, James
Evenson, Judge, holding Wisconsin's Sexually Violent Person Commitments
statute, Wis. Stat. ch. 980 (1993-94)[1]
unconstitutional. The respondents in
these cases and the companion cases[2]
decided today argue that ch. 980 violates the Equal Protection, Due Process,
Double Jeopardy, and Ex Post Facto Clauses of the Wisconsin and United States
Constitutions. We conclude in this
opinion that ch. 980 creates a civil commitment procedure primarily intended to
protect the public and to provide concentrated treatment to convicted sexually
violent persons, not to punish the sexual offender. Therefore, we hold that ch. 980 does not violate either the Ex
Post Facto or the Double Jeopardy Clause.
Accordingly, we reverse the trial courts' orders determining that ch.
980 is unconstitutional on these grounds and remand for further proceedings
consistent with ch. 980. We also affirm
the trial court's order in Carpenter finding probable cause that he is a
sexually violent person.
This
opinion is limited to the question of whether ch. 980 violates the Double
Jeopardy or Ex Post Facto Clauses of the Wisconsin and United States
Constitutions. Our determination of the
due process and equal protection issues is set forth in the companion
cases. See State v. Post,
No. 94-2356 and State v. Oldakowski, No. 94-2357 (S. Ct. Dec. 8, 1995).
We begin with a brief overview of the statute.[3] Chapter 980 provides for the involuntary
commitment of certain individuals who are found to be sexually violent
persons. Section 980.01(7) defines a
"sexually violent person" in part as "a person who has been
convicted of a sexually violent offense . . . and who is
dangerous because he or she suffers from a mental disorder that makes it
substantially probable that the person will engage in acts of sexual violence."
When
a petition is filed alleging that a person is sexually violent, the court must
review the petition to determine whether to issue an order detaining the person
and must hold a hearing to determine whether there is probable cause to believe
that the person named in the petition is sexually violent. Wis. Stat. § 980.04. If a court or jury determines that the
person is sexually violent as defined by the statute, the person is committed
to the Department of Health and Social Services (DHSS) "for control, care
and treatment until such time as the person is no longer a sexually violent
person." Wis. Stat. § 980.06.
I. BACKGROUND
The
facts and procedural history in both cases are undisputed. We will address each in turn.
A. State
v. Carpenter
Carpenter
was convicted of first-degree sexual assault of a seven-year-old in 1984 and
was sentenced to 12 years in prison.
The court stayed the sentence and placed him on probation for 10
years. His probation was initially
revoked in 1986 for engaging in sexual intercourse with his 14-year-old
daughter. The revocation was vacated
but reinstated in 1988 based on an allegation that he violated parole by
associating with minors.
Carpenter
was paroled in 1993 and out on parole for nine months before being
reincarcerated based on the Department of Corrections' (DOC) recalculation of
his mandatory release date pursuant to State ex rel. Parker v. Fiedler,
180 Wis. 2d 438, 509 N.W.2d 440 (Ct. App. 1993), rev'd, State ex
rel. Parker v. Sullivan, 184 Wis. 2d 668, 517 N.W.2d 449 (1994). Although this court overturned the court of
appeals' decision in Parker and provided that the prisoners detained
pursuant to that decision be released by July 15, 1994, Carpenter was not
released.
Instead,
on July 14, 1994, the State filed a petition against Carpenter pursuant to Wis.
Stat. § 980.02(1)(b), alleging that he is a sexually violent person. The petition also summarized the opinions of
Dr. Lawrence Kane, who concluded that Carpenter suffers from pedophilia and an
antisocial personality disorder. Kane
opined that there is a substantial probability that Carpenter will engage in
future acts of sexual violence.
Carpenter filed a motion challenging the
constitutionality of ch. 980 on the grounds of due process, equal protection,
vagueness, ex post facto, and double jeopardy.
He also attacked the factual basis for the petition. The trial court held that ch. 980 was
unconstitutional because it violated the Ex Post Facto, Double Jeopardy, and
Substantive Due Process Clauses of the Wisconsin and Federal Constitutions and
therefore did not reach Carpenter's factual challenge to the petition.
