2008 WI 65
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Supreme Court of |
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Case No.: |
2006AP64-CR |
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Complete Title: |
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State of Plaintiff-Respondent, v. David G. Straszkowski, Defendant-Appellant-Petitioner. |
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REVIEW OF A DECISION OF THE COURT OF APPEALS (no cite) |
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Opinion Filed: |
June 19, 2008 |
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Submitted on Briefs: |
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Oral Argument: |
January 16, 2008
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Source of Appeal: |
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Court: |
Circuit |
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County: |
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Judge: |
Jon M. Counsell
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Justices: |
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Concurred: |
ZIEGLER, J., joins concurrence. |
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Dissented: |
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Not Participating: |
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Attorneys: |
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For the defendant-appellant-petitioner there were briefs
by Philip J. Brehm,
For the plaintiff-respondent the cause was argued by Eileen Pray, assistant attorney general, with whom on the brief was J.B. Van Hollen, attorney general.
2008 WI 65
notice
This opinion is subject to further editing and modification. The final version will appear in the bound volume of the official reports.
REVIEW of a decision of the Court of Appeals. Affirmed.
¶1 SHIRLEY S. ABRAHAMSON, C.J. The defendant, David
G. Straszkowski, seeks review of an unpublished court of appeals order[1]
summarily affirming a judgment and order of the Circuit Court for
¶2 The issue on review is whether the circuit court erred in denying the defendant's motion to withdraw his plea. The defendant argues that he is entitled to withdraw his plea on the ground that his plea was not entered knowingly, intelligently, and voluntarily.[3] Specifically, the defendant contends that his plea was not knowing and intelligent because he was unaware that a charge dismissed but read in under a plea agreement is deemed admitted for purposes of sentencing the defendant on the charge to which the defendant pled guilty.[4]
¶3 We conclude that the record clearly demonstrates that neither the State, nor trial defense counsel, nor the circuit court referred to the read-in charges as admitted or deemed admitted for sentencing purposes or for any other purpose. Nowhere in the plea questionnaire, in the transcript of the plea hearing, or in the transcript of the sentencing hearing did the State, trial defense counsel, or the circuit court refer to the read-in charges as admitted or deemed admitted. Rather, the circuit court explicitly advised the defendant at sentencing (and repeated this explanation at the postconviction motion hearing) that it understood that the defendant was not admitting the read-in charge and that the circuit court would consider the read-in charge for purposes of sentencing the defendant on the charge to which the defendant pled guilty. Because the circuit court did not consider the read-in charge to be admitted for sentencing purposes, we conclude that the defendant has failed to show that his guilty plea was not entered knowingly, intelligently, and voluntarily when he asserts that he was unaware that his agreement to have a sexual assault charge read in was an admission of the read-in charge for purposes of sentencing.
¶4 The defendant further argues that under Wisconsin case law the circuit court arguably had an obligation to deem the read-in charge admitted by the defendant for sentencing purposes based on the defendant's agreement to have the charge read in, and that because the defendant was unaware of having made an admission to the read-in charge for sentencing purposes, he did not knowingly and intelligently plead guilty to the charged sexual assault. The defendant urges this court to impose an explicit duty on a circuit court to notify a defendant at the time the defendant enters a guilty plea that the defendant's agreement to read in a dismissed charge is deemed to be an admission of the read-in charge for purposes of sentencing.
¶5 Although the case law on read-in charges is neither consistent nor clear, a proper reading of the history of Wisconsin's read-in procedure demonstrates that it is not a critical component of a read-in charge that the defendant admit guilt of the charge (or that the defendant's agreement to read in the charge be deemed an admission of guilt) for purposes of sentencing. In sum, no admission of guilt from a defendant for sentencing purposes is required (or should be deemed) for a read-in charge to be considered for sentencing purposes and to be dismissed. To avoid confusion, prosecuting attorneys, defense counsel, and circuit courts should hereafter avoid (as they did in the instant case) the terminology "admit" or "deemed admitted" in referring to or explaining a defendant's agreement to read in a dismissed charge. A circuit court should advise a defendant that it may consider read-in charges when imposing sentence but that the maximum penalty of the charged offense will not be increased; that a circuit court may require a defendant to pay restitution on any read-in charges; and that the State is prohibited from future prosecution of the read-in charge.
¶6 Although we hold that no admission of guilt from a defendant is required for a read-in offense to be dismissed and considered for sentencing purposes, this decision does not bar a circuit court from accepting a defendant's admission of guilt of a read-in charge. This decision does not address what plea colloquy duties a circuit court might have with respect to such an admission, the issue the defendant raises.[5] Our narrow holding is that an admission of guilt is not required by our read-in procedure and that the circuit court should avoid the terminology "admit" or "deemed admitted" in referring to or explaining a read-in charge for sentencing purposes except when a defendant does admit the read-in charge.
¶7 The present case does not involve an award for restitution. Nothing in this opinion should be construed
as expanding or restricting the circumstances in which restitution may be
imposed.
¶8 For the reasons set forth, we affirm the decision of the court of appeals affirming the circuit court's order denying the defendant's motion to withdraw his guilty plea.
I
¶9 We briefly summarize the facts relating to the defendant's plea agreement and sentencing hearing.
¶10 The State charged the defendant with two sexual assault offenses, one offense involving possession of drug paraphernalia, and two worthless check offenses.
¶11 The defendant stated on a completed "Plea Questionnaire/Waiver of Rights" form that he intended to plead guilty to one sexual assault charge, the single drug paraphernalia charge, and one worthless check charge. The completed Plea Questionnaire/Waiver of Rights form also stated that the defendant's plea agreement would be set forth in circuit court as follows: "Remaining charges and cases to be dismissed; PSI [presentence investigation] jointly requested, and parties will be free to argue."
¶12 On the completed Plea Questionnaire/Waiver of Rights form, a check mark was placed next to a statement that explained read-in charges as follows: Charges that are read in as part of the plea agreement may be considered by the circuit court when imposing sentencing but will not increase the maximum penalty; the defendant may have to pay restitution on any charges read in; and the State may not prosecute the defendant for any read-in charges. The statement checked on the completed Plea Questionnaire/Waiver of Rights form was as follows:
I understand that if any charges are read-in as part of a plea agreement they have the following effects:
● Sentencing —— although the judge may consider read-in charges when imposing sentence, the maximum penalty will not be increased.
● Restitution —— I may be required to pay restitution on any read-in charges.
● Future prosecution —— the State may not prosecute me for any read-in charges.
¶13 At the hearing on the defendant's guilty plea, the prosecuting attorney stated in open court that the two charges to which the defendant did not plead guilty would be "dismissed and read in." Defense counsel then filed the Plea Questionnaire/Waiver of Rights form[6] and informed the circuit court of the defendant's guilty pleas to the charges of sexual assault, possession of drug paraphernalia, and issuance of a worthless check. Defense counsel stated that if the circuit court accepted the guilty pleas and found the defendant guilty of the three offenses, he understood that the State would move "to dismiss but [have the circuit court] consider for sentencing purposes" the remaining sexual assault and worthless check charges.
¶14 Immediately after defense counsel made this statement, the circuit court engaged the defendant in a colloquy to "ascertain" the "promises [that] were made in connection with the defendant's anticipated plea . . . . "[7] and questioned the defendant regarding the completed Plea Questionnaire/Waiver of Rights form signed by the defendant. This colloquy began as follows after the statements of the prosecuting attorney and defense counsel describing the plea agreement and read-in charges:
THE COURT: Mr. Straszkowski, is that your understanding of what is happening here today?
DEFENDANT: Yes.
THE COURT: And your attorney has given me a plea questionnaire and waiver of rights form. Have you reviewed that form?
DEFENDANT: Yes.
THE COURT: And have you read through it?
DEFENDANT: Yes.
THE COURT: Do you believe you understand its contents?
DEFENDANT: Yes.
THE COURT: It appears that you signed it on the second page. Is that correct?
DEFENDANT: Yes.
THE COURT: You did that earlier today?
DEFENDANT: Yes.
THE COURT: Any questions about the form or the recommendations being made here today?
DEFENDANT: No.
THE COURT: And the form says you haven't had any alcohol, medications, or drugs in the last 24 hours. Is that correct?
DEFENDANT: Yes.
THE COURT: Anything else that would cause you to be confused or unclear as you are making these decisions today?
DEFENDANT: No.
THE COURT: Did you need any more time to discuss this with your lawyer?
DEFENDANT: No.
¶15 Later during the plea hearing, the defendant pled guilty to the three charges in accordance with the plea agreement. The circuit court convicted the defendant of the three charges to which the defendant pled guilty and stated that the remaining sexual offense charge and worthless check charge "are dismissed and read in for purposes of sentencing consideration and restitution if need be."[8]
¶16 At the sentencing hearing, defense counsel stated that the defendant maintained his innocence of the dismissed but read-in sexual assault charge. Defense counsel also asserted that he was confident he could have proven the defendant innocent of that charge had the matter gone to trial.
¶17 The circuit court acknowledged that "[t]here is some denials [sic] with regard to the read-in" and that "there seems to be some considerable dispute" over the charges pending in another county. The circuit court never considered the read-in charge or the charges in another county[9] "admitted" but considered these charges during sentencing as an indication that the defendant was placing himself in questionable situations involving underage girls.
¶18 The circuit court explained that the read-in charge and the charges pending in the other county weighed in favor of confinement because the conduct underlying each charge was alleged to have occurred after the defendant had been made aware of the sexual offense charge to which the defendant had pled guilty. The circuit court concluded that the read-in charge demonstrated that even after he had been made aware of the initial sexual assault charge, the defendant "continued to place himself in a questionable situation where those types of allegations could be made."
¶19 The circuit court sentenced the defendant to five years' confinement and ten years' extended supervision on the sexual assault charge. The circuit court also sentenced the defendant on the drug paraphernalia and worthless check charges but provided that the defendant would serve his sentence on those charges concurrently with his sentence on the sexual assault charge. The presentence report recommended jail and probation. Restitution was not claimed or awarded on the sexual assault offense.
