2010 WI 88
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Supreme Court of |
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Case No.: |
2007AP2827-CRAC |
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Complete Title: |
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State of Plaintiff-Appellant, v. Corey Kleser, Defendant-Respondent-Petitioner. |
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REVIEW OF A DECISION OF THE COURT OF APPEALS 2009 WI App 43 Reported at: 316 (Ct. App. 2009-published) |
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Opinion Filed: |
July 16, 2010 |
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Submitted on Briefs: |
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Oral Argument: |
November 11, 2009
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Source of Appeal: |
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Court: |
Circuit |
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County: |
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Judge: |
Mary E. Triggiano
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Justices: |
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Concurred: |
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Concur & Dissent: |
BRADLEY, J., concurs in part/dissents in part (opinion filed). ABRAHAMSON, C.J., joins concurrence/dissent. |
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Dissented: |
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Not Participating: |
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Attorneys: |
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For the defendant-respondent-petitioner there were briefs
and oral argument by
For the plaintiff-appellant there was a brief by Sally L. Wellman, assistant attorney general, with whom on the brief was J.B. Van Hollen, attorney general.
2010
WI 88
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 in part, reversed in part, and cause remanded.
¶1 DAVID T. PROSSER, J. This is a review of a
published decision of the court of appeals, State v. Kleser, 2009 WI
App 43, 316 Wis. 2d 825, 768 N.W.2d 230, which reversed an
order of the Milwaukee County Circuit Court, Mary E. Triggiano, Judge. The case concerns the "reverse
waiver" procedure for a juvenile who is subject to the exclusive original
jurisdiction of the adult criminal court.
See
¶2 The
defendant, Corey Kleser (Kleser), then 15, was charged in adult court with
first-degree intentional homicide. He
waived his right to a preliminary examination under § 970.032(1).
¶3 Approximately
ten months later, the court conducted a reverse waiver hearing under § 970.032(2) to determine whether the criminal
court should transfer jurisdiction of Kleser's case to juvenile court. At the conclusion of a five-day hearing,
Judge Triggiano entered an order transferring the case to juvenile court.
¶4 As
noted, the court of appeals reversed.
The court of appeals complimented the circuit court on its
"comprehensive and thoughtful decision," Kleser, 316
¶5 Kleser
filed a petition for review raising two issues:
(1) Did the court of appeals correctly interpret Wis. Stat. § 970.032 to require that any evidence concerning the facts of the crime charged be introduced only at the preliminary hearing?
(2) Did the court of appeals improperly conclude that the trial court abused its discretion in deciding to transfer Kleser to juvenile court?
¶6 In granting review, this court directed the parties to address two additional issues:
(3) Whether the trial court erred when it admitted and relied on Dr. Marty Beyer's opinion as to the truthfulness of hearsay statements.
(4) Whether the trial court erred when it considered the full testimony of Dr. Beyer, but prohibited the state's psychological expert witness from interviewing Kleser regarding the facts of the relevant incidents prior to the reverse waiver hearing.
¶7 We
conclude, first, that a juvenile has a right to a reverse waiver hearing after
the criminal court finds probable cause to believe that the juvenile has
committed the exclusive original jurisdiction violation or violations of which
he is accused. In a reverse waiver
hearing, the juvenile must prove all elements set out in § 970.032(2)(a), (b), and (c) by a preponderance
of the evidence. If the juvenile fails
to meet his burden of proof, he shall be retained for prosecution in the
criminal court. Thus, the juvenile must
be given reasonable latitude to offer admissible evidence to satisfy his burden
on the three elements. This includes
evidence about the offense, supplementing the facts used to establish probable
cause, to put the offense in context.
The juvenile may not offer evidence in the reverse waiver hearing for
the purpose of contradicting the offense charged. The place to offer evidence for the purpose
of contradicting the offense charged is the preliminary examination.
¶8 Second,
we conclude that the circuit court erred in granting reverse waiver here, for
three reasons: (1) the court substantively relied on inadmissible hearsay
testimony from Dr. Beyer describing the events of the offense; (2) the court
allowed Dr. Beyer to offer inadmissible opinion testimony regarding Kleser's
truthfulness; and (3) the court erroneously prohibited the State's psychologist
from interviewing Kleser regarding the facts of the offense while permitting
Dr. Beyer to testify as a conduit for Kleser's account of the facts of the
offense.
¶9 Finally,
we conclude that remand for a new reverse waiver hearing would not be
appropriate under the facts of this case.
¶10 Consequently,
we affirm the decision of the court of appeals reversing the circuit court
order transferring jurisdiction of this case to the juvenile court, but we
reverse the court of appeals' order remanding the case for a new reverse waiver
hearing, and remand the case to adult criminal court for trial.
I. BACKGROUND AND PROCEDURAL HISTORY
A. Facts
in Criminal Complaint
¶11 On
November 3, 2006, Ronald Adams (Adams) was found dead in his apartment in the
City of
¶12 A
doctor from the Milwaukee County Medical Examiner's Office determined that
¶13 Video
surveillance from the hallway outside Adams' apartment showed that
¶14 Two
days after the body was found, a detective spoke with Kleser's father, Charles,
who said that he had received a phone call from Kleser between 3:00 and 5:00
a.m. the weekend of the homicide. According to Charles, Kleser had called and
asked him for a ride home. When he came
to pick up Kleser, he observed bloodstains on Kleser's clothes, and Kleser admitted
that the blood was not his. Charles
asked if he had killed someone, and Kleser responded yes, that he hit the
victim in the head with a hammer and that the victim owed him money.
¶15 When
questioned by police, Kleser admitted that he killed
B. Procedural
History
¶16 On November 7, 2006, the Milwaukee County
District Attorney's office filed a criminal complaint alleging the facts
outlined above. The complaint charged
Kleser with first-degree intentional homicide.[2] Kleser was held in the Milwaukee County Children's
Court Center. The Milwaukee County
Circuit Court scheduled a preliminary hearing for November 29. Kleser ultimately submitted a Preliminary
Hearing Questionnaire and Waiver form, signed by himself and his attorney. In this form, Kleser declared that he wished
to waive the preliminary examination.