The
State requested and received a stay pending appeal of the trial court's order
holding the statute unconstitutional and releasing Carpenter from custody. In the meantime, the court of appeals
granted Carpenter's motion to remand for a probable cause hearing, after which
the trial court found probable cause to find that Carpenter is a sexually
violent person pursuant to § 980.01(7).
Carpenter appeals this order, arguing that probable cause was lacking
because he was not within 90 days of discharge or release as required by Wis.
Stat. § 980.02(2)(ag), and asserting that the petition was deficient
because the State failed to allege an overt act.[4]
B. State
v. Schmidt
In
March 1992, Schmidt was convicted of two counts of fourth-degree sexual assault
and placed on probation for three years as a result of having sexual
intercourse with his 14-year-old girlfriend.
That probation was subsequently revoked. In late 1992, he was convicted of two counts of first-degree
sexual assault and sentenced to three years in prison as a result of digitally
penetrating the anus of his two-year-old nephew.
The
State filed a petition against him pursuant to Wis. Stat. § 980.02(1)(a). In addition to the sexual assaults for which
Schmidt was incarcerated, the petition alleged that Schmidt was found to have
engaged in penis-to-anus penetration of a five-year-old boy in 1985 and that he
had not successfully completed a sex offender treatment program offered while
in prison. The petition also summarized
the opinion of Dr. Ken Lerner, who diagnosed Schmidt as suffering from the
mental disorder, pedophilia. Lerner
concluded that Schmidt was dangerous to others because he suffered from a
mental disorder that makes it substantially probable that he would engage in
acts of sexual violence.
The
trial court subsequently found probable cause to believe that Schmidt is a
sexually violent person pursuant to § 980.01(7). Schmidt then filed motions challenging the constitutionality of
the statute. The court granted
Schmidt's motion to dismiss on the grounds that the statute violated both the
Double Jeopardy and the Ex Post Facto Clauses of the United States
Constitution. The State sought and
obtained from the court of appeals a stay of Schmidt's release pending appeal.
II.
DOUBLE JEOPARDY
Both
the United States and Wisconsin Constitutions protect criminal defendants from
being subjected to double jeopardy.[5] Because these provisions are the same in
scope and purpose, we have routinely followed decisions of the United States
Supreme Court as governing the double jeopardy provisions of both
constitutions. State v. Killebrew,
115 Wis. 2d 243, 246 n.2, 340 N.W.2d 470 (1983).
The
United States Supreme Court has recognized that "the Double Jeopardy
Clause protects against three distinct abuses:
a second prosecution for the same offense after acquittal; a second
prosecution for the same offense after conviction; and multiple punishments for
the same offense." United
States v. Halper, 490 U.S. 435, 440 (1989). Respondents argue that ch. 980 subjects them to multiple
punishment for the same underlying sexual offense.
A
party challenging the statute must show it to be unconstitutional beyond a
reasonable doubt. State v. Iglesias,
185 Wis. 2d 117, 133, 517 N.W.2d 175 (1994), cert. denied, 115
S. Ct. 641 (1994). In doing so,
the challenging party must overcome the presumption that the statute is
constitutional, which we have summarized as follows:
Every
presumption must be indulged to sustain the law if at all possible and,
wherever doubt exists as to a legislative enactment's constitutionality, it
must be resolved in favor of constitutionality. The court cannot reweigh the facts found by the legislature. If the court can conceive any facts on which
the legislation could reasonably be based, it must hold the legislation
constitutional.
State v. McManus, 152 Wis. 2d
113, 129, 447 N.W.2d 654 (1989) (citations and quotations omitted). Therefore, respondents bear the burden of
overcoming the strong presumption that ch. 980 does not subject a person to
multiple punishment.
In
determining whether a sanction constitutes punishment for the purposes of
double jeopardy, we must assess "the purposes actually served by the
[statute], not the underlying nature of the proceeding giving rise to the
sanction . . . ."
Halper, 490 U.S. at 447 n.7.