¶20 After sentencing, the defendant moved to withdraw his guilty pleas, arguing that he did not make those pleas knowingly and intelligently. In his motion, the defendant stated that when he entered his pleas, he "was not aware of what it meant for a charge to be read-in" in that he "was unaware that pursuant to case law, a read-in offense is deemed admitted by [the] defendant." The motion also stated that the defendant had consistently maintained that he was innocent of the dismissed sexual assault charge and that if he had known that the allegations underlying the charge were "going to be considered as true at the time of sentencing, [the defendant] would not have entered his pleas."
¶21 At the postconviction hearing on the defendant's motion to withdraw his plea, the defendant's trial counsel agreed that he had never informed the defendant that the read-in charges "would be deemed admitted for purposes of sentencing" or that "the [circuit] court would . . . conclude [the defendant] committed" the alleged offense underlying the read-in charge.
¶22 The defendant's trial counsel testified that he and the defendant had "spent quite a bit of time talking about the effect not only of the read-in charge, but also the fact that he was facing unrelated conduct in another county." Counsel testified that he believed it doubtful that the defendant would have been convicted of the read-in sexual offense and that the defendant consistently denied the read-in charge. The defendant's trial counsel further testified that he had explained to the defendant that although the defendant would not be convicted or sentenced separately for the dismissed but read-in sexual assault charge, the circuit court "might consider that conduct when imposing sentence on the assault that he was pleading guilty to." Defense trial counsel also stated that he believed at the time and "still believe[s] today that [the defendant] understood that the judge, although he wasn't convicting him of the other assault, he would certainly consider that assault when trying to decide what [the defendant] required for punishment and what the public required for protection."
¶23 The defendant testified at the postconviction hearing that he did not understand that the circuit court would read in the dismissed sexual assault charge or that the circuit court could consider the charge for purposes of sentencing the defendant on the charge to which the defendant had pled guilty. The defendant acknowledged that he had discussed the significance of read-in charges with his trial counsel on at least two occasions. The defendant also acknowledged that he heard it stated at the plea hearing that the dismissed sexual assault charge would be considered for sentencing purposes. The defendant testified that upon hearing this statement he "thought they made a mistake," because his plea agreement said "nothing about [a] read-in." The defendant further testified that at the plea hearing he asked his trial counsel, "[W]hy are they saying read-in?" and that his counsel replied that they "would talk about it later."
¶24 Upon completion of the hearing on the defendant's plea withdrawal motion, the circuit court found the defendant's trial counsel's testimony to be credible and the defendant's testimony to be incredible. The circuit court found that the defendant had understood at the time of his guilty plea that the dismissed sexual assault charge would be read in and that it could be considered at sentencing.
¶25 The circuit court denied the defendant's motion to withdraw his guilty pleas. The circuit court explained that it had not looked to the read-in charge or the charges pending in the other county "as things that definitively happened," but rather that the circuit court was "looking at those matters as [the defendant] continually placing himself in a situation where he is associating with underage persons sufficiently that they know who he is and for some reason would make these types of allegations against him." The circuit court further asserted that it had looked at the read-in charge and the charges pending in the other county "in the same way."
¶26 The court of appeals summarily affirmed the circuit court's
judgment of conviction and order denying the defendant's motion to withdraw his
guilty plea. In so doing, the court of
appeals applied its prior decision in State v. Lackershire, 2005 WI App
265, 288 Wis. 2d 609, 707 N.W.2d 891, in which the court
of appeals held that "[b]ecause read-ins do not increase the range of
punishment, they are indirect consequences and their knowledge is not required
for a defendant to enter a knowing, intelligent, or voluntary plea."[10] Upon review of Lackershire, this court
explicitly declared that it did "not adopt the court of appeals'
determinations [in Lackershire, 288
We do not adopt the court
of appeals' determinations that read-in charges are merely "collateral
consequences" of a plea, and that therefore information about read-ins "is
not a prerequisite to entering a knowing and intelligent plea." Lackershire, 288
¶27 Before this court, the defendant does not dispute the circuit court's finding that the defendant understood at the time of his plea that the dismissed sexual assault charge would be read in and that the charge could be considered at sentencing. The defendant instead limits his argument to the claim that he did not understand that the read-in charge was to be deemed admitted for sentencing purposes.
II
¶28 We turn first to the standard of review. Because the defendant seeks to withdraw his
guilty plea after sentencing, he must show that a refusal to allow withdrawal
of the plea would result in manifest injustice.[14] Manifest
injustice may be shown when the defendant's guilty plea was not made knowingly,
intelligently, and voluntarily.[15]
¶29 Whether
a plea was made knowingly, intelligently, and voluntarily is a question of
constitutional fact.[16] Upon review, this court upholds the
circuit court's findings of evidentiary or historical facts unless those
findings are clearly erroneous. This
court determines the application of
constitutional principles regarding a knowing, intelligent and voluntary plea
to those evidentiary facts independently of the circuit court and court of
appeals but benefiting from those courts' analyses.[17]
III
¶30 The defendant claims that he did not understand that by agreeing to have the sexual assault charge read in, he was admitting or would be deemed to have admitted the read-in charge for sentencing purposes.[18] He asserts that his failure to understand that the read-in involved an admission for purposes of sentencing renders his guilty plea not knowing and not intelligent.
¶31 The defendant apparently contends that his plea was not entered knowingly and intelligently for the following reasons:
(A) The defendant was unaware that the circuit court would deem the sexual assault charge dismissed but read in under the defendant's plea agreement to be admitted by the defendant for sentencing purposes;
(B) The defendant did not admit guilt of the read-in charge but instead actively denied guilt of the read-in charge;
(C) The circuit court was required to advise the defendant that the read-in charge was to be deemed admitted for sentencing purposes;
(D) The circuit court was
required under State v. Bangert, 131
(E) Trial defense counsel failed to advise the defendant that when a charge is read in, the defendant is admitting guilt of the read-in charge for purposes of sentencing or is deemed to have admitted guilt for purposes of sentencing, and therefore under a Nelson/Bentley[19] analysis the defendant has demonstrated that his guilty plea was not entered knowingly and intelligently regardless of whether the court's plea colloquy was defective.
A
¶32 The defendant's argument that his plea was not entered knowingly
and intelligently because he was unaware that the circuit court would deem the
read-in sexual assault charge to be admitted for sentencing purposes is
unconvincing. Nowhere did the circuit court conclude that the defendant
admitted (or was deemed to have admitted) the sexual assault charge that was
read in or that the defendant was guilty of the read-in sexual assault
charge.
¶33 The circuit court never deemed the read-in sexual assault charge to be admitted. The record demonstrates that neither the State, nor trial defense counsel, nor the circuit court referred to the read-in charges as admitted or deemed admitted. Nowhere in the plea questionnaire, in the transcript of the plea hearing, or in the transcript of the sentencing hearing did the State, defense counsel or the circuit court refer to the read-in charges as admitted or deemed admitted.
¶34 The circuit court acknowledged that "[t]here is [sic] some denials with regard to the read-in" and that "there seems to be considerable dispute" over the charges pending in another county. The circuit court explicitly advised the defendant at sentencing (and repeated this explanation at the postconviction hearing) that it understood that the defendant was not admitting the read-in charge.
¶35 The circuit court treated the read-in charge properly, not as an admitted crime but as an offense that may properly be considered for sentencing purposes.
¶36 The circuit court treated the read-in charge in the same way as it treated the sexual assault charges pending against the defendant in another county and did not give the read-in charge more weight than it gave the pending charges in the other county. It is well established that "[a] sentencing court may consider uncharged and unproven offenses" whether or not the defendant consents to having the charge read in.[20]
¶37 The circuit court's consideration of the read-in charge when sentencing the defendant did not flow only from the parties' agreement to read in the sexual assault charge for sentencing purposes. The circuit court treated the read-in in the same manner as it treated other pending charges or unproven offenses.
¶38 Under the circumstances of the present case, the circuit court was not required to advise the defendant that the read-in charge would be deemed admitted for purposes of sentencing. The circuit court concluded not that the defendant was guilty of the read-in charge, but rather that the read-in charge and the charges pending in the other county demonstrated that even after he had been made aware of the initial sexual assault charge against him, the defendant "continued to place himself in a questionable situation where those types of allegations could be made."[21]
¶39 Because the circuit court never treated the defendant as having admitted (or as having been deemed to have admitted) the read-in charge, the defendant's argument that his plea was not entered knowingly, intelligently, and voluntarily because he was unaware that the circuit court would deem the read-in sexual assault charge to be admitted for sentencing purposes is unconvincing.
B
¶40 The defendant is correct that he denied guilt of the read-in charge. Indeed, the circuit court acknowledged that the defendant actively denied guilt of the read-in charge and did not admit the read-in charge for any purpose. The circuit court never characterized the defendant as having admitted or as having been deemed to have admitted the read-in charge for any purpose. Under these circumstances, the defendant's assertion that he denied guilt of the read-in charge is not a persuasive argument that his guilty plea was not entered knowingly and intelligently.
C
¶41 The defendant appears to argue that the circuit court was required
to advise him that the read-in charge was to be deemed admitted for sentencing
purposes. Two cases are relevant to this
argument: Garski v. State, 75
¶42 In Garski, the defendant argued that "the trial court never informed him that it could order restitution as a condition of probation on . . . dismissed [read-in] charges . . . ."[22] The Garski court nevertheless upheld the circuit court's order of restitution as a condition of probation on the dismissed read-in charges. The Garski court concluded that the trial court had to inform the defendant of the statutory penalties for the charged offenses but that Garski had no authority for his argument that the trial court must inform him that restitution could be a condition of probation for the read-in offenses prior to accepting a guilty plea.[23]
¶43 The Garski court "cautioned," however, that "when the plea agreement contemplates the non-prosecution of uncharged offenses, the details of the plea agreement should be made a matter of record"[24] and that "[t]he defendant should be advised by the trial court, on the record, of the effect of the read-ins, including that the judge may take these offenses into consideration when sentencing."[25] The Garski court did not state whether this caution regarding how the trial court should advise a defendant about read-in charges was a recommendation of good practice or a requirement for a knowing, intelligent, and voluntary plea.[26] The Garski court also did not specifically require or caution a trial court to advise a defendant that a read-in involves or entails an admission of guilt to the read-in offense.