The form states, in part: "I understand that by waiving the
preliminary hearing, I am conceding that the State can establish probable
cause, and that I will be ordered to stand trial." At the November 29 hearing, Kleser
acknowledged that he had signed the form and understood that he was giving up
the right to a preliminary examination.
¶17 Kleser
was later charged with substantial battery[3]
and battery by a prisoner[4]
as a result of an assault he committed in the Children's Court detention center
against another inmate on January 20, 2007.
Kleser also waived his right to a preliminary examination on these
charges.
¶18 On
October 29, 2006, Kleser was 15 years old.
On January 20, 2007, the date of the battery, he was 16 years old. Courts of criminal jurisdiction have exclusive
original jurisdiction over juveniles alleged to have committed a violation of
Wis. Stat. § 940.01,
first-degree intentional homicide, on or after the juvenile's tenth
birthday. See
¶19 Juveniles
whose cases are charged originally in courts of criminal jurisdiction have a
statutory right to a reverse waiver hearing after the criminal court finds
probable cause. In late February 2007,
Judge Triggiano scheduled a reverse waiver hearing for May 24 to determine
whether Kleser's case should be transferred to juvenile court. This hearing was rescheduled twice to
mid-September. On February 28, Kleser
was transferred to the Ethan Allen detention center.
¶20 On
March 27, 2007, the circuit court ordered Kleser to undergo a psychological
examination by the State's expert, Dr. Deborah L. Collins, in preparation for
the reverse waiver hearing, inasmuch as Kleser had engaged his own
psychologist, Dr. Beyer, and met with her in January. Kleser objected on grounds that the
examination violated his right against self-incrimination and that
¶21 On
April 25, 2007, the court held a hearing on Kleser's objection. The State argued that it was entitled to
examine Kleser because Kleser would presumably call Dr. Beyer at the reverse waiver
hearing and it would be unfair to allow the defense to present a psychological
expert while prohibiting the State from doing so. The court thereafter withdrew its order for a
psychological examination, and it asked the State to present case law or
statutory authority allowing it to require Kleser to submit to examination by
the State's psychologist.
¶22 On May
1, 2007, the State moved the court to reconsider on the grounds that (1) Kleser
would waive his privilege against self-incrimination by introducing evidence of
his mental health; and (2) there would be no issue of self-incrimination
because the State would be prohibited from using information gathered at the
reverse waiver hearing in a subsequent criminal proceeding.
¶23 On May
24, 2007, the court held a hearing on the State's motion. The State argued that, if Kleser intended to
present psychological evidence, he opened the door to being examined by the
State's expert. After hearing arguments,
the court allowed the examination.
However, in an effort to protect Kleser's privilege against
self-incrimination, the court ordered that the information be sealed after the
reverse waiver hearing. The court also
permitted defense counsel to be present during the examination.
¶24 The
State then brought a motion challenging the court's decision to permit defense
counsel to be present at the examination.
On July 12, 2007, the court heard arguments on this motion. The State argued that its expert, Dr. Collins,
was unwilling to perform the examination if defense counsel were present,
because defense counsel's presence would compromise the examination. At this hearing, the court ruled that Dr.
Collins could examine Kleser but required that the examination be limited to
the three elements in § 970.032(2)
and not involve discussion of the victim or the events of the alleged offenses.
¶25 On
September 18, 2008, the court began a reverse waiver hearing on both the
homicide and battery by prisoner cases. The court explained that it would be
seeking evidence pertaining to whether (1) if convicted, Kleser could not
receive adequate treatment in the criminal justice system; (2) transferring
jurisdiction to the juvenile court would depreciate the seriousness of the
offenses; and (3) retaining jurisdiction was necessary to deter Kleser or other
juveniles from committing the offenses charged.
These are the elements set out in § 970.032(2).
¶26 The
parties presented extensive testimony at the reverse waiver hearing regarding
Kleser's treatment needs and the issue of deterrence. Both Dr. Beyer and Dr. Collins submitted
assessments of Kleser. The court also
heard testimony from the superintendent of
¶27 Kleser
also presented evidence regarding the seriousness of the offenses. This included testimony of a detective from the
Milwaukee Police Department who recalled what Kleser had told him about Adams,
and an investigator from the State Public Defender's office who testified about
his investigation of Adams. None of this
testimony is at issue in this case and the State does not argue that it was
inappropriately introduced at the reverse waiver hearing.
¶28 The
evidentiary issues in this case focus on Dr. Beyer's testimony regarding the
seriousness of the homicide offense. When Kleser's attorney asked Dr. Beyer,
"Did [Kleser] act out of fear, out of rage, out of anger?" Dr. Beyer
responded: "My opinion of the [homicide] offense as [Kleser] described it
was that it was a rage reaction when he was very fearful." Dr. Beyer then testified to Kleser's account
of the homicide offense:
[T]he night of
this offense Corey reported drinking a huge amount of alcohol and in a drunken
state answering the phone when the victim called and agreeing to pose for him
in order to get money because Corey said he was broke. Corey reported that when he got to the
apartment the usual scenario that he had with the victim unfolded, and he was
surprised when the victim wanted to have sex.
And Corey said that he did not want to, that he just wanted to pose and
leave as he always had in the past.
Corey reported that the victim attacked him
and tried to rape him and that Corey's pants were down around his ankles so
that he couldn't really move and that in the struggle where after the victim
was on top of him, as they struggled, that he felt powerless, that the victim
was choking him and that he felt that he couldn't breathe and that he was going
to pass out, and that he grabbed a hammer and hit the victim until he could get
out of the victim's grasp.
¶29 This account
of the events paralleled the account described in Dr. Beyer's written assessment
of Kleser:
Corey said that night posing nude for the victim started as the same
routine as it had previously. He was
surprised when the victim said he wanted to have sex. Corey said he repeatedly said "No"
and told the victim he was straight.
Corey said the victim jumped on his back, attempting to rape him. Corey said they struggled, and the victim
grabbed him around the neck and pressed him into the dresser. Corey said his pants were around his ankles,
making him unable to move. The victim
was larger and had longer arms so Corey said he could not push him off. Corey said he could not breathe. He thought the victim would kill him. He saw a hammer within his reach and hit the
victim but could not get out of his grasp.