We consider whether the statutory scheme is so punitive either in
purpose or effect as to negate the legislature's remedial purpose. See United States v. Ward, 448
U.S. 242, 248 (1980).
"Governmental action is punishment under
the double jeopardy clause if its principal purpose is punishment, retribution
or deterrence. When the principal
purpose is nonpunitive, the fact that a punitive motive may also be present
does not make the action punishment."
Killebrew, 115 Wis. 2d at 251. Therefore, a civil sanction is violative of the Double Jeopardy
Clause if it "may not fairly be characterized as remedial, but only as a
deterrent or retribution."[6] Halper, 490 U.S. at 448-49.
Respondents argue that despite the
legislature's effort to create a "civil" or "remedial"
statute, ch. 980 is so punitive in its effect that it negates the State's
intention. They acknowledge that
treatment is a component of ch. 980, but contend that it is merely a pretense
and secondary in purpose to punishment.
We disagree. The emphasis on
treatment in ch. 980 is evident from its plain language. For example, the notice provision in Wis.
Stat. § 980.015(3)(b)[7]
requires the agency with jurisdiction over the person to provide the appropriate
district attorney and the Department of Justice with documentation of any prior
treatment that the subject received while in prison. Under Wis. Stat. § 980.06(1), a person found to be sexually
violent is committed to the custody of DHSS for control, care, and treatment,
as opposed to the DOC for imprisonment.
Further, DHSS is required to "arrange for control, care and
treatment of the person in the least restrictive manner consistent with the
requirements of the person . . . ." Wis. Stat. § 980.06(2)(b).
When
determining whether commitment is to a secure mental health facility or
supervised release, § 980.06(2)(b)[8]
directs the court to consider what arrangements are available to ensure that
the person has access to and will participate in necessary treatment. Further, if the court finds supervised
release to be appropriate, Wis. Stat. § 980.06(2)(c)[9]
requires the county where the person resides to prepare a plan that identifies
the treatment that the person will receive in the community and must specify
who will be responsible for providing the treatment identified in the
plan. These provisions lead us to
conclude that the statute is aimed primarily at treating the sexually violent
person, not punishing the individual.
In
addition to the explicit language pertaining to treatment within the statute,
the undisputed record in this case indicates that the State is prepared to
provide specific treatment to those committed under ch. 980 and not simply
warehouse them, as suggested by respondents.
All persons committed under ch. 980 who are not immediately placed on
supervised release are placed at the Wisconsin Resource Center, a mental health
facility run by DHSS that contracts with DOC to provide mental health services
to inmates. The committed persons are
not part of the general inmate population and are not staffed by prison guards
but by psychiatric care technicians, psychologists and clinical nurses. They receive more intensive treatment than
that provided to prison inmates. As the
population increases, plans exist to increase the staff proportionately.
Respondents rely heavily on the fact that
those committed under ch. 980 face an indefinite period of confinement in a
secure facility as evidence that the true intent of the statute is
punishment. However, ch. 980 expressly
provides for supervised release either at the time of commitment, Wis. Stat.
§§ 980.06(2)(b) and (c), or upon the person's subsequent petition after
receiving treatment, Wis. Stat. § 980.08(4). Further, the person is entitled to discharge as soon as his or
her dangerousness or mental disorder abates.
See Wis. Stat. § 980.09.
We
conclude that these provisions significantly detract from respondents' argument
that the statute's primary purpose is punishment. Schmidt's counsel conceded in arguments to this court that the
supervised release provisions "certainly" took some of the onus away
from the notion of punishment. However,
counsel viewed this as an "afterthought" and argued that the
legislature merely included such nonpunitive components "to make it appear
more palatable from a constitutional sense."[10]
We
decline to engage in such speculation.
We are mindful of the heavy presumption in favor of constitutionality
that must be afforded statutes:
Judicial
inquiries into [legislative] motives are at best a hazardous matter, and when
that inquiry seeks to go behind objective manifestations it becomes a dubious
affair indeed. . . . "[I]t is not on slight implication and vague
conjecture that the legislature is to be pronounced to have transcended its
powers, and its acts to be considered as void."