¶44 In Cleaves, another restitution case, the court of appeals "suggest[ed]," but did not require, that trial courts "ask the defendant if there is an admission to the read-in charge for purposes of sentencing consideration."[27] The Cleaves court of appeals stated that it "believe[d] that this is the better practice."[28]
¶45 Cleaves makes clear that a trial court is not required to advise a defendant that a read-in charge is to be deemed admitted for sentencing purposes. In light of Cleaves, the Garski court's ambiguous "caution" must be read as precatory, at least with respect to the circuit court's obligation to advise the defendant that a read-in charge is to be deemed admitted for sentencing purposes.
¶46 Moreover, as we stated previously, the circuit court in the present case never considered the dismissed read-in charge or the sexual assault charges in another county to have been "admitted" by the defendant or to have been deemed admitted for sentencing or for any other purpose. Even Garski's precatory caution and Cleaves's recommendation of better practice do not seem to apply to the present case, when the circuit court did not consider the dismissed read-in charge to have been admitted by the defendant or to have been deemed admitted.
¶47 We conclude that the circuit court was not required in the instant case under either Garski or Cleaves to advise the defendant that the read-in charge was to be deemed admitted for sentencing purposes.
D
¶48 The defendant asserts that because he is deemed to have admitted a
read-in offense when a read-in charge is involved in a plea agreement, the
circuit court should have treated the admission to a read-in charge as
equivalent to a guilty plea to the read-in charge and should have engaged in a
plea colloquy for the guilty plea under State v. Bangert, 131
¶49 Under
Bangert, a circuit court accepting a guilty plea is required to address
the defendant personally and to engage in a colloquy on numerous subjects. Among other things, the court is required to
establish the defendant's understanding of the nature of the crime, to
ascertain whether a factual basis exists to support the guilty plea, and to
inform the defendant of the constitutional rights that are waived by a plea and
verify that the defendant understands he is giving up these rights.[30]
¶50 The defendant argues that inasmuch as a read-in charge is deemed admitted for sentencing purposes, the circuit court was required to adhere to Bangert and to advise the defendant that he was waiving, in regard to the read-in charge, the Sixth Amendment right to a jury trial, the Sixth Amendment right to confront one's accusers, and the Fifth Amendment right against self-incrimination.
¶51 We disagree with the defendant's Bangert argument in the present case. Because the circuit court did not view the read-in charge as either having been admitted by the defendant or as having been deemed to have been admitted by the defendant for sentencing or for any other purpose, the defendant has no basis to argue that the circuit court should have engaged in a full Bangert plea colloquy explaining the effect of an admission/guilty plea to the read-in charge.
¶52 Rather, at sentencing the circuit court assessed the defendant's character using all the available information, including the read-in sexual assault charge and the sexual assault charges in the other county. The sentencing court was not constrained in considering the read-in charge or the other charges by the Bangert rules of a plea colloquy or by the rules of evidence that govern evidence in the guilt phase of a criminal proceeding.[31]
E
¶53 Using a Nelson/Bentley analysis, the defendant argues that his guilty plea was not made knowingly and intelligently even assuming that the circuit court had no duty to inform him during the plea colloquy that the read-in sexual assault charge would be deemed admitted for sentencing purposes. The defendant relies on the fact that his trial counsel acknowledged at the postconviction hearing that he did not inform the defendant that the defendant would be deemed to have admitted the read-in sexual assault charge. The defendant argues that his lack of understanding regarding the "admission" aspect of the read-in procedure was vital to his ability to make a reasoned plea decision.
¶54 The defendant's Nelson/Bentley argument rests primarily on the fallacy that the circuit court sentenced the defendant based on the defendant's conviction of two sexual offenses, the one to which he pled guilty and the one that was read in. The record shows that the circuit court did no such thing, as we have explained previously. The defendant's argument that he would have been better off setting the read-in charge for trial because he believed he would be acquitted makes little sense. The defendant in the instant case was able to deny guilt of the read-in offense and was able to have the read-in offense dismissed without the possibility of further prosecution. The circuit court viewed the read-in sexual assault charge in the same way as it viewed the sexual assault offenses charged in the other county.
¶55 The defendant has not carried his burden to prove that factors extrinsic to the plea colloquy rendered his guilty plea unknowing and not intelligent.[32]
¶56 We have considered the defendant's arguments that he did not understand that by agreeing to have the sexual assault charge read in, he was admitting or would be deemed to have admitted the read-in charge for sentencing purposes. His assertion that his failure to understand that the read-in involved an admission for purposes of sentencing renders his guilty plea not knowing and not intelligent is not persuasive. We conclude that because the circuit court never considered the read-in charge admitted or deemed admitted for sentencing purposes on the charge to which the defendant pled guilty, the defendant has failed to show that his plea was not entered knowingly and intelligently.
IV
¶57 The defendant further argues that under Wisconsin case law the circuit court arguably had an obligation to consider the read-in charge as having been admitted by the defendant for sentencing purposes or having been deemed to have been admitted by the defendant for sentencing purposes, and that because the defendant was unaware of having made an admission to the read-in charge for sentencing purposes, he did not knowingly and intelligently plead guilty to the charged sexual assault. The defendant urges this court to impose an explicit duty on a circuit court to notify a defendant at the time the defendant enters a guilty plea that read-in charges are deemed admitted for purposes of sentencing.
¶58 Although the case law on read-in charges[33]
is neither consistent nor clear, a proper reading of the history of Wisconsin's
read-in procedure demonstrates that it is not a critical component of a read-in
charge that the defendant admit guilt to a read-in charge (or be deemed to have
admitted guilt to the read-in charge) for purposes of sentencing. In sum, no admission of guilt from a
defendant is required (or should be deemed) for a read-in charge to be considered for sentencing purposes and to
be dismissed.
¶59 We
begin our examination of the history of read-in charges in this state with this
court's first extensive description of Wisconsin's read-in procedure in Austin
v. State, 49
¶60 In
¶61 Because "the so-called 'read in' of uncharged crimes for the purpose of sentencing on the crime charged [was] somewhat unique to Wisconsin," the Austin court prefaced its analysis with "a brief review" of Wisconsin's read-in procedure, along with an accompanying (and intertwined) discussion of "the problems involved in the consolidation of multiple offenses and the problems involved in the application of the recidivist statute."[35]
¶62
¶63 The Austin opinion does not explicitly state that such
admission is an actual admission made by the defendant or, as some cases would
later hold, an admission that the court simply assumes to be made as a matter
of law based on the defendant's agreement to read in the charge for
consideration at sentencing. The facts
of
¶64 Furthermore,
¶65 Finally, Austin compared and contrasted Wisconsin's read-in
procedure to a procedure described in the American Law Institute Model Penal
Code under which "the defendant may admit in open court the
commission of other [uncharged] felonies and ask that they be taken into
account" at sentencing for a charged offense.[39] The Austin court explained that the
Model Penal Code procedure was similar to Wisconsin's read-in procedure in that
"the sentence [for the charged offense] bars the prosecution of such
admitted [but uncharged] crime" and different from the Model Penal Code
procedure in that the Code procedure "works like the Wisconsin repeater
statute," permitting the trial court to "extend the term of the
ordinary maximum penalty for the crime charged by taking into account the other
offenses."[40] The
¶66 In sum,
¶67 Another early read-in case, State v. Gerard, 57 Wis. 2d 611, 205 N.W.2d 374 (1973), similarly describes the read-in procedure as involving the defendant's actual admission of guilt. Gerard agreed to have 20 uncharged offenses read into the record and to allow the circuit court to take such offenses into consideration in sentencing him on two charged crimes.[42] The defendant made an actual admission, apparently to law enforcement officers, that he was guilty of these 20 uncharged crimes.[43] The court was made aware of the defendant's admission and inquired as to the validity of the admission when the court read in the uncharged offenses.[44] The Gerard court quoted an excerpt from the circuit court transcript reading in part as follows:
THE COURT: Have the defendant walk forward. Ronald Gerard, did you admit all those other said [read-in] offenses to the officers freely and voluntarily?
DEFENDANT: Yes.
THE
COURT: Were any threats or any promises made by anyone, any police officer or
by any law enforcement officer or by anyone involved in this case in any
manner, shape or form to get you to admit those offenses?
THE DEFENDANT: No.
THE COURT: Why did you admit them?
THE DEFENDANT: Because I wanted to get everything off the books so I am not any more involved in anything.[45]
¶68 Neither Austin nor Gerard stated that a defendant's
admission is required under
¶69 In contrast to cases such as Austin and Gerard, some
subsequent cases describe the defendant's admission of a read-in charge not as
an actual admission of guilt but rather as an admission as a matter of law that
the defendant makes simply by agreeing to read in a dismissed charge. The first of these cases is State v.
Szarkowitz, 157
¶70 In Szarkowitz, the court of appeals rejected Szarkowitz's
argument that the circuit court erred in ordering restitution to victims of
crimes that were read in as part of Szarkowitz's plea agreement.[46] In interpreting the restitution statute, the
court of appeals concluded that the statute's provision that a circuit court
may order the defendant to make restitution to "any victim of the crime"
authorized the court to order restitution to "victims of any crimes to
which the defendant admits as part of the read-in procedure as well as victims
of the particular crime for which he is convicted."[47]
¶71 In so holding, the court of appeals quoted, relied upon, and
interpreted Austin's
statement that "'[u]nder our read-in procedure, the defendant does not
plead to any charges and therefore is not sentenced on any of the read-in
charges but such admitted uncharged offenses are considered in
sentencing him on the charged offense.'"[48] The court of appeals construed this statement
in
¶72 The Szarkowitz court of appeals did not explicitly state whether it was construing Austin to hold that "when a defendant agrees to crimes being read in at the time of sentencing, he makes[, as part of that procedure, an actual] admission that he committed those crimes" or whether it was instead construing Austin to hold that "when a defendant agrees to crimes being read in at the time of sentencing, he [is legally deemed to] make[] an admission that he committed those crimes [even in the absence of an actual admission]." Both interpretations of Szarkowitz are permitted by the text of that opinion.