He hit him repeatedly until the victim fell. "I was scared of being raped. Never been scared for my life before. I was going to pass out. I couldn't reach him to hit him. Had to use the hammer. He kept lunging at me. I was defending myself. I was the victim."
¶30 On
November 27, 2007, the circuit court filed a detailed 11-page Decision and
Order granting reverse waiver to juvenile court.[6] The court found that (1) Kleser could not
receive adequate treatment in the criminal justice system; (2) transferring
jurisdiction to the juvenile court would not depreciate the seriousness of the
offenses; and (3) retaining jurisdiction was not necessary to deter Kleser or
other juveniles from committing the charged violations.
¶31 With
regard to depreciating the seriousness of the homicide offense, the court cited
Dr. Beyer's testimony that Kleser "acted out of fear and rage when he
killed Ron Adams." The court cited
at length Kleser's account of the homicide as described in Dr. Beyer's
testimony. The court also relied on
Kleser's statement to police that
Based on the
evidence and the facts and circumstances of this case, I conclude that
transferring jurisdiction to the juvenile court would not depreciate the
seriousness of the offense. Corey Kleser
killed Ron Adams out of rage and fear after Ron Adams tried to assault
Corey. Corey Kleser did not go to Ron
Adam's apartment that evening to kill him. His act was not cold-blooded or
premeditated as we see in many cases in the criminal justice system; rather,
his act stemmed precipitously from the trauma he endured his entire life.
¶32 The State
filed a petition for an interlocutory appeal of the reverse waiver order. It also informed the circuit court that it
would be filing a delinquency petition to preserve juvenile court jurisdiction
before Kleser turned 17. On February 15,
2008, the court of appeals granted leave to appeal.
¶33 The
court of appeals reversed the circuit court's order and remanded with
directions. It first held that Wis.
Stat. § 970.032(2) prohibited the admission of facts
that contradicted those in the criminal complaint. Kleser, 316
¶34 The
court of appeals also addressed the State's argument that the circuit court erroneously
exercised its discretion. It held that
the circuit court erred by substantively relying on Dr. Beyer's hearsay testimony
regarding Kleser's account of the homicide.
¶35 Kleser
petitioned this court for review, which we granted on July 15, 2009.
II. STANDARD OF REVIEW
¶36 The petitioner's
first issue addresses the interpretation of Wis. Stat. § 970.032(2).
Statutory interpretation presents a question of law that we review de
novo. State v. Johnson, 2009 WI
57, ¶22, 318
¶37 The
second issue relates to the circuit court's decision to transfer Kleser from
criminal court to juvenile court. We
review a court's decision to order reverse waiver for an erroneous exercise of
discretion. State v. Verhagen,
198
¶38 The
State challenges several of the circuit court's evidentiary rulings. An appellate court will uphold evidentiary
rulings in the same manner as other discretionary rulings. State v. Walters, 2004 WI 18, ¶¶13-14,
269
III.
DISCUSSION
¶39 This
case requires us to take an in-depth look at the reverse waiver procedure for
juveniles under Wis. Stat. § 970.032(2). In doing so, we are
presented with three overriding questions.
First, what evidence is admissible at a reverse waiver hearing? Second, did the circuit court erroneously
exercise its discretion when it transferred the defendant from criminal court
to juvenile court? Third, is remand for
a new reverse waiver hearing an appropriate course of action in this case? These questions slightly restate the issues
that were argued to the court.
A. History
of
¶40 The
1990s saw significant changes in
¶41 The
JJSC issued its report in January 1995.
The Executive Summary of the report outlined several principles on which
its recommendations were grounded:
The juvenile justice system should be better able to protect the public from violent juvenile offenders.
The system should operate more efficiently through streamlining of processes and improved access to information by entities that work with juvenile delinquents.
Intervention with juveniles should be earlier and more effective to prevent more serious criminal behavior.
The concept of personal responsibility should be expanded and reinforced.
Punishment and sanctions should be better tailored to match the seriousness of the juvenile's offense.
A balance which promotes personal accountability, community protection and rehabilitation should be established.
JJSC Report, supra at 8.
¶42 The
1995 legislature acted on the JJSC Report, adopting a comprehensive revision of
the Children's Code, renaming it the Juvenile Justice Code, and moving it from
Chapter 48 to a new Chapter 938, next to the criminal code. 1995
¶43 Prior
to the 1995 revision, virtually all persons between the ages of 12 and 18 who
violated the criminal law were subject to the delinquency jurisdiction and
procedures of the juvenile court. Before
December 25, 1993, the juvenile code allowed some juvenile offenders to be
waived into adult court. For instance,
the 1991-92 statutes provided in part:
(1) If a child is alleged to have violated s. 940.01 or 940.02 on or after his or her 14th birthday or if a child is alleged to have violated any state criminal law on or after his or her 16th birthday, the child or district attorney may apply to the court to waive its jurisdiction under this chapter . . . [7]
¶44 1993
¶45 New § 48.183
(1993-94) provided:
Jurisdiction over children alleged to have committed assault or battery in a secured correctional facility. Notwithstanding ss. 48.12 (1) and 48.18, courts of criminal jurisdiction have exclusive original jurisdiction over a child who is alleged to have violated s. 940.20 (1) or 946.43 while placed in a secured correctional facility. Notwithstanding subchs. IV to VI, a child who is alleged to have violated s. 940.20 (1) or 946.43 while placed in a secured correctional facility is subject to the procedures specified in chs. 967 to 979 and the criminal penalties provided for those crimes, unless a court of criminal jurisdiction transfers jurisdiction under s. 970.032 to a court assigned to exercise jurisdiction under this chapter.
¶46 New Wis. Stat. § 970.032
(1993-94) read:
(1) Notwithstanding s. 970.03, if a preliminary examination is held regarding a child who is accused of violating s. 940.20 (1) or 946.43 while placed in a secured correctional facility, as defined in s. 48.02(15m), the court shall first determine whether there is probable cause to believe that the child has committed a violation of s. 940.20 (1) or 946.43 while placed in a secured correctional facility, as defined in s. 48.02 (15m). If the court does not make that finding, the court shall order that the child be discharged but proceedings may be brought regarding the child under ch. 48.