Flemming v. Nestor, 363 U.S.
603, 617 (1960) (quoted source omitted).
Our task is not to search for sinister ulterior motives underlying the
legislature's acts in order to find statutes unconstitutional.[11] Rather, we look to the plain language of the
statute as evidence of the legislature's intent.
Respondents
argue that various provisions in ch. 980 provide evidence of the legislature's
punitive intent. We are persuaded that
the principles underlying the Supreme Court's decision in Allen v. Illinois,
478 U.S. 364 (1986), apply in this case to effectively refute respondents'
arguments that various other parts of ch. 980 support the notion that its
primary purpose is criminal punishment.
For
example, respondents assert that ch. 980 is punitive because it employs
procedural safeguards typically reserved for criminal matters. These include the right to a twelve-person
jury, the right to counsel, the right against self-incrimination, and proof
beyond a reasonable doubt. Respondents
also point to the fact that the statute is located within the criminal code as
further evidence of the legislature's punitive intent. However, as the Supreme Court concluded in Allen,
the legislature's decision "to provide some of the safeguards applicable
in criminal trials cannot itself turn these proceedings into criminal
prosecutions." Id. at 372.
Respondents
point to the fact that ch. 980 applies only to those already convicted of a
crime. We agree with Allen that
simply because "the State has chosen not to apply [ch. 980] to the larger
class of mentally ill persons who might be found sexually dangerous does not
somehow transform a civil proceeding into a criminal one." Id. at 370.
In
Allen, the Supreme Court held that an Illinois statute which provided
for civil commitment of sexually dangerous persons was properly categorized as
civil, not criminal. Id. at
369. In holding the statute civil, the
Court deemed significant many of the same factors that we have relied on, such
as the fact that the state was obligated to provide treatment designed to
effect recovery for those committed, conditional release was available, and
committed persons were discharged when no longer dangerous. Id. at 369.
We
acknowledge that Allen is distinguishable from the present case because
the Illinois statute at issue in Allen provides for commitment in lieu
of serving a criminal sentence. While
this is a distinguishing factor, we do not deem it to be fatal.
We
are unpersuaded that the indicia of punishment in ch. 980 identified by
respondents is so punitive in purpose or effect as to negate the statute's
remedial purpose and transform the State's intent to treat into an intent to
punish. Ward, 448 U.S. at
248. As we have already stated, the relevant
inquiry is directed towards the principal purposes served by the sanction, not
the underlying nature of the proceedings giving rise to the sanction. Halper, 490 U.S. at 447 n.7.
We
conclude that the principal purposes of ch. 980 are the protection of the
public and the treatment of convicted sex offenders who are at a high risk to
reoffend in order to reduce the likelihood that they will engage in such
conduct in the future. These constitute
significant nonpunitive and remedial purposes.
Chapter 980 cannot be characterized as only serving the punishment goals
of deterrence or retribution. See
Halper, 490 U.S. at 448-49. It
is undeniable that the statute is penal to a certain degree in that it
potentially subjects individuals to an affirmative restraint. However, where the principal purpose of a
civil sanction is nonpunitive, the fact that a punitive motive may also be
present does not make the action punishment.
Killebrew, 115 Wis. 2d at 251.
Respondents
have failed to show that the principal purpose of the statute is punishment,
retribution, or deterrence so as to render it punishment. Further, respondents have failed to show
that the statute has sufficient punitive characteristics and insufficient civil
commitment characteristics such that it has ceased to be a civil commitment and
has become punishment. Accordingly,
respondents have failed to meet their burden to overcome the strong presumption
in favor of constitutionality.
III. EX POST FACTO
The
United States and Wisconsin Constitutions prohibit ex post facto laws.[12] It is well established that the
constitutional prohibition on ex post facto laws applies only to penal
statutes. Collins v. Youngblood,
497 U.S. 37, 41 (1990); Wisconsin Bingo Supply & Equip. Co. v. Bingo
Control Board, 88 Wis. 2d 293, 305, 276 N.W.2d 716 (1979). In construing the Ex Post Facto Clause of
the Wisconsin Constitution, we look to the United States Supreme Court decisions
construing the Ex Post Facto Clause of the Federal Constitution. State v. Thiel, 188 Wis. 2d 695,
699, 524 N.W.2d 641 (1994).