¶73 The court of appeals adopted the latter interpretation of Szarkowitz
in State v. Cleaves, 181
¶74 Although holding that the circuit court "may" assume that the defendant admits of read-in charges for purposes of sentencing, the Cleaves court recommended that circuit courts instead expressly ask defendants whether there is an admission to the read-in charge for purposes of sentencing. The Cleaves majority declared that "[t]o clarify the record . . . we suggest that trial courts in the future ask the defendant if there is an admission to the read-in charge for purposes of sentencing consideration. We believe that this is the better practice."[52]
¶75 Writing in concurrence in Cleaves, Judge Nettesheim endorsed and elaborated upon the majority's suggestion "that the trial court expressly obtain an admission from the defendant to a read-in charge."[53] Judge Nettesheim explained that a read-in charge is usually accompanied by three conditions: (1) the defendant acknowledges responsibility for the uncharged or dismissed read-in charge; (2) the defendant agrees that the trial court may consider the read-in charge for purposes of sentencing on the charges for which a defendant is convicted; and (3) the defendant accepts responsibility for restitution relating to the read-in charge.
¶76 Judge Nettesheim suggested that a trial court engage in "a personal colloquy with the defendant under Bangert" to establish that the defendant understands these consequences of a read-in charge and to "additionally establish that the defendant understands and accepts all of these conditions, or any others which might apply." This procedure, according to Judge Nettesheim, "can minimize the number of postconviction motions and appeals challenging a trial court's use of a read-in charge. And, even where such motion or appeal is brought, the judicial resolution of the issue will often be facilitated."[54]
¶77 The opinions in Cleaves merely recommended that the trial courts ask defendants in the future whether they are admitting the read-in charge for purposes of sentencing. Cleaves did not require the trial courts to do so. Cleaves also did not require circuit courts to assume that defendants have admitted guilt of read-in charges for purposes of sentencing, stating instead that courts "may" make such an assumption.
¶78 Standing in contrast to cases such as Austin, Gerard, Szarkowitz, or Cleaves, all of which describe the read-in procedure as involving either an actual or a deemed admission of guilt, are cases describing the read-in procedure without making reference either to the defendant's actual admission of guilt or to a rule that the circuit court may deem the defendant's agreement to read in the charge to an admission that the defendant committed the read-in offense.
¶79 Martinkoski
v. State, 51
¶80 In
Embry v. State, 46
[The read-in procedure is] a practice in this state, especially in Milwaukee, of charging a multiple offender with two or more offenses for which the evidence is most conclusive and bringing the judge's attention to additional uncharged offenses prior to sentencing. Upon agreement between the state and the accused, the judge may take these offenses into consideration and the prosecution agrees not to prosecute. It is expected the uncharged crimes will influence the length of the sentence for the crime or crimes the defendant has been found guilty of or to which he has plead [sic] guilty. The advantage of this technique to the accused is that he can clean his slate of several uncharged crimes with the safety of only receiving at the most the maximum sentence on the one or two crimes of which he is convicted.[58]
¶81 After the read-in procedure developed in the
973.20(1g) of the statutes is created to read:
973.20(1g) In this section:
. . . .
(b) "Read-in crime" means any crime that is uncharged, that the defendant admits to having committed and that the court considers at the time of sentencing the defendant for the crime for which the defendant was convicted.[59]
¶82 In a memorandum addressed to the Assembly Judiciary Committee Assembly, the Wisconsin Department of Justice objected to this proposed definition of "read-in crime" on the ground that it "would appear to require that the defendant personally and specifically admit to the read-in offense in order for it to be considered at sentencing for restitution."[60] A transcription of the memorandum is attached as an Appendix hereto. The Department of Justice argued that such a requirement "is inconsistent with the law on read-in offenses" and that under the court of appeals' decisions in Szarkowitz and Cleaves, restitution was proper so long as the defendant agreed to the read-ins. The Department of Justice memorandum supports a definition of "read-in charges" that allows dismissed read-in charges to be considered for restitution and that dispenses with the "admits" language so that a defendant's personal admission to the read-in charge is not required; the defendant need simply agree that the charge be read in.
¶83 The Department of Justice memorandum proposed the following definition of "read-in crime" in the restitution statute:
"Read-in crime" means any crime that is uncharged or which is dismissed as part of a plea agreement, that the defendant agrees to be considered by the court at sentencing and that the court considers at the time of sentencing the defendant for the crime for which the defendant was convicted.
(Emphasis in original.)
¶84 The Assembly Judiciary Committee evidently found the Department of Justice memorandum to be persuasive and incorporated the Department's proposed language nearly verbatim into Assembly Amendment 1.[61] The Amendment provided that a read-in crime is a crime "that the defendant agrees to be considered by the court at the time of sentencing."[62]
¶85 The language of Assembly Amendment 1 is the language ultimately
enacted as the statutory definition of "read-in crime" in the
restitution statute. The statutory
definition of "read-in crime," enacted by the legislature in 1995
Wisconsin Act 141 and now set forth in Wis. Stat. § 973.20(1g)(b), makes
no reference to any sort of admission, whether actual or deemed. Wisconsin Stat. § 973.20(1g)(b) defines "read-in crime" as a
crime "that the defendant agrees to be considered by the court at the time
of sentencing." The statutory
definition of "read-in" crime for purposes of restitution is as
follows:
"Read-in crime" means any crime that is uncharged or that is dismissed as part of a plea agreement, that the defendant agrees to be considered by the court at the time of sentencing and that the court considers at the time of sentencing the defendant for the crime for which the defendant was convicted.
¶86 Although
not requiring that a defendant admit guilt to a read-in charge (or be deemed to
have admitted guilt to the read-in charge) for purposes of sentencing, the
statutory definition of "read-in crime" does not bar a circuit court
from accepting a plea agreement involving the defendant's admission of guilt of
a read-in charge.
¶87 The statutory "read-in crime" definition appears in the criminal restitution statute, Wis. Stat. § 973.20, and is additionally incorporated by reference into the statute governing victim statements to be made before sentencing (§ 972.14(3)) and the statute governing sentencing restrictions on contact with victims of, or co-actors in, crimes (§ 972.049). These statutes, like § 973.20(1g)(b) defining "read-in crime," do not at any point refer to a "read-in crime" as a crime that the defendant admits or that the defendant is deemed to have admitted as a matter of law.
¶88 Subsequent to Cleaves and to the legislature's enactment of a statutory definition for "read-in crime," this court has not necessarily been consistent in describing read-in offenses.
¶89 For example, in State v. Floyd, 2000 WI 14, ¶25, 232 Wis. 2d 767, 606 N.W.2d 155, we cited Cleaves
in support of the position that "[r]ead-ins constitute admissions
by the defendant to those charges" (emphasis added). In State
v. Martel, 2003 WI 70, ¶26, 262 Wis. 2d 483, 664 N.W.2d 69, we
appear to have described read-ins as involving an actual admission, stating
that Szarkowitz held for purposes of the restitution statute that
read-in charges applied to crimes "admitted, dismissed, and read-in
at sentencing for the crime of conviction" (emphasis added). Similarly, in State v. Lackershire, 2007 WI
74, ¶27 n.7, 734 N.W.2d 23, we cited Austin and stated that
"[w]hen charges are read in during sentencing, the defendant admits to
having committed the underlying crimes . . . "
(emphasis added).
¶90 In Robinson v. West Allis, 2000 WI 126, ¶42, 239 Wis. 2d 595, 619 N.W.2d 692, the court stated
that "[r]ead-in charges have historically served a limited function"
and that although they have a preclusive effect of barring a State from future
prosecution of the read-in charges, read-in charges "are not otherwise
treated as adjudications of guilt."[63] The Robinson court further stated that
"[c]onsideration of read-in charges during sentencing is not tantamount to
actual litigation of the underlying issues.
The sentencing court performs no adjudication of the read-in charges . . . . "[64]
¶91 In sum, the case law and the restitution statute suggest three
different descriptions of the read-in procedure: (1) Austin's and Gerard's
description of a procedure involving (though not necessarily requiring) the
defendant's actual admission to the read-in charge for sentencing purposes; (2)
the Cleaves (and perhaps Szarkowitz) rule that "[i]n the
absence of any objections to . . . crimes being read in,
the court may assume that the defendant admits them for purposes of being
considered at sentencing";[65]
and (3) the statutory definition (and the description in cases such as Embry
and Martinkoski) making no reference to an admission of the read-in
crimes but describing only the effect of a read-in crime, namely that the
read-in charge may be considered at sentencing and that the State is barred
from future prosecution on the read-in charge.
The State asserts, and our research appears to confirm, that
¶92 In reading Austin, the subsequent cases, and the criminal
restitution statute defining a read-in charge, we conclude that Wisconsin's
read-in procedure does not require a defendant to admit guilt of a read-in
charge for purposes of sentencing and does not require a circuit court to deem
the defendant to admit as a matter of law to the read-in crime for purposes of
sentencing. A circuit court should not
deem a defendant's agreement to have
a charge read in for consideration at sentencing and dismissed on the merits to
be an admission of guilt of the read-in charge for purposes of sentencing.
¶93 Except when a defendant does in fact admit guilt of a read-in
charge, stating that a defendant "admits guilt" of a read-in charge
for purposes of sentencing is more likely to confuse than to guide the
decisions made by a defendant or a sentencing court. It is a better practice for prosecuting and
defense counsel and circuit courts to omit any reference to a defendant
admitting a read-in crime, except when the defendant does admit guilt, and
simply to recognize that a defendant's agreement to read in a charge affects
sentencing in the following manner: a circuit court may consider the read-in
charge when imposing sentence but the maximum penalty of the charged offense
will not be increased;[66]
a circuit court may require a defendant to pay restitution on the read-in
charges;[67]
and a read-in has a preclusive effect in that the State is prohibited from
future prosecution of the read-in charge.[68]
¶94 To
avoid any confusion, prosecuting attorneys, defense counsel, and circuit courts
should hereafter avoid (as they did in the instant case) the terminology
"admit" or "deemed admitted" in referring to or explaining
a defendant's agreement to read in charges.
¶95 We withdraw language in the case law that may be read as intimating that when a charge is read in a defendant must admit or is deemed to admit the read-in charge for sentencing purposes.