(2) If the court finds probable cause as specified in sub. (1), the court shall determine whether to retain jurisdiction or to transfer jurisdiction to the court assigned to exercise jurisdiction under ch. 48. The court shall retain jurisdiction unless the court finds all of the following:
(a) That, if convicted, the child could not receive adequate treatment in the criminal justice system.
(b) That transferring jurisdiction to the court assigned to exercise jurisdiction under ch. 48 would not depreciate the seriousness of the offense.
(c) That retaining jurisdiction is not necessary to deter the child or other children from committing violations of s. 940.20(1) or 946.43 or other similar offenses while placed in a secured correctional facility, as defined in s. 48 02 (15m).
¶47 In sum, 1993
¶48 1995
¶49
938.183 Original adult court
jurisdiction for criminal proceedings. (1) JUVENILES UNDER
(a) A juvenile who has been adjudicated delinquent and who is alleged to have violated s. 940.20 (1) or 946.43 while placed in a juvenile correctional facility, a juvenile detention facility, or a secured residential care center for children and youth or who has been adjudicated delinquent and who is alleged to have committed a violation of s. 940.20 (2m).
(am) A juvenile who is alleged to have attempted or committed a violation of s. 940.01 or to have committed a violation of s. 940.02 or 940.05 on or after the juvenile’s 10th birthday.
¶50 These are the exclusive original jurisdiction provisions that applied to Corey Kleser.
¶51 This brings us to Wis. Stat. § 970.032. At the end of 2006, this statutory section read in full:
Preliminary examination; juvenile under original adult court jurisdiction. (1) Notwithstanding s. 970.03, if a preliminary examination is held regarding a juvenile who is subject to the original jurisdiction of the court of criminal jurisdiction under s. 938.183 (1), the court shall first determine whether there is probable cause to believe that the juvenile has committed the violation of which he or she is accused under the circumstances specified in s. 938.183 (1) (a), (am), (ar), (b), or (c), whichever is applicable. If the court does not make that finding, the court shall order that the juvenile be discharged but proceedings may be brought regarding the juvenile under ch. 938.
(2) If the court finds probable cause to believe that the juvenile has committed the violation of which he or she is accused under the circumstances specified in s. 938.183 (1) (a), (am), (ar), (b) or (c), the court shall determine whether to retain jurisdiction or to transfer jurisdiction to the court assigned to exercise jurisdiction under chs. 48 and 938. The court shall retain jurisdiction unless the juvenile proves by a preponderance of the evidence all of the following:
(a) That, if convicted, the juvenile could not receive adequate treatment in the criminal justice system.
(b) That transferring jurisdiction to the court assigned to exercise jurisdiction under chs. 48 and 938 would not depreciate the seriousness of the offense.
(c) That retaining jurisdiction is not necessary to deter the juvenile or other juveniles from committing the violation of which the juvenile is accused under the circumstances specified in s. 938.183 (1) (a), (am), (ar), (b) or (c), whichever is applicable.
¶52
B. Language
of
¶53 We begin our interpretation of Wis. Stat. § 970.032 with the language of the statute. State ex. rel. Kalal v. Circuit Court for Dane County, 2004 WI 58, ¶45, 271 Wis. 2d 633, 681 N.W.2d 110. Our examination of the language incorporates the statutory history of the section and the statutory history of related sections, as set out in ¶¶39-52, supra, to establish context.
¶54 When
a juvenile under exclusive original jurisdiction is charged with one of the
offenses set out in Wis. Stat. § 938.183(1), the juvenile has a right to a
preliminary examination. The juvenile
may waive that right.
[I]f a preliminary examination is held regarding a juvenile who is subject to the original jurisdiction of the court of criminal jurisdiction under s. 938.183(1), the court shall first determine whether there is probable cause to believe that the juvenile has committed the violation of which he or she is accused under the circumstances specified in s. 938.183(1)(a) [or] (am), . . . whichever is applicable.
¶55 A preliminary examination under § 970.032(1) is different from a preliminary
examination under Wis. Stat. § 970.03(1). Under § 970.03(1),
the statutory purpose of the hearing is to determine "if there is probable
cause to believe a felony has been committed by the defendant." Wis. Stat. § 970.03(1) (emphasis added). The underlying purpose is "to protect
the accused from hasty, improvident, or malicious prosecution and to discover
whether there is a substantial basis for bringing the prosecution and further
denying the accused his right to liberty."
State v. Williams, 198
¶56 In line with the text of § 970.03(1)
and with its underlying purpose, the court need not find probable cause as to
the specific felony charged in the complaint as long as the state
presents enough evidence to establish probable cause to believe that some
felony has been committed by the defendant and that the defendant should be
bound over for trial. See Wittke
v. State ex rel. Smith, 80
¶57 In contrast, under § 970.032(1),
the court must determine whether there is probable cause to believe that the
juvenile has committed "the violation" of which he or she is
accused in the criminal complaint. This
finding is required not only to protect the juvenile from hasty, improvident,
or malicious prosecution, but also to assure that the criminal court has
"exclusive original jurisdiction" of the juvenile by virtue of the
juvenile's probable violation of one of the offenses enumerated in Wis. Stat. §§ 938.183(1)(a), (am), (ar),
(b), or (c). The latter purpose is the
more important purpose under this statute because "[i]f the court does not
make that finding, the court shall order that the juvenile be
discharged," although proceedings may be brought regarding the juvenile
under Chapter 938.
¶58 This
narrow reading of Wis. Stat. § 970.032(1)
creates a pleading problem for the state. In 1993
¶59 Section
§ 938.183(1)(am) includes a juvenile "who is alleged to have
attempted or committed a violation of s. 940.01." Significantly, Wis. Stat. § 940.01(2)
spells out mitigating circumstances.
These are affirmative defenses "which mitigate the offense to
2nd-degree intentional homicide under § 940.05."
¶60 The
problem for the state is that if the court must find probable cause for
the specific offense charged in the complaint, the defendant has a strong
incentive and should have the right to attempt to negate that specific offense
during the preliminary examination——to prevent the state from prevailing on the
specific offense charged, or possibly, to deprive the criminal court of its
"exclusive original jurisdiction."