We
recently determined in Thiel that the Supreme Court's decision in Collins,
497 U.S. at 42, provides the proper analysis applicable to Wisconsin's Ex Post
Facto Clause. See Thiel,
188 Wis. 2d at 703. An ex post
facto law is any law "'which punishes as a crime an act previously
committed, which was innocent when done; which makes more burdensome the
punishment for a crime, after its commission, or which deprives one charged
with crime of any defense available according to law at the time when the act
was committed . . . .'" Id., quoting Collins, 497 U.S. at 42. Respondents specifically argue that ch. 980
makes more burdensome the punishment for their past sexual offenses.
We
have repeatedly stated the test of what constitutes punishment in the context
of determining whether a law is an ex post facto law as follows:
The question
in each case where unpleasant consequences are brought to bear upon an
individual for prior conduct, is whether the legislative aim was to punish that
individual for past activity, or whether the restriction of the individual
comes about as a relevant incident to a regulation of a present situation . .
. .
See, e.g., Thiel,
188 Wis. 2d at 704, quoting Wisconsin Bingo Supply, 88 Wis. 2d at
305, quoting DeVeau v. Braisted, 363 U.S. 144, 160 (1960) (plurality
opinion). Therefore, we must consider
the language and structure of the statute to determine whether it serves a
legitimate regulatory public purpose apart from punishment for the predicate
act.
For
the same reasons mentioned above with respect to our double jeopardy analysis,
we conclude that ch. 980 is aimed at protecting the public by providing
concentrated treatment for convicted sex offenders who are at a high risk to
reoffend based upon a mental disorder which predisposes them to commit acts of
sexual violence. The focus of the
statute is on the offender's current mental condition and the present danger to
the public, not punishment. As we
recognized in Thiel, the mere fact that a prior conviction is a predicate
of the current sanction does not render the current sanction punishment for the
past offense. Thiel, 188 Wis. 2d
at 703-05. The legislative aim is not
punishment but regulation of a present situation.
Where
a statute serves a legitimate, regulatory, nonpunitive purpose, it only
violates the Ex Post Facto Clause if the regulatory sanction "bears no
rational connection to the purposes of the
legislation . . . ." See Flemming, 363
U.S. at 617. Here, there clearly is a
rational connection between the restriction on the sexually violent person's
liberty and the statute's purpose of protecting the public from dangerous sex
offenders by providing treatment for those offenders in order to reduce the
likelihood they will engage in such acts in the future.
We
conclude that ch. 980 was not enacted to punish convicted sex offenders but
rather to protect public safety and treat sexually violent persons. The restriction on such persons comes about
incident to a regulation of a present situation. Accordingly, we hold that ch. 980 is not an ex post facto law.
IV.
PROBABLE CAUSE DETERMINATION
In
order to be a proper subject of a ch. 980 petition, a person must be
"within 90 days of discharge or release, on parole or otherwise, from a
sentence that was imposed for a conviction for a sexually violent offense[,]
from a secured correctional facility . . . ." § 980.02(2)(ag). Whether this requirement was met in
Carpenter's case requires us to interpret and apply § 980.02(2)(ag) to an
undisputed set of facts. These are
questions of law that we review de novo.
See Swatek v. County of Dane, 192 Wis. 2d 47, 57, 531
N.W.2d 45 (1995).
Carpenter
does not dispute that DOC had the authority to reincarcerate him in January
1994 based on the court of appeals' Parker decision. Rather, he contends that because this court
ultimately reversed the court of appeals, his original June 1993 release date
is the date that applies in relation to the 90-day requirement in
§ 980.02(2)(ag). We do not read
the statute so narrowly. Upon
reincarcerating Carpenter, DOC recalculated a new parole date based on his
conviction for a sexually violent offense.