* * * *
¶96 We conclude that the record clearly demonstrates that neither the State, nor trial defense counsel, nor the circuit court referred to the read-in charges as admitted or deemed admitted for sentencing purposes or for any other purpose. Nowhere in the plea questionnaire, in the transcript of the plea hearing, or in the transcript of the sentencing hearing did the State, trial defense counsel, or the circuit court refer to the read-in charges as admitted or deemed admitted. Rather, the circuit court explicitly advised the defendant at sentencing (and repeated this explanation at the postconviction motion hearing) that it understood that the defendant was not admitting the read-in charge and that the circuit court would consider the read-in charge for purposes of sentencing the defendant on the charge to which the defendant pled guilty. Because the circuit court did not consider the read-in charge to have been admitted for sentencing purposes, we conclude that the defendant has failed to show that his guilty plea was not entered knowingly, intelligently, and voluntarily when he asserts that he was unaware that his agreement to have a sexual assault charge read in was an admission of the read-in charge for purposes of sentencing.
¶97 Although the case law on read-in charges is neither consistent nor clear, a proper reading of the history of Wisconsin's read-in procedure demonstrates that it is not a critical component of a read-in charge that the defendant admit guilt to a read-in charge (or that the defendant's agreement to read in the charge be deemed an admission of guilt) for purposes of sentencing. In sum, no admission of guilt from a defendant for sentencing purposes is required (or should be deemed) for a read-in charge to be considered for sentencing purposes and to be dismissed. To avoid confusion, prosecuting attorneys, defense counsel, and circuit courts should hereafter avoid (as they did in the instant case) the terminology "admit" or "deemed admitted" in referring to or explaining a defendant's agreement to read in charges. A circuit court should advise a defendant that it may consider read-in charges when imposing sentence but that the maximum penalty of the charged offense will not be increased; that a circuit court may require a defendant to pay restitution on any read-in charges; and that the State is prohibited from future prosecution of the read-in charge.
¶98 For the reasons set forth, we affirm the decision of the court of
appeals affirming the circuit court's order denying the defendant's
motion to withdraw his guilty plea.
By the Court.—The decision of the court of
appeals is affirmed.
¶99 LOUIS
B. BUTLER, JR., J. (concurring).
I respectfully concur with the majority's mandate affirming the circuit
court's order denying Straszkowski's motion to withdraw his guilty plea. However, I write separately because I
disagree with the majority's ruling "withdraw[ing] language in the case
law that may be read as intimating that when a charge is read in a defendant
must admit or is deemed to admit the read-in charge for sentencing
purposes." Majority op., ¶95.
I also disagree with the majority's related admonitions that
circuit courts "should not deem a defendant's agreement to have a charge
read in for consideration at sentencing and dismissed on the merits to be an
admission of guilt of the read-in charge for purposes of sentencing," and
that "prosecuting attorneys, defense counsel, and circuit courts should
hereafter avoid . . . the terminology 'admit'
or 'deemed admitted' in referring to or explaining a defendant's agreement to
read-in charges."
¶100 A defendant's admission or acknowledgement of wrongdoing is an essential part of the read-in process. If a defendant who committed a crime has not acknowledged what he or she did wrong, why should the defendant benefit from having the charge dismissed with prejudice? On the flip side, an innocent criminal defendant should not be held responsible and accountable for conduct that may have been committed by someone else.
I
¶101 Straszkowski's petition for review in this case presented a single
issue: whether the trial court erred in
denying Straszkowski's motion to withdraw his guilty plea on his assertion his
plea was not knowingly and intelligently entered due to his lack of knowledge
regarding the effect of a read-in offense.
However, the majority has turned this case into a unilateral referendum
on the propriety of acknowledging the role of admissions in read-in procedures,
despite any party having raised such an issue.
This issue becomes the focus of the majority opinion, which ultimately
undercuts the long-standing tradition of treating read-ins as admissions under
A
¶102 The read-in procedure at issue in this case, although unique to
¶103 A defendant's agreement to have his or her read-in crimes considered by a sentencing court is governed by Wis. Stat. § 973.20(1r), which requires all sentencing courts to either order restitution or explain why no such order is issued. See State v. Borst, 181 Wis. 2d 118, 122, 510 N.W.2d 739 (1993);[69] State v. Canady, 2000 WI App 87, ¶7, 234 Wis. 2d 261, 610 N.W.2d 147. With every read-in case consequently beginning as a presumptive restitution case, a defendant's agreement to have his or her crimes considered for such purposes sends a message to the victim that the person who committed those crimes has acknowledged responsibility for his or her criminal conduct.
¶104 Although it has been well established in
¶105 It is during the next step in every read-in process that admissions
become significant. In addition to being
allowed to consider read-in charges for limited sentencing considerations,
sentencing courts are also under a statutory mandate to consider restitution,
either ordering the read-in defendant to pay restitution to the victim or
explaining why such an order is not issued.
¶106 In recognition of the fact that the primary purpose of restitution
is to compensate victims, not punish defendants, courts are required "to
construe the restitution statute 'broadly and liberally in order to allow victims
to recover their losses as a result of a defendant's criminal
conduct.'" State v. Madlock,
230
B
¶107 The majority focuses on the definition of "read-in crime"[70] in our state's criminal restitution statute, Wis. Stat. § 973.20(1g)(b), without addressing how that definition functions together with the substantive provisions of the statute. By interpreting subsection (1g)(b)'s definition of "read-in crime" without reference to related statutory provisions describing the substantive function of read-in acknowledgments in the restitution process, the majority fails to heed the rule that "[w]hen construing a statutory provision, the entire section and related sections of the statute should be considered," Sweat, 208 Wis. 2d at 416, and consequently misses much of the point of § 973.20.
¶108 There are many pertinent provisions of Wis. Stat. § 973.20, including those both immediately preceding and following subsection (1g)(b)'s read-in definition, that the majority fails to consider, and which illustrate the nature of a read-in acknowledgement as an admission. For example, the subsection immediately preceding the read-in definition defines a "crime considered at sentencing" as "any crime for which the defendant was convicted and any read-in crime." § 973.20(1g)(a)(emphasis added). Subsection (1r) then provides the explicit link between read-ins and restitution, mandating that:
[w]hen imposing sentence or ordering probation for any crime . . . the court, in addition to any other penalty authorized by law, shall order the defendant to make full or partial restitution under this section to any victim of a crime considered at sentencing [i.e., including read-in crimes. See subsection (1g)(a)] . . . unless the court finds substantial reason not to do so and states the reason.
(Emphasis added.) The statute then proceeds to describe the
procedural requirements for issuing restitution, including the mandatory
consideration of such factors as the "amount of loss suffered by any
victim as a result of a crime considered at sentencing."
(5) In any case, the restitution order may require that the defendant do one or more of the following:
(a) Pay all special damages, but not general damages,
substantiated by evidence in the record, which could be recovered in a civil
action against the defendant for his or her conduct in the commission of a
crime considered at sentencing.
(Emphasis added.)
¶109 This description of a defendant's actions being acknowledged as his or her conduct in the commission of a crime by virtue of their having been considered at sentencing illustrates the nature of a read-in agreement as an admission. It is inconsistent with both common sense and the plain language of this statute to conclude, as the majority's approach requires, that a defendant's agreement to have a sentencing court consider "his or her" "conduct in the commission of a crime" does not necessarily include an implicit admission that such criminal conduct by the defendant actually existed. The reason for this is clear; a criminal defendant should not be held responsible and accountable for conduct committed by someone else. Such a ruling would have the practical effect of allowing the real criminals to remain free to perpetrate other offenses on the unwitting public.
¶110 The role of deemed admissions may appear to be relatively insignificant in read-in cases such as this one where restitution was not ordered and an admission therefore was not required for the remaining sentencing considerations. However, a defendant's admission is a pertinent part of the read-in process as long as Wis. Stat. § 973.20(1r)'s restitution mandate, which applies to all read-in cases, remains pending in a case. Before restitution may be ordered, § 973.20 requires that:
a causal nexus must be established between the "crime considered at sentencing," Wis. Stat. § 973.20(2), and the disputed damage. In proving causation, a victim must show that the defendant's criminal activity was a "substantial factor" in causing damage. . . .
As contemplated by the restitution statute, the "crime considered at sentencing" is defined in broad terms. . . . The sentencing court should consider the defendant's "entire course of conduct."
Canady, 234 Wis. 2d 261, ¶¶9-10 (citations omitted)(emphasis added); see also State v. Johnson, 2005 WI App 201, ¶13, 287 Wis. 2d 381, 704 N.W.2d 625 (describing substantial factor proof required for ordering restitution in various ways, including the description that "[p]ut another way, a causal link for restitution purposes is established when 'the defendant's criminal act set into motion events that resulted in the damage or injury"). There is no language in the restitution statute distinguishing read-in crimes from other "crimes considered at sentencing." Either way, a nexus must be drawn between the victim's injury and what is consistently described as the defendant's criminal conduct.[71]
¶111 Once Wis. Stat. § 973.20(1g)(b)'s definition of "read-in crimes" is considered, not in isolation but together with this surrounding statutory language, a plain reading of § 973.20 in its full context clearly indicates that by agreeing to a read-in, a defendant agrees to have his or her criminal conduct considered at sentencing, not just to have some words, devoid of such context and meaning, read out loud by a court. It is further clear that a defendant's agreement that his or her criminal conduct is to be considered must logically entail an implicit admission by the defendant that such criminal conduct by the defendant exists.
¶112 Although the court of appeals correctly observed in State v.
Cleaves, 181 Wis. 2d 73, 80, 510 N.W.2d 143 (Ct. App. 1993), that
sentencing courts are not mandated to obtain an express admission with every
read in, the court suggested a preferred practice for purposes of clarifying
the record: "we suggest that trial
courts in the future ask the defendant if there is an admission to the read-in
charge for purposes of sentencing consideration."
¶113 I agree with the Cleaves court that the best practice is for such clarification to be obtained on the record, by either the defendant's attorney or by the court. It is sufficient to clarify that the defendant has been informed that his or her acknowledgment of read-in charges may be taken as an admission.[72]
C
¶114 The
majority attempts to supplement its analysis with a reference to a Department
of Justice Memorandum[73]
that describes the legislative intent underlying the 1995 amendments to Wis.