¶61 Two
examples will illustrate the point. In
this case, the State charged Kleser with a violation of § 940.01(1),
first-degree intentional homicide.
Kleser waived his preliminary examination. If he had not waived his preliminary
examination, he might have tried to introduce evidence of mitigating
circumstances to move the charge from a violation of § 940.01(1) to a
violation of § 940.05.
¶62 In
a preliminary examination under Wis. Stat. § 970.032(1), a defendant
should be able to introduce evidence in an effort to get the charge
reduced. Correspondingly, the state
should be able to amend the complaint to reflect the evidence adduced, if it
desires to do so, rather than lose jurisdiction because it has failed to
establish probable cause of "the violation" charged. See
¶63 It
must be recognized that if the state establishes probable cause to believe that
the defendant has violated either Wis. Stat. §§ 940.01(1) or 940.05, the
criminal court would still have exclusive original jurisdiction over the
juvenile.
¶64 The
second example is more problematic. Suppose
the state charged a juvenile with first-degree reckless homicide.
Wis. Stat. § 940.02(1)
("Whoever recklessly causes the death of another human being under
circumstances which show utter disregard for human life"). This statute is one of the offenses listed in
§ 938.183(1)(am), and the criminal court is given "exclusive original
jurisdiction" over a juvenile charged with this offense if the juvenile
was 10 years old at the time of the offense. In contrast, second-degree reckless
homicide ("Whoever recklessly causes the death of another human
being") is not one of the offenses enumerated in § 938.183(1)(am)
and does not give the criminal court "exclusive original
jurisdiction" over the juvenile.
Hence, if the court were to find probable cause to believe that the
juvenile violated § 940.06 but not § 940.02, the statute would
require the court to "order that the juvenile be discharged," Wis.
Stat. § 970.032(1), subject to a new proceeding under Chapter 938, because
the court did not find probable cause for "the violation" charged and
the state could not amend the charge and still qualify under § 938.183(1)(am).
¶65 The
point is that because the preliminary examination under Wis. Stat.
§ 970.032(1) is quite different from the preliminary examination under
§ 970.03, the defendant must be given some latitude in attacking
the specific offense charged if a successful attack would alter the crime
charged or negate the exclusive original jurisdiction of the criminal court.
¶66 In
this case, the defendant waived his preliminary examination. As a result, the circuit court found probable
cause to believe that Kleser had committed a first-degree intentional homicide
under Wis. Stat. § 940.01(1). We
see no basis for contradicting that finding after the preliminary examination
except at trial. When Kleser waived his
preliminary examination, he conceded the State's right to try him for
first-degree intentional homicide, either in criminal court or in juvenile
court.
¶67 This
brings us to the reverse waiver procedure set out in Wis. Stat.
§ 970.032(2). This procedure gives
a juvenile under adult court jurisdiction an opportunity to prove that notwithstanding
the court's finding of probable cause of the offense or offenses charged, the
juvenile's case should be transferred to juvenile court for disposition. To achieve this objective, the burden is upon
the juvenile to prove by a preponderance of the evidence all three elements
outlined in subsection (2).
¶68 Subsection
(2)(b) requires the juvenile to prove that transferring jurisdiction to
juvenile court "would not depreciate the seriousness of the
offense." This requirement, by its
very nature, suggests that § 970.032(2) permits the juvenile to supplement
the facts offered by the state about the charged offense so that the criminal
court is able to evaluate the "seriousness of the offense" in
considering reverse waiver. Stated
differently, the purpose of permitting additional factual evidence is not to
contradict the previous finding of probable cause for "the violation"
but rather to put the established "violation" in a factual context in
an effort to prove that transferring jurisdiction to juvenile court would not depreciate
the seriousness of that offense.
¶69 Nothing
in § 970.032(2) places a limitation on the evidence at a reverse waiver
hearing so long as the evidence is admissible under the rules of evidence and
is relevant to one or more of the three elements set out in the
subsection. Having said that, it appears
to us that the legislature did not intend the reverse waiver hearing to be a
minitrial. Accordingly, the court has
authority to control the admission of evidence to assure that a juvenile
adheres to the statutory scheme——such as recognition of "the
violation" already established——and to prevent the hearing from consuming
unnecessary time and resources.
¶70 The
State argues that in a reverse waiver hearing, the evidence with respect to
"the seriousness of the offense" should be limited to the specific
facts brought out at the preliminary examination or stated in the complaint. We are unable to agree. State v. Dominic E.W., 218
¶71 In
Dominic E.W., the circuit court ordered reverse waiver on a charge of
battery to a correctional officer.
The State takes issue with the trial court's consideration of the seriousness of the offense. The State seeks to equate all batteries from misdemeanor battery to a battery causing substantial bodily harm as equally serious and exposing vulnerable officers to increased violence. As with the first criterion, the court must decide under the specific facts and circumstances of the case how serious the offense was——whether it was an egregious type of battery, like the "vicious major attack" in State v. Verhagen, 198 Wis. 2d 177, 192-93, 542 N.W.2d 189, 193-94 (Ct. App. 1995), or some lesser type of battery. Again, such weighing of the facts by the trial court is implicit in the reverse waiver statute.
¶72 Dominic
E.W. noted that the determination of seriousness is based on "the
specific facts and circumstances of the case" and that "weighing of
the facts by the trial court is implicit in the reverse waiver
statute."
¶73 We believe Wis. Stat. § 938.18, which sets out the procedure for waiver of a juvenile into adult court, was a model for Wis. Stat. §§ 970.032(2) and supports our interpretation of it.
¶74 As
mentioned previously in ¶¶43-44, supra,
¶75 The
procedure employed and criteria established for waiver into criminal court
under § 938.18 (2007-08) are more detailed than the procedure and criteria
[elements] for reverse waiver to juvenile court under § 970.032(2). Nevertheless, the parallels are too obvious
to ignore.
¶76 First,
§ 938.18(4) (2007-08) requires the juvenile court to determine whether the
petition ("the matter") has prosecutive merit before proceeding to
determine if it should waive jurisdiction.