At the time the petition was initiated, therefore, Carpenter was within
90 days of discharge from imprisonment based on that sentence. The fact that this court ultimately
reversed the court of appeals' decision does not render the DOC action
"illegal."
Carpenter
also argues that there was no probable cause because the State failed to allege
an overt act. Carpenter contends that
the State must establish an overt act in order to establish probable cause of
dangerousness because he had been released from custody prior to the filing of
the petition. See In re Young,
857 P.2d 989, 1009 (Wash. 1993) (holding that for non-incarcerated individuals,
a sex predator petition must include an allegation for a recent overt act), rev'd,
Young v. Weston, No. C94-480C, 1995 WL 529429 (W.D. Wash. Aug. 25,
1995). We disagree. Carpenter's reliance on Young is
misplaced because, unlike the defendant in Young, Carpenter was
incarcerated when the petition was filed.
Therefore, we affirm the trial court's order finding probable cause.
V. CONCLUSION
Respondents
carry a heavy burden when making a constitutional challenge to a statute
because we must afford the statute a strong presumption in favor of
constitutionality. Thiel, 188
Wis. 2d at 706. They must prove beyond
a reasonable doubt that the legislature's intent in enacting ch. 980 was to
punish sexually violent persons. See
id.; see also Iglesias, 185 Wis. 2d at 133. Based upon our above discussion, we conclude
that respondents have not met their burden.
Federalism dictates that states may develop
a variety of solutions to problems with varying standards and procedures
provided that they meet the constitutional minimum. Addington v. Texas, 441 U.S. 418, 431 (1979). The legislature in enacting ch. 980 has
attempted to deal with the legitimate public concern over the danger posed by
sexually violent persons. We conclude
that this method chosen by the legislature was not enacted to punish convicted
felons but rather to protect the public and to provide treatment to convicted
sexually violent persons.
By
the Court.—In State v. Carpenter, orders affirmed in part,
reversed in part and cause remanded. In
State v. Schmidt, order reversed and cause remanded.
William
A. Bablitch, J. (Concurring). I join the majority opinion in both its
reasoning and result. I write only to
address what I perceive to be a fundamental flaw in the analysis contained in
the dissent.
The
fundamental flaw in the dissent is that it confuses "ends" with
"means," and thereby concludes its analysis at a point where it
should begin. The dissent states that
the purpose (i.e. ends) of the legislation in question is punishment,
"namely the ongoing incarceration of convicted sex offenders who might
otherwise be released." Dissent at
12. That so-called purpose is, I
submit, the means to the end. The
underlying purpose of the sexual predator legislation is protection of the
public and the treatment of convicted sex offenders who are at a high risk to
reoffend. The means used to accomplish
this underlying purpose is affirmative restraint with a strong component of
treatment. As stated in United
States v. Halper, 490 U.S. 435 (1989), for purposes of ex post facto and
double jeopardy analysis, we must assess "the purposes actually served by
the [statute] in question, not the underlying nature of the proceeding giving
rise to the sanction . . . ." Id. at 447, n. 7.
The
dissent addresses the legislative history of the passage of this legislation to
buttress its conclusion that the purpose is incarceration. But again, the analysis is flawed for the
same reason stated above. One can
scarcely expect silence from the legislature and the governor with respect to
how they intend to accomplish their underlying purpose of public protection
against further offenses. A close
examination of the quotes contained in the dissent show that these statements
are nothing more than just that.
The
dissent's analysis is much akin to saying that a person goes to his or her car
in the morning for the purpose of taking a ride. That is correct as far as it goes---but not when it can be
demonstrated that the underlying purpose of going to the car is to get to the
office.
The
underlying purpose here is public protection.
The means chosen to accomplish that purpose is affirmative restraint
with a strong component of treatment.
The majority opinion amply and persuasively demonstrates a rational
connection between the affirmative restraint and treatment required by the
statute and its purpose of protecting the public. See Fleming v. Nestor, 363 U.S. 603, 617
(1960). Accordingly, a challenge based
on ex post facto and double jeopardy considerations must fail.
SHIRLEY
S. ABRAHAMSON, J. (dissenting). I
dissent for the reasons set forth in State v. Post, ___ Wis. 2d ___
(1995), of even date.