Stat. § 973.20
incorporating read-in crimes into the criminal restitution process, including
the new "read-in crime" definition in subsection (1g)(b). However, while providing helpful guidance to
¶115 Rather, the Memorandum expressly describes the legislature's intent
to codify Szarkowitz, which the Memorandum describes as affirming that
"where a defendant agrees to the read-in offenses he is presumed to have
admitted the charges." DOJ
Memorandum at 1-2 (citing Szarkowitz, 157
¶116 The majority does describe the DOJ Memorandum as citing Szarkowitz
and Cleaves as grounds for objecting to proposed legislative language
that would have required a defendant to admit to a read-in offense personally
and specifically. Majority op., ¶82. However, the majority fails to acknowledge
that in rejecting Cleaves' personal admission suggestion as too
confusing in light of the different types of read-in cases that require
admissions to varying degrees (or not at all), the Memorandum expressly
describes the legislature's intent to codify Szarkowitz. Specifically, the Memorandum warns of the
confusion arising from dual processes in which special efforts must be made to
seek personal admissions in only restitution cases where personal admissions
are required. To ward off such confusion, the Memorandum recommends that rather
than go to the extreme of either requiring a personal admission in every case
or ignoring the need for admissions entirely, the restitution legislation be
drafted to change "the 'admits' language to reflect that a personal
admission is not required, as opposed to simply agreeing that the charges be
read-in." DOJ Memorandum at 2
(emphasis added). Thus, to establish a
standard practice appropriate for various scenarios, the Memorandum proposes
the solution eventually enacted by the legislature: the adoption of statutory language
comparable to but less stringent than actual personal admission requirements,
i.e., statutory language defining a read-in crime in part as a
"crime" that the defendant "agrees to" for limited
purposes, thereby codifying Szarkowitz's deemed admission approach to
read-in crimes.
¶117 The legislature, following the DOJ's recommendations, similarly embraced the concept of deemed admissions, as evident in the text of the amended statutory language read in its full context. By including within the definition of "read-in crime" the agreement of a defendant to have his or her uncharged or dismissed crimes considered for limited sentencing purposes, this language of Wis. Stat. § 973.20(1g)(b) complements subsection (5)(a), which describes the restitution paid by defendants as corresponding with "his or her conduct in the commission of a crime." As previously discussed, a defendant's agreement to have the court consider "his or her [criminal] conduct" under Wis. Stat. § 973.20, read as a whole, logically entails a defendant's acknowledgement of the existence of his or her criminal conduct. In this manner, the statutory language suggested by the Memorandum and embraced by our legislature preserves the important role assumed admissions generally play in restitution cases, while alleviating the need for separate personal admissions in every case.
¶118 To the extent the majority recognizes that the legislature adopted the DOJ Memorandum, the majority should defer to the legislature's intent to codify Szarkowitz by spelling out the relationship between read-in crimes and restitution and by describing the read-in agreements in terms of implicit, not express, admissions. The majority does not do so. Rather, the majority contends that because the text of Wis. Stat. § 973.20(1g)(b)'s definition of "read-in crime" does not use the word "admission," then reading that statute together with Austin and "the subsequent cases" leads to the conclusion that Wisconsin's read-in procedure neither requires admissions, nor even allows a circuit court to deem such an admission from a defendant's agreement to have read-in charges considered at sentencing. Majority op., ¶¶91-92.
¶119 Not only does the majority's approach to the read-in process fail to take into account pertinent statutory and case law authority related to the relationships among read-ins, restitution, and admissions, but it also fails to recognize the actual problem which the DOJ and legislature intended to remedy through the new statutory "read-in crime" definition. The DOJ Memorandum exhibits no substantive concerns with the concept of deemed admissions, but rather addresses the procedural problems related to inconsistent applications of admission requirements in read-in cases due to a diminished need for admissions in cases where restitution is not ordered. The Memorandum resolves the procedural problem created by the variation among types of read-in cases and corresponding admission requirements by implementing a standard definition of read-in crimes as crimes acknowledged for sentencing consideration purposes without requiring more explicit admissions in every read-in case.
D
¶120 The majority describes
[The read-in procedure is] a practice in this state, especially in Milwaukee, of charging a multiple offender with two or more offenses for which the evidence is most conclusive and bringing the judge's attention to additional uncharged offenses prior to sentencing. Upon agreement between the state and the accused, the judge may take these offenses into consideration and the prosecution agrees not to prosecute. It is expected the uncharged crimes will influence the length of the sentence for the crime or crimes the defendant has been found guilty of or to which he has plead guilty. The advantage of this technique to the accused is that he can clean his slate of several uncharged crimes with the safety of only receiving at the most the maximum sentence on the one or two crimes of which he is convicted.
Austin, 49
to allow the judge to consider unproven offenses so that, should the state later attempt to prosecute him, he could successfully assert the defense of double jeopardy. . . . [U]nder this agreement [a judge cannot], under any circumstances, sentence him for the proven crimes to a term longer than that permitted by statute.
State v. Smith,
45
¶121 Austin
also identifies Wisconsin's read-in procedure as akin to the long-standing
English practice of "taking into account" uncharged offenses at the
request of the accused, while not issuing a conviction for such (read-in)
offenses. Austin, 49
¶122 The
majority then misidentifies the 1990 court of appeals Szarkowitz
decision as the turning point at which Wisconsin courts began recognizing
read-in acknowledgements as deemed admissions. See
majority op., ¶69. The recognition that a read-in agreement is
in and of itself a type of presumptive admission did not originate with Szarkowitz's
holding that "when a defendant agrees to crimes being read in at the time
of sentencing, he makes an admission that he committed those crimes." Szarkowitz, 157
¶123 This court also explained the role that admissions play in read-in
restitution cases in Garski v. State, 75 Wis. 2d 62, 248 N.W.2d 425
(1977). In that case, this court
contrasted an older restitution statute which had required defendants either to
have been convicted or to have "freely admit[ted]" their wrongs
before restitution could apply with the new restitution statute, Wis. Stat.
§ 973.09(1), under which requirements were relaxed, allowing restitution
where "reasonable and appropriate."
¶124 In addition, the cases interpreting Wis. Stat. § 973.20 illustrate that it is because a defendant pays restitution for those injuries arising from "his or her conduct in the commission of a crime" that some sort of acknowledgement of those crimes must usually be made prior to restitution.[76] Perhaps being overly focused on the case before it which does not involve a restitution order,[77] the majority suffers from a bad case of tunnel vision which prevents it from seeing the important role admissions generally play in read-in cases as a result of statutorily required restitution considerations.
¶125 Furthermore, the majority relies on an alleged conflict between
¶126 Contrary to the majority's suggestions,
¶127 In Cleaves, the court of appeals interpreted these passages
from Austin and Szarkowitz as indicating that a read-in
constitutes an admission: "when a
defendant agrees to the read-in, he or she admits that the crimes occurred." Cleaves, 181
¶128 Cleaves further explains that this process of deeming admissions from read-in agreements is a natural extension of deeming restitution amounts from a defendant's failure to object to them. Cleaves highlights the following passage from Szarkowitz which explains the parallels between a court's ability to assume that read-in crimes not objected to are admitted, and its corresponding ability to assume that restitution amounts not objected to are similarly admitted:
The use of the word "stipulate" in sec. 973.20(13)(c) does not imply a requirement of a formal written stipulation, signed by the defendant, as to the amount of restitution claimed. We hold that, in the absence of any objection to amounts claimed on a court-ordered restitution summary accompanying a presentence investigation, where a defendant has been given notice of the contents of that report and summary, the trial court is entitled to proceed on the understanding that the claimed amount is not in dispute, and so order restitution under sec. 973.20(13)(c).
Szarkowitz,
157
¶129 These cases clearly describe the parallel relationship between admissions and objections at the initial read-in stage and at the restitution hearing stage, with a failure to object to either read-in crimes or restitution amounts potentially sufficing as a deemed admission of the crime, in the one case, or the restitution amount in the other. However, the majority maintains that, contrary to the interpretation of Cleaves' (and the DOJ's) description of Austin, Austin describes the read-in process as requiring that a defendant must make an additional express admission during the read-in process, beyond merely agreeing to have the read-in crimes considered. Majority op., ¶66.
¶130 The majority does acknowledge that Austin leaves open the
possibility that, as cases interpreting Austin have explained, a
defendant's admission may be deemed from the defendant's agreement to have the
read-in charges considered. Majority op., ¶72. However, the majority also rejects that
interpretation, concluding that Austin's description of read-in
agreements in terms of admissions must have been referring only to express, not
assumed, admissions because Austin, a decision cited by Austin (Pulaski
v. State, 23 Wis. 2d 138, 126 N.W.2d 625 (1964)), and another read-in case
we have discussed (Gerard, 57 Wis. 2d 611) contained procedural
histories mentioning actual admissions by defendants. Majority op., ¶¶63-67, 91-92.
Therefore, the majority appears to conclude,
¶131 In its description of
¶132 This passage from Szarkowitz, as well as the original
language in
¶133 Second, the language in Szarkowitz is clear on its face. The statement that when a defendant agrees to
read-in "he makes an admission" is purely descriptive, not
proscriptive, language. If it had the proscriptive
meaning urged by the majority, i.e., describing what a defendant must do
during the read-in process as opposed to describing a read-in agreement as
itself being an admission, Szarkowitz would have stated that when a
defendant agrees to have charges read-in, he must also make an explicit
admission of guilt.
¶134 Szarkowitz simply does not contain such language. After identifying the legislative intent of Assembly Bill 467 as the codification of Szarkowitz, the DOJ Memorandum aptly explains:
As stated in Szarkowitz, "When a defendant
agrees to the crimes being read in at sentencing, he makes an admission that he
committed those crimes." Szarkowitz,
157
DOJ Memorandum at 1-2 (emphasis added).
¶135 Similarly, nothing in
¶136 Nor should
¶137 Consequently, the existence of an actual admission in the background
facts of any given case does not translate to a rule requiring that all
read-in cases involve such an actual admission.
The only reasonable reading of
¶138 The
majority acknowledges that recent cases have described the read-in procedure as
involving either deemed or actual admissions.