¶77 Second,
§ 938.18(3) (2007-08) sets out a juvenile's rights at a waiver
hearing. It specifies that the juvenile
has the right to counsel and provides specific notice requirements for the
hearing.
¶78 Third,
Wis. Stat. § 938.18(5) (2007-08) provides more detailed criteria to
consider in determining waiver than is set out in Wis. Stat.
§ 970.032(2). These criteria
include the personality of the juvenile, prior record of the juvenile, adequacy
and suitability of treatment facilities, services, and procedure, and
desirability of trial and disposition of the entire offense in one court.
¶79 Fourth,
§ 938.18(6) (2007-08) requires that the court state its
"finding" with respect to the waiver criteria on the record and waive
jurisdiction "if the court determines on the record that there is clear
and convincing evidence that it is contrary to the best interests of the
juvenile or of the public to hear the case."
¶80 Both
the state and the juvenile are accorded broad latitude to present their
respective positions in a waiver hearing.
In a contested hearing, the state is given the right to "present
relevant testimony," which the court must consider along with "other
relevant evidence" when deciding whether the waiver criteria have been
met.
¶81 We
recognize that Wis. Stat. § 938.18 (2007-08) and Wis. Stat.
§ 970.032(2) address different proceedings. The fact that the legislature included
certain details in § 938.18 that it did not include in § 970.032(2)
gives rise to a plausible inference that it did not intend to include all the
details of one inquiry in the other.
Nonetheless, we think such an interpretation would lead to an
unreasonable result.
¶82 Wisconsin
Stat. §§ 938.18 (2007-08) and 970.032(2) provide for essentially analogous
procedures. The primary distinction
between the two is in the allocation of burden.
The state must prove the case for waiver by "clear and convincing
evidence."
¶83 "Waiver
of juvenile court jurisdiction is a 'critically important' decision that
entails depriving the juvenile and the public of the substantial protections
the juvenile court system provides to the juvenile accused of committing a
crime." T.R.B. v. State, 109
¶84 We
conclude that the juvenile must be given reasonable latitude to offer
admissible evidence for the purpose of meeting his burden to prove the three
elements for reverse waiver under Wis. Stat. § 970.032(2).
This includes evidence of "the violation" or the offense
charged that supplements the facts used to establish probable cause. Stated differently, the defendant may offer
additional factual evidence to put "the offense" in context so that
the court can make an informed judgment on whether transferring the matter to
juvenile court would "depreciate the seriousness of the
offense." However, the juvenile may
not offer evidence for the purpose of contradicting the offense charged because
that offense has already been established in the preliminary examination.
C. Erroneous Exercise of
Discretion
¶85 We
next address whether the circuit court erroneously exercised its discretion in
granting the reverse waiver to juvenile court.
The State points to three different grounds on which the circuit court
erroneously exercised its discretion.
First, it argues that the circuit court substantively relied on hearsay
testimony presented by Dr. Beyer.
Second, it argues that the circuit court erred by permitting Dr. Beyer
to imply that she believed Kleser's account of the offense was truthful. Third, it argues that the circuit court erred
by allowing Dr. Beyer to testify as to Kleser's account of the offense while
prohibiting the State's expert, Dr. Collins, from interviewing Kleser regarding
the offense. The court of appeals held
that the circuit court erred by substantively relying on hearsay, but did not
address the two other issues. Kleser,
316
¶86 We
agree with the court of appeals that Dr. Beyer's testimony regarding the facts
of the offense constituted inadmissible hearsay and that the circuit court
improperly relied upon it. We also hold
that Dr. Beyer's testimony constituted improper vouching testimony. Finally, we hold that the circuit court erred
by allowing Dr. Beyer to testify regarding Kleser's description of the offense
while prohibiting Dr. Collins from interviewing Kleser regarding the offense.
1. Substantive Reliance on
Hearsay
¶87 Kleser
argues that the court of appeals incorrectly held that the circuit court erred
by substantively relying on Dr. Beyer's hearsay testimony. Kleser concedes that "to the extent the
trial court relied upon inadmissible hearsay, it erred." He reasons, however, that this error was
harmless because other evidence in the record supported the circuit court's
conclusion that Kleser acted out of rage and fear when he killed
¶88 The
admissibility of evidence at a reverse waiver hearing is subject to the rules
of evidence. "Chapters 901 to 911
[the rules of evidence] govern proceedings in the courts of the state of
¶89 Wisconsin
Stat. § 972.11(1) also provides that "the rules
of evidence and practice in civil actions shall be applicable in all criminal
proceedings unless the context of a section or rule manifestly requires a
different construction." Nothing in
Wis.
Stat. § 970.032(2)
manifestly requires a different construction.
Against this background, the court of appeals correctly held that "[w]here
a statute does not specifically authorize hearsay, it is generally
prohibited." Kleser, 316
¶90 Because
the general prohibition on hearsay applies to reverse waiver hearings, we
conclude that Dr. Beyer's testimony regarding the facts of the offense
was inadmissible and that the circuit court erred in relying upon it. Dr. Beyer, both in her testimony at the
hearing and in her assessment of Kleser, extensively described the facts of the
offense. Her assessment described the
events of the night, prefacing these events with: "Kleser said . . . "
Her testimony at the hearing regarding the events surrounding the
homicide was in response to Kleser's attorney's request, "if you could
explain what happened that night as far as you understand it." (Emphasis
added.) Thus, Dr. Beyer's testimony was
presented in terms of what actually happened.
Kleser, however, did not take the stand, and there is no suggestion that
Dr. Beyer had personal knowledge of the events.
¶91 We
note that Dr. Beyer used Kleser's description of the offense to formulate her
opinion that Kleser acted out of rage and fear.
An expert may rely on inadmissible evidence in formulating an opinion,
if the evidence is "of a type reasonably relied upon by experts in the
particular field in forming opinions or inferences upon the subject."
¶92 Kleser
appears to argue that admission of this hearsay evidence was appropriate
because it was used for the limited purpose of determining whether the transfer
would depreciate the seriousness of the offense. We disagree.