SUPREME COURT OF WISCONSIN
Case No.: 94-1898 and 94-2024
Complete Title
of Case: 94-1898-
State of Wisconsin,
Petitioner-Appellant,
v.
William Carpenter,
Respondent-Respondent.
________________________________
94-2024-
State of Wisconsin,
Petitioner-Appellant,
v.
William A. Schmidt,
Respondent-Respondent.
___________________________________________________
ON CERTIFICATION FROM THE COURT OF APPEALS
Opinion Filed: December 8, 1995
Submitted on Briefs:
Oral Argument: September 5,
1995
Source of APPEAL
COURT: Circuit
COUNTY: Dane and Sauk
JUDGE: MARK A. FRANKEL and JAMES EVENSON
JUSTICES:
Concurred: BABLITCH, J., concurs (opinion filed)
Dissented: ABRAHAMSON, J., dissents (opinion filed)
Not Participating:
ATTORNEYS: 94-1898:
For the petitioner-appellant the cause was argued by Sally L. Wellman,
assistant attorney general, with whom on the brief was James E. Doyle,
attorney general.
94-1898 and
94-2024 State v. Carpenter/Schmidt
94-1898
continued:
For the respondent-respondent there were
briefs by Bill Ginsberg, Rick B. Meier and Mandell & Ginsberg Law
Offices, Madison and oral argument by Bill Ginsberg.
Amicus curiae brief was filed by Christopher
L. Wolle, Madison for State Representatives David Prosser, Jr. and Lolita
Schneiders.
Amicus curiae brief was filed (in the court
of appeals) by Jeffrey J. Kassel and LaFollette & Sinykin,
Madison for the American Civil Liberties Union of Wisconsin Foundation.
Amicus curiae brief was filed (in the court
of appeals) by Herbert S. Bratt and John D. Schrager, Milwaukee for the
Wisconsin Psychiatric Assocation, Inc.
Amicus curiae brief was filed (in the court
of appeals) by Dianne Greenley, Madison for the Wisconsin Coalition for
Advocacy, Inc.
94-2024:
For the petitioner-appellant the cause was
argued by Sally L. Wellman, assistant attorney general, with whom on the
brief was James E. Doyle, attorney general.
For the respondent-respondent there was a
brief and oral argument by Daniel M. Berkos, Mauston.
[3] A comprehensive analysis of the requirements
and procedures of Wis. Stat. ch. 980 is set forth in the companion cases, supra
note 2.
[4] In granting Carpenter's motion to remand,
the court of appeals expressly allowed him the right to appeal any issue
arising from the probable cause hearing within the scope of the State's appeal.
[5] The Federal
Constitution's Double Jeopardy Clause provides: "[N]or shall any person be
subject for the same offence to be twice put in jeopardy of life or
limb . . . ."
U.S. Const. amend. V.
Wisconsin's analogous provision states:
"[N]o person for the same offense may be put twice in jeopardy of
punishment . . . ."
Wis. Const. art. I, § 8(1).
[6] In an effort to find ch. 980 violative of
the Double Jeopardy Clause, the dissent improperly relies on the following
language in Halper to set forth a stricter standard: "[A] civil
sanction that cannot fairly be said solely to serve a remedial purpose,
but rather can only be explained as also serving either retributive or
deterrent purposes, is punishment . . . ." Halper, 490 U.S. at 448 (emphasis
added). Post and Oldakowski,
supra note 2, Dissent at 6-7 (Post Dissent). To the extent the dissent is suggesting that
a civil sanction containing any punitive purpose is punishment, it is
erroneous. Halper unequivocally
limited its holding as follows:
We therefore
hold that under the Double Jeopardy Clause a defendant who already has been
punished in a criminal prosecution may not be subjected to an additional civil
sanction to the extent that the second sanction may not fairly be characterized
as remedial, but only as a deterrent or retribution.
Id. at 448-49 (emphasis added). Curiously, while the dissent relies on the Halper language
that a civil sanction must be solely remedial to survive double jeopardy
scrutiny, it recognizes as correct our contrary holding in State v.