See majority op., ¶89 (citing State v. Lackershire, 2007
WI 74, ¶27 n.7, 301 Wis. 2d 418, 734 N.W.2d 23; State v. Martel, 2003 WI
70, ¶26, 262 Wis. 2d 483, 664 N.W.2d 69; State v. Floyd, 2000 WI 14, ¶25,
232 Wis. 2d 767, 606 N.W.2d 155).
However, the majority's subsequent description of these cases as being
in conflict with each other, to the point of calling into question the entire
practice of deeming admissions from read-in agreements, is unfortunately
overstated.
¶139 Rather,
each of these three cases describes read-ins as admissions. Floyd explicitly describes read-ins in
such terms, as the majority acknowledges by quoting Floyd's language
that "read-ins constitute admissions by the defendant to those
charges." Majority op., ¶89
(quoting Floyd, 232
¶140 In another attempt to identify conflict among read-in cases, the majority cites Robinson v. West Allis, 2000 WI 126, ¶42, 239 Wis. 2d 595, 619 N.W.2d 692, and describes that case as holding that read-ins "are not otherwise treated as adjudications of guilt." Majority op., ¶90. Robinson, however, is not inconsistent with the other read-in cases. Adjudication of guilt is not the same thing as a voluntary admission of one's criminal conduct for read-in purposes.
¶141 The majority ultimately concludes that the role of admissions in read-in cases is too confusing to allow courts and attorneys to even mention admission in reference to read-in procedures. However, while claiming such an irreconcilable conflict exists, the majority has failed to point to a single case that holds that personal admissions are expressly required; that holds that read-in agreements are not deemed admissions; or that in any way implies that no type of admission, either express or implicit, is required in the read-in process, as the majority concludes.
¶142 It may be true that not every read-in case discusses read-in
admissions in exactly the same way, largely because of the varying degree to
which restitution may or may not be considered in a given case. For example, Cleaves and Szarkowitz
both involved actual restitution orders, making it more necessary for the
decisions in those cases to spell out the exact nature of the admission
required as a prerequisite in such cases. In cases such as
¶143 What is consistently described in our statutes, legislative history and case law, however, is that in all read-in cases, admissions are to some degree a part of the process. Furthermore, those cases and statutory provisions addressing restitution specifically make it clear that by acknowledging that one's criminal conduct may be considered for read-in purposes, as required for restitution, a read-in defendant is admitting that such criminal conduct exists.
¶144 Consequently, I am not troubled by some decisions discussing the role of deemed read-in admissions more explicitly than others, considering the fact that not all cases involve restitution orders. I also accept without any trouble our legislature's chosen accommodation of such variety through a path that grants sentencing courts the flexibility necessary to accommodate different types of read-in cases with correspondingly different degrees of admission requirements for restitution purposes.
¶145 The majority, on the other hand, seems surprisingly troubled by the variation among cases, which overwhelmingly apply the same broad principles to different sets of facts, as is standard in any area of the law. The majority does not recognize that any variation in read-in cases is largely one of emphasis and different factual backgrounds; the cases are consistent in their recognition of read-in acknowledgements as admissions of one's criminal conduct, as described by Wis. Stat. § 973.20.
¶146 By instead focusing on isolated cases and statutory language read out of their full context, the majority appears to have missed the critical role that criminal accountability and acceptance of responsibility play in the history of the read-in procedure. Our state did not establish read-in procedures for the purpose of creating just another negotiation chip and bargaining tool for case settlement. To the contrary, our legislature has explicitly described read-in as part of the restitution process, and consequently, a method of allowing defendants to compensate victims for acknowledged criminal conduct without having those crimes fully adjudicated. See especially Wis. Stat. § 973.20(5)(a) (specifying that restitution orders may require a defendant to pay special damages that could be recovered in a civil action "against the defendant for his or her conduct in the commission of a crime considered at sentencing")(emphasis added). This is not just an important principle for general purposes of ensuring constitutional justice, but it is a policy the legislature explicitly endorsed, and which therefore should not be undermined by this court.
II
¶147 I have set forth the reasons why I disagree with the majority's analysis. I now return to the reason I concur: I agree with the majority's conclusion that Straszkowski has failed to demonstrate any manifest injustice resulting from the circuit court's refusal to let him withdraw his plea.
¶148 Straszkowski argues that under either a Bangert or a Nelson/Bentley
analysis, his plea was not knowingly and intelligently entered because the
circuit court failed to notify him of the effects of the read-in offense during
the plea bargain. See also
majority op., ¶30; State
v. Bentley, 201
¶149 However, the circuit court expressly ruled that it was not deeming the read-in offense an admission or awarding restitution. In addition, informing a defendant that admissions may be deemed is not informing a defendant of an "effect," but is rather a description of a general precondition for granting restitution. The actual effects of agreeing to read-in charges were clearly explained and consented to, as evidenced by the plea questionnaire and waiver of rights form signed by Straszkowski, indicating that he understood "that if any charges are read-in as part of a plea agreement they have the following effects," followed by an accurate description of the ways in which read-in charges may affect sentencing, restitution and future prosecution. Furthermore, as the State correctly points out, "[i]t is simply not credible that Straszkowski knew that the court could take his conduct in committing the read-in sexual assault into consideration at sentencing, in other words assume his guilt for that offense, [while at the same time did not know] that agreeing to a read-in involved an admission of guilt for that offense."
¶150 This case parallels Garski with respect to the issue of
whether the circuit courts in each case failed to inform defendants about the
effect of their read-ins. In this case,
Straszkowski argues that the circuit court erred in not informing him it could
deem his read-in charges admitted at sentencing. In Garski, the defendant had similarly
argued that the trial court never informed him that it could order
restitution. See Garski,
75
¶151 In this case, Straszkowski received more information about the effects of read-ins than the defendant in Garski, even conceding he was told that he could be ordered to pay restitution for the read-in crime. If under Garski we concluded that less information was adequate, the information given to Straszkowski in this case, which described the effects of read-in in the context of restitution, was adequate as well.
¶152 As such, any error in this case was harmless. Under Wis. Stat. § 805.18(2), we will not reverse the judgment of a
circuit court unless an examination of the record reveals that the error was
not harmless, but had affected the defendant's substantial rights. We
determine whether there has been harmless error by looking at the totality of
the circumstances. State v. Harris,
2008 WI 15, ¶48, ___
III
¶153 In sum, I concur with the majority's affirmation of the circuit court's order denying Straszkowski's motion to withdraw his guilty plea, due to Straszkowski's failure to establish any prejudicial error or manifest justice resulting from the circuit court's denial of his plea withdrawal request. However, I strongly disagree with the majority's statement and related analysis that circuit courts "should not deem a defendant's agreement to have a charge read in for consideration at sentencing and dismissed on the merits to be an admission of guilt of the read-in charge for purposes of sentencing," and that "prosecuting attorneys, defense counsel, and circuit courts should hereafter avoid . . . the terminology 'admit' or 'deemed admitted' in referring to or explaining a defendant's agreement to read-in charges." Majority op., ¶¶92, 94.
¶154 I also respectfully but strongly disagree with the majority's ruling
that "withdraw[s] language in the case law that may be read as intimating
that when a charge is read in a defendant must admit or is deemed to admit the
read-in charge for sentencing purposes."
Majority op., ¶95. The history of Wisconsin read-in law
reflects a consistent recognition by all three branches of our state government——represented by our courts,
the legislature, and the Department of Justice, who have all weighed in on this
issue——that an
agreement to have one's crimes read in may be interpreted as an admission of
those crimes. It is unclear how the majority's opinion will affect our state's
longstanding traditions and precedents related to read-in procedures. In the end, however, we remain constrained by
the legislative mandates of Wis. Stat. § 973.20
which clearly describe restitution in terms of a defendant's payment for his or
her criminal conduct, which the defendant necessarily acknowledges by virtue of
agreeing to the sentencing court's consideration of his or her crimes. A defendant, quite simply, cannot agree that
his or her conduct in the commission of a crime may be considered without
clearly implying (and thereby implicitly admitting) that such conduct existed
in the first place. The majority,
unfortunately, insists on such a semantic distinction, contrary to
¶155 We should not send the message to victims that those who injured them can pay off their crimes monetarily without ever acknowledging responsibility for their actions. It would be anathema to our system of justice and truth-seeking to eliminate the requirement that a person either be proven guilty or acknowledge one's criminal conduct before paying a victim restitution for that crime.
¶156 For the foregoing reasons, I respectfully concur.
¶157 I am authorized to state that Justice ANNETTE KINGSLAND ZIEGLER joins this concurrence.
[1] State v. Straszkowski, No. 2006AP64-CR, unpublished slip op. (Wis. Ct. App. Sept. 12, 2006).
[2] All further references to the Wisconsin Statutes are to the 2003-04 version unless otherwise indicated.
[3] "When a guilty plea is
not knowing, intelligent, and voluntary, a defendant is entitled to withdraw
the plea as a matter of right because such a plea violates fundamental due
process." State v. Brown, 2006
WI 100, ¶19, 293
[4] In the present case, the defendant does not assert that the plea was entered into involuntarily.
[5] The concurrence
concludes that a defendant's agreement to read in a charge for consideration at
sentencing may be deemed an admission of guilt of the read-in charge for
sentencing purposes. Concurring op., ¶1. The concurrence also seems to conclude that
the circuit court has no plea colloquy duties with respect to the defendant's
deemed admission of guilt, although the concurrence opines that the "best
practice" is for the circuit court to inform the defendant about the
admission.
[6] The form is Form CR-227 adopted by the Judicial Conference pursuant to Wis. Stat. §§ 971.025 and 758.18(1).
[7] "During the course
of a plea hearing, the [circuit] court must address the defendant personally
and . . . (2) Ascertain whether any promises . . . were made in connection
with the defendant's anticipated plea . . . ." Brown, 293
WIS JI——Criminal SM-32, which has been cited repeatedly with approval by this court and which this court has urged circuit courts to follow, states: "If there is a plea agreement, put it on the record and establish the defendant's understanding of the agreement."