Although Kleser's brief accurately describes the ultimate issue for
which the evidence was presented, there is no question that Dr. Beyer's
testimony was presented for the truth of the matter asserted. See Wis. Stat. § 908.01(3) ("hearsay" is an
out-of-court statement made by a person not testifying at a trial or hearing,
offered at a trial or hearing "to prove the truth of the matter
asserted").[10] Although the circuit court was asked to make a
narrow legal determination about the seriousness of the offense, the court's
determination was based on the purported "facts" of the offense as
Dr. Beyer described them. Dr. Beyer acted
as a conduit through which Kleser put these facts into evidence.
¶93 We
have previously determined that details of the offense may be relevant to a
determination of whether, under Wis. Stat. § 970.032(2), transferring
jurisdiction of the case to juvenile court would depreciate the seriousness of
the offense. These details, however, may
reach the trier of fact only in accordance with the rules of evidence, whether
through the testimony of the defendant, the testimony of another person with
personal knowledge of the events, or a recognized exception to the hearsay
rule.
¶94 Kleser
contends that the court's reliance on any inadmissible hearsay constituted
harmless error. Again, we disagree. An error will not warrant reversal if the
error does not affect the substantial rights of the adverse party. Wis. Stat. § 805.18; see State v. Lindell,
2001 WI 108, ¶69, 245
¶95 A reasonable
probability exists that the outcome would have been different without Dr.
Beyer's hearsay testimony for two reasons.
First, the circuit court clearly used Dr. Beyer's testimony as a basis
for its findings. The court found that
"Corey Kleser killed Ron Adams out of rage and fear after Ron Adams tried
to assault [Kleser]." This finding
closely parallels Dr. Beyer's testimony that the offense "was a rage
reaction when [Kleser] was very fearful," as well as the account provided
in Dr. Beyer's assessment of Kleser.
¶96 More
important, Dr. Beyer's hearsay testimony and hearsay in her assessment of
Kleser were the principal bases for the circuit court's finding that Kleser
acted out of fear and rage, which in turn was the basis for her conclusion that
transferring jurisdiction would not depreciate the seriousness of the offense.[11] Kleser points to the circuit court's reliance
on Kleser's statement to the police and a detective's testimony regarding the
personal nature of the crime. These additional
facts, by themselves, are not an adequate basis for the circuit court's
conclusion that Kleser acted out of fear and rage.[12]
In light of the close parallels between
the circuit court's decision and Dr. Beyer's testimony, it is clear that the
testimony of the officers played a relatively minor role in the court's
conclusion that Kleser acted out of fear and rage, compared to Dr. Beyer's
testimony.
¶97 Kleser
argues that the court exercised its discretion properly, even without the
erroneous bases for its decision, because "there is no requirement that
the court consider one factor more than any others." While this is true, the reverse waiver
statute requires the juvenile to prove each of the three elements by
preponderance of the evidence. Wis.
Stat. § 970.032(2)
(requiring the juvenile to prove by preponderance of the evidence "all of
the following"). If the juvenile
fails to prove one of these elements, the court cannot grant the reverse waiver,
no matter how compelling the other two elements may be. Based on the circuit court's decision, it is
clear that without Dr. Beyer's hearsay testimony, Kleser would not have sustained
his burden of proving that transferring jurisdiction would not depreciate the
seriousness of the offense. Therefore,
the court erroneously exercised its discretion in granting reverse waiver.
2. Dr. Beyer's Testimony Regarding
Kleser's Truthfulness
¶98 We
next address whether the circuit court erred by relying on Dr. Beyer's
testimony as to the truthfulness of Kleser's hearsay. The State argues that this testimony violated
the principles articulated in Jensen, 147
¶99 In
Haseltine, the defendant
was charged with sexual contact with his daughter. Haseltine, 120
The opinion
that Haseltine's daughter was an incest victim is an opinion that she was
telling the truth. There is no
indication that Haseltine's daughter had any physical or mental disorder that
might affect her credibility. No
witness, expert or otherwise, should be permitted to give an opinion that
another mentally and physically competent witness is telling the truth.
¶100 In Jensen,
the defendant was charged with sexually assaulting his stepdaughter, L.J. Jensen, 147
¶101 We
agree with the State that Dr. Beyer's account of the homicide offense here
cannot be distinguished from the core principles of Jensen and Haseltine. Dr. Beyer testified: "My opinion of the offense as [Kleser]
described it was that it was a rage reaction when he was very
fearful." While she did preface
many of her statements with "Kleser reported," she also described the
offense in response to defense counsel's request that she "explain what
happened that night as far as you understand it." (Emphasis added.)
¶102 We are
not persuaded that the vouching rule becomes inapplicable simply because a
witness does not use specific words such as "I believe X is telling the
truth," or is inapplicable because X never testified as a witness. There is no requirement that an expert explicitly
testify that she believes a person is telling the truth for the expert's opinion
to constitute improper vouching testimony.
In Haseltine, for example, the expert testified only implicitly
that the victim was telling the truth. Haseltine,
120
¶103 Nor
is there any reason to exclude the Haseltine rule in situations where a
person like Kleser, whose story is vouched for by a witness, never actually
testifies. Permitting a witness to
testify, implicitly or explicitly, that hearsay is true would aggravate an
already bad situation.
¶104 The
essence of the rule prohibiting vouching testimony is that such testimony
invades the province of the fact-finder as the sole determiner of credibility.
¶105 Dr. Beyer
had no specialized ability to assess the truthfulness of Kleser's account.[13] Although she described the events of the
offense, there is no question that she had no personal knowledge of those
events. Thus, her testimony
impermissibly suggested both that she believed Kleser's account and that the
events actually unfolded as Kleser had portrayed them.[14]
¶106 Kleser
suggests that the State's vouching argument is essentially indistinguishable
from its argument that Dr. Beyer's testimony was hearsay, because both are
premised on the fact that Dr. Beyer acted as a "conduit" for Kleser's
testimony. As we see it, Dr. Beyer's objectionable
testimony was inadmissible for two distinct reasons: (1) because it was
hearsay; and (2) because Dr. Beyer implicitly vouched for that hearsay. Thus, her description of what Kleser said was
inadmissible for one reason, and her explanation of what happened the night of
the events, which implied that Dr. Beyer believed what Kleser said, is
inadmissible for another reason.