Killebrew, 115 Wis. 2d 243, 251, 340 N.W.2d 470 (1983) (the fact that a
punitive motive may also be present does not make an action punishment). Post Dissent at 3 (quoting Killebrew,
115 Wis. 2d at 251).
We further
note that the Supreme Court has since reaffirmed the strict holding of Halper. The Court in Department of Revenue v.
Kurth Ranch, 114 S. Ct. 1937, 1946-47 (1994), ruling on the
constitutionality of a drug tax, recognized that the existence of punishment
aspects in a statute does not necessarily make it punishment. The Court stated:
We begin by
noting that neither a high rate of taxation nor an obvious deterrent purpose
automatically marks this tax a form of
punishment . . . .
[W]hile a high tax rate and deterrent purpose lend support to the
characterization of the drug tax as punishment, these features, in and of
themselves, do not necessarily render the tax punitive.
Id. See also
State v. McMaster, No. 95-1159-CR (Wis. Ct. App. Nov. 8, 1995) (holding
that a sanction that primarily serves a nonpunitive goal but has a secondary
deterrent purpose may be properly characterized as remedial).
[7] Wisconsin Stat. § 980.015(3)(b) states:
(3)
The agency with jurisdiction shall provide the district attorney and
department of justice with all of the following:
. . . .
(b) If applicable, documentation of any
treatment and the person's adjustment to any institutional placement.
[8] Wisconsin Stat. § 980.06(2)(b) states
in relevant part:
In determining whether commitment shall be
for institutional care in a secure mental health unit or facility or other
facility or for supervised release, the court may consider, without limitation
because of enumeration, the nature and circumstances of the behavior that was
the basis of the allegation in the petition under s. 980.02(2)(a), the person's
mental history and present mental condition, where the person will live, how
the person will support himself or herself, and what arrangements are available
to ensure that the person has access to and will participate in necessary
treatment.
[9] Wisconsin Stat. § 980.06(2)(c) states
in relevant part:
If the court finds that the person is
appropriate for supervised release, the court shall notify the department. The department and the county department
under s. 51.42 in the county of residence of the person shall prepare a plan
that identifies the treatment and services, if any, that the person will
receive in the community. The plan
shall address the person's need, if any, for supervision, counseling,
medication, community support services, residential services, vocational
services, and alcohol or other drug abuse treatment. . . . The plan shall specify who will be
responsible for providing the treatment and services identified in the plan.
[10] Schmidt's counsel was questioned in relevant
part:
Q. The point is that people are able to get out
on supervised release. Doesn't that
take some of the onus away from the punishment . . . ?
A.
It certainly does. However, the
way I view that is . . . an afterthought or some sort of protective
measure that was thrown in there to make it appear more palatable from a
constitutional sense . . . .
[11] The dissent argues that the majority
misconstrues U.S. Supreme Court precedent in determining that ch. 980 passes
constitutional muster by "ignoring its legislative
history . . . ."
Post Dissent at 3-4. The
dissent relies heavily on legislative history to conclude that ch. 980 is
unconstitutional. Post Dissent
at 8-13. In doing so, the dissent
infers that the majority erred in not considering legislative history to glean
its principal purpose.
While
we agree that legislative history may shed light on a statute's purpose in
certain instances, we disagree with the dissent's reliance on selected
statements made by a few officials to indicate that the legislature intended to
enact a punitive statute. Selected
statements, even those made by the sponsor of the legislation, that reflect a
punitive motivation for the statute are not sufficient to overcome the
presumption of constitutionality which attends the statute. Wiley v. Bowen, 824 F.2d 1120, 1122
(D.C. Cir. 1987). In judging the
constitutionality of a statute, we cannot assume that the statements of a few
constitute the motivation of the entire legislature. "[W]e are left with the rule that 'only the clearest proof
could suffice to establish the unconstitutionality of a statute' on the ground
'that a punitive purpose in fact lay behind the statute.'" Id., quoting Flemming v. Nestor,
363 U.S. 603, 617 (1960).