[8] Although both the dismissed sexual assault charge and the dismissed worthless check charge were read in for sentencing purposes, the defendant did not challenge the circuit court's read-in of the dismissed worthless check charge. There is no evidence in the record that the circuit court considered the dismissed worthless check charge when sentencing the defendant.
Before this court, the defendant similarly limits his challenge to the circuit court's read-in of the dismissed sexual assault charge.
[9] The record indicates that each of these charges was later dismissed.
[10] State v. Lackershire,
2005 WI App 265, ¶15,
288
[11] State v. Lackershire,
2007 WI 74, ¶28 n.8,
301
[12]
[13]
[14] State v. Thomas,
2000 WI 13, ¶16, 232
[15] Brown, 293
[16] Lackershire, 301
[17]
[18] We accept the defendant's assertion that he did not understand his agreement to have the sexual assault charge read in and considered for sentencing purposes to be an admission that he was guilty of the read-in charge. Trial defense counsel acknowledged at the postconviction hearing that he did not explain the read-in agreement to the defendant as constituting an admission of guilt and further acknowledged that the defendant consistently denied that he was guilty of the read-in charge. The record also shows that the defendant never made any statement, or agreed to any statement, suggesting that the read-in charge was an offense that the defendant had actually committed. Furthermore, at the sentencing hearing the defendant stated, through his counsel, that he was innocent of the read-in charge.
[19] State v. Howell, 2007
WI 75, ¶2, 301
[20] State v. Leitner,
2002 WI 77, ¶45, 253
See also State v. McQuay, 154
[21] At the hearing on the defendant's motion to withdraw his plea, the circuit court again explained that it had not looked to the read-in charge or the charges pending in another county "as things that definitively happened," but that the court was rather "looking at those matters as [the defendant] continually placing himself in a situation where he is associating with underage persons sufficiently that they know who he is and for some reason would make these types of allegations against him."
The
defendant also argues that although the circuit court acknowledged that the
defendant denied guilt of the read-in charge, the court identified this denial
as a factor weighing in favor of more severe punishment. The defendant appears to suggest a relationship
between the circuit court's acknowledgment that "[t]here is some
denials [sic] with regard to the read-in" and the court's immediately
preceding discussion of the defendant's "blame-shifting issues."
The record does not bear out the defendant's claim. The transcript is clear that the circuit court did not adduce the defendant's protestation of innocence in regard to the read-in charge as an instance of blame-shifting. In discussing the defendant's blame-shifting issues, the court cited the presentence investigation, which criticized the defendant for attempting to shift moral blame and responsibility to the victim of the sexual assault to which the defendant pled guilty. The circuit court's discussion of blame-shifting very clearly regarded the defendant's failure to accept moral responsibility for the conduct that resulted in the defendant's conviction, not the defendant's failure to admit guilt to charges of which the defendant was not convicted.
[22] Garski v. State, 75
[23]
[24]
[25] Garski, 75
[26]
[27] Cleaves, 181
[28]
[29] Whether alleged deficiencies in the plea colloquy establish a violation
of the circuit court's mandatory duties at a plea hearing is a question of law
that we review independently of the circuit court and court of appeals but
benefiting from those courts' analyses. Brown, 293
[30] Brown, 293
[31] Leitner, 253
[32] In a Nelson/Bentley
argument, a defendant's challenge to a guilty plea is based not on the
inadequacies of the plea colloquy, but instead on factors extrinsic to the plea colloquy. At a non-Bangert postconviction
hearing, the defendant has the burden to prove by clear and convincing evidence
that his or her plea was not entered knowingly, intelligently, and
voluntarily. Hampton, 274
[33] We use the term
"read-in charge" interchangeably with the terms "read-in
offense" and "read-in crime."
Our decisions traditionally have referred both to "read-in
charges" and "read-in offenses" without drawing a distinction
between these two terms. See Lackershire,
2007 WI 74, 301 Wis. 2d 418, 734 N.W.2d 23; State v. Martel,
2003 WI 70, 262 Wis. 2d 483, 664 N.W.2d 69; Robinson v. City
of West Allis, 2000 WI 126, 239 Wis. 2d 595, 619 N.W.2d 692; State v. Floyd,
2000 WI 14, 232 Wis. 2d 767, 606 N.W.2d 155; In Interest of
R.W.S., 162 Wis. 2d 862, 471 N.W.2d 16 (1991); Austin v.
State, 49 Wis. 2d 727, 183 N.W.2d 56. Some decisions also use the term
"read-in crime" without distinguishing this term from "read-in
charge" or "read-in offense."
See Robinson, 239
The defendant's read-in agreement in the present case
was phrased as an agreement to read in a "charge." The defendant's Plea Questionnaire/Waiver of
Rights form (Form CR-227, the standard form used in
The legislature has chosen to employ the term
"read-in crime." See
[34] Austin v. State,
49
[35]
[36]
[37]
[38] Pulaski v. State, 23
Pulaski's brief stated that the court demanded that Pulaski provide "full and open disclosure" involving the uncharged offenses in order to avoid facing "the maximum sentence in each case consecutively." The State's brief in Pulaski further asserted that Pulaski had "admitted his involvement" in the uncharged burglaries to the police.
[39] Austin, 49
According to the
When the defendant has asked that other crimes admitted in open court be taken into account when he is sentenced and the Court has not rejected such request, the sentence shall bar the prosecution or conviction of the defendant in this state for any such admitted crime.
Austin, 49
Model
Penal Code § 7.03(4) (1985) provides that a court may sentence a convicted
felon to an extended term of imprisonment if it finds that the defendant
"is a multiple offender whose criminality was so extensive that a sentence
of imprisonment for an extended term is warranted." Section 7.03(4) additionally provides that
the court may not make such a finding unless certain conditions obtain,
including the condition that "the defendant admits in open court the
commission of one or more felonies and asks that they be taken into account
when he is sentenced."
Model Penal Code § 7.04(4) (1985) establishes a similar procedure for convicted misdemeanants.
[40] Austin, 49
[41]
[42] State v. Gerard,
57
[43]
[44]
[45]
[46] State v. Szarkowitz,
157
[47]
[48]
[49] Szarkowitz, 157
[50] Cleaves, 181
[51]
[52]
[53]
[54]
[55] Martinkoski v. State,
51
[56] Martinkoski, 51
[57] See the State's brief in Martinkoski at App. 101-02.
[58] Embry v. State,
46
[59] 1995 A.B. 467, § 3,
LRB-0353/1 (emphasis added).
The
Legislative Reference Bureau analysis appearing on the bill's first page
further stated that "[r]ead-in crimes are crimes that are not charged, but
they are crimes that the defendant admits to and that the court considers when
sentencing the defendant."
The analysis also states that the bill was intended to codify the court of appeals' holding in Szarkowitz that courts may require a convicted criminal defendant to pay restitution to the victim of a read-in crime. Analysis by the Legislative Reference Bureau, 1995 A.B. 467, LRB-0353/1.
[60] See Correspondence/Memorandum: Department of Justice, Aug. 11, 1995, in
Bill Drafting File 1995 Wis. Act 141 (available at Wis. Legislative
Reference Bureau,
[61] Assembly Amendment 1 was offered by the Assembly Judiciary Committee.
[62] Assembly Amendment 1 to 1995 A.B. 467.
[63] The Robinson
court quoted
[64] Robinson, 239
[65] Cleaves, 181
[66] Austin, 49
[67]
[68] State v. Floyd,
2000 WI 14, ¶25, 232
[69] State v. Borst,
181
[70] The majority refers to
"read-in crime," "read-in offense," and "read-in
charge" interchangeably. Majority
op., ¶57 n.33. Such terminology does not fairly reflect the
legislature's intent, in choosing the phrase "read-in crime," to
clarify that the subject of a defendant's read-in agreement is not just a
"charge" typed out on a form, but is the actual criminal conduct
by that defendant which the defendant agrees to have considered for limited
sentencing and restitution purposes. See
1995
[71] These provisions answer any
suggestion from the majority that a deemed admission may be too fictitious in
nature to serve a proper foundation for restitution. As these additional statutory provisions
illustrate, the read-in agreement is only the first step in the process under
Wis. Stat. § 973.20;
subsequent steps require additional admissions or proof, e.g., of a nexus
between the defendant's criminal conduct and the victim's injury, and of the
restitution amount. See also Garski v. State,
75
[72] Prior to the read-in proceeding, attorneys for read-in defendants have a mandate of ensuring that their clients understand the nature and consequences of the agreements they make in court. The opening preamble of our Rules of Professional Conduct for Attorneys, SCR ch. 20, emphasizes the fundamental principle that a primary responsibility of an attorney is that of an advisor who must "provide[] a client with an informed understanding of the client's legal rights and obligations and explain[] their practical implications." SCR ch. 20 Preamble at [2](2007). See also SCR 20:1.4(b)("A lawyer shall explain a matter to the extent reasonably necessary to permit the client to make informed decisions regarding the representation."). Notably, Straszkowski does not allege a violation of these rules or ineffective assistance of counsel in this case.
[73] Drafting File, 1995
[74] The Memorandum concludes: "DOJ should support the proposed bill with the suggested changes. First, allowing for dismissed read-in charges to be considered for restitution. Second, to change the 'admits' language to reflect that a personal admission is not required, as opposed to simply agreeing that the charges be read-in." DOJ Memorandum at 2.
[75] Thus, admissions play a dual role in read-in cases, which (1) must always establish general grounds for restitution in the form of a defendant's acknowledgment of the sentencing court's consideration of his or her criminal conduct (i.e., the criminal conduct the defendant engaged in), which courts may deem to be the equivalent of an admission for sentencing and restitution purposes; and (2) only in some cases, for example where the record alone does not clearly establish the restitution amount, require a more express personal admission of the grounds for and/or amount of restitution.
[76] See Wis. Stat. § 973.20(5)(a); State v. Johnson, 2005 WI App 201, ¶13, 287 Wis. 2d 381, 704 N.W.2d 625; State v. Canady, 2000 WI App 87, ¶9, 234 Wis. 2d 261, 610 N.W.2d 147.
[77] This would not be a problem if the majority's decision focused on the narrow issues presented by this case, rather than issuing a sweeping ruling that affects all read-in cases, and most detrimentally affecting those involving restitution orders.