¶107 Finally,
Kleser argues that, if the circuit court erred by relying upon Dr. Beyer's
opinion as to the truthfulness of the statements, such error was harmless. Although we are unable to ascertain fully
what weight the circuit court gave to Dr. Beyer's implied vouching of Kleser,
the court clearly relied on the testimony enough to believe that the story was
true. Therefore, the circuit court's
reliance on Dr. Beyer's inadmissible vouching testimony was not harmless error.
3. Refusal to Allow the State's Expert
to Interview Kleser Regarding the Facts of the Offense
¶108 We
next address whether the circuit court erred by allowing Dr. Beyer to testify
as to the facts of the homicide offense without permitting the State's expert,
Dr. Collins, to examine Kleser regarding the facts of the offense. Kleser argues that the circuit court's
decision, attempting to balance the State's interests against Kleser's
privilege against self-incrimination, was within the circuit court's
discretion, particularly in light of the fact that there was no established law
for the circuit court to follow.
¶109 We
conclude that the circuit court erroneously exercised its discretion by
refusing to allow Dr. Collins to interview Kleser regarding the facts of the
offense. In reaching this conclusion, we
conclude first that Kleser waived his privilege against self-incrimination by
putting his account of the offense into issue through his expert. We conclude second that principles of fair
play entitled the State to an opportunity to rebut Kleser's uncorroborated account
of the offense.
¶110 This
court addressed a defendant's waiver of the privilege against
self-incrimination in State v. Davis, 2002 WI 75, 254
¶111 The
court looked at two approaches to the issue of whether a defendant may be
compelled to undergo an examination by a state expert. The court noted that some courts conclude
that a compulsory examination is constitutionally permissible, not because the
defendant has waived the right to be free from self-incrimination, but because
the state must be afforded the same opportunity to obtain the type and quality
of psychological evaluation as the defendant when the defendant raises the
issue of his mental capacity.
¶112 The
Davis court approved State v. Briand, 547 A.2d 235 (N.H. 1988), a
New Hampshire case involving a defendant who raised battered woman's syndrome,
to conclude that a compulsory examination could occur only after the defendant
waived her right against self-incrimination.
Because the expert's testimony is thus predicated on the defendant's statements, the latter are explicitly or implicitly placed in evidence through the testimony of the expert during his direct and cross-examination. Since a defendant would waive his privilege against compelled self-incrimination if he took the stand and made those same statements himself, his decision to introduce his account of relevant facts indirectly through an expert witness should likewise be treated as a waiver obligating him to provide the same access to the State's expert that he has given to his own.
¶113 The
court held that Davis did not waive his right simply by presenting Richard
A.P. evidence, because such evidence was not a direct challenge to an
element of the crime.
¶114 The facts
of this case are closer to Briand than to
If [the
defendant's] disclosure statement shows that the expert will either explicitly
or implicitly provide testimony regarding relevant facts surrounding the
alleged crime that amounts to the defendant's own denial of the crime, the
court may then order the defendant to undergo a reciprocal examination from the
state based on the fact that the defendant has waived his or her right against
self-incrimination. In this way, the
defendant is permitted to introduce expert opinion testimony pursuant to Richard
A.P. but restricted from introducing statements that amount to nothing more
than the defendant's own statements on the crime.
¶115 Kleser
argues that this reasoning from
¶116 Kleser
contends that, because Dr. Collins had sufficient bases for her opinion, the State
was not harmed by the circuit court's ruling.
But the State had no practical opportunity to rebut Kleser's account of what
happened the night of the offense.[17] Because Kleser was not on the stand, the State
could not cross-examine him. The State
was limited to rebutting Dr. Beyer's conclusions——which were based on Kleser's first-hand account of the offense——using only Dr. Beyer's examination of Kleser,
the criminal complaint, and the testimony of police officers. Thus, the State was at a serious disadvantage
in attempting to rebut Dr. Beyer's conclusion that Kleser committed the offense
out of rage and fear.
¶117 In sum,
because Kleser waived his privilege against self-incrimination by putting the
facts of the offense at issue through Dr. Beyer, and because this put the State
at a serious disadvantage, the State was entitled to have an expert examine
Kleser regarding those facts.
Accordingly, we conclude that the circuit court erroneously exercised
its discretion by allowing Dr. Beyer to testify regarding the offense while
prohibiting Dr. Collins from interviewing Kleser regarding the same events. We, of course, are not suggesting that a
person like Kleser must submit to an examination by a state expert in
situations where the person has not waived the privilege against
self-incrimination.
D. Appropriateness of Remand for
a New Reverse Waiver Hearing
¶118 Finally,
the State argues that the court of appeals decision to remand for a new reverse
waiver hearing is moot because Kleser is now over the age of 18, and therefore
no juvenile dispositions could be imposed upon him. Kleser argues that there is no mootness
problem because the State filed a delinquency petition before Kleser turned 17,
and therefore the juvenile court retains jurisdiction.
¶119 Under
the Juvenile Justice Code, no dispositional options would be available for
Kleser if the circuit court chose to order reverse waiver. Kleser correctly points out that the juvenile
court would retain jurisdiction because a petition alleging Kleser delinquent
was filed before he turned 17. See
¶120 Wisconsin
Stat. § 938.34(4h)
provides for a "serious juvenile offender program" that allows a
juvenile to remain in custody until the age of 25. However, the statute providing for
termination of dispositional orders states, in relevant part:
Except as
provided in s. 938.368, an order under s. 938.34(4h) made before the
juvenile attains 18 years of age shall apply for 5 years after the date on
which the order is granted, if the juvenile is adjudicated delinquent [for
certain offenses] or until the juvenile reaches 25 years of age, if the
juvenile is adjudicated delinquent for committing an act that would be
punishable as a Class A felony if committed by an adult.
Wis. Stat. § 938.355(4)(b)
(emphasis added).
¶121 The
fact that this statute explicitly permits placement in the program by a
dispositional order "made before the juvenile attains 18 years of
age," but contains no provision for a dispositional order made after
18 years of age, indicates that this dispositional option is not available
after a juvenile turns 18. Therefore, if,
somehow, Kleser's case were tried in juvenile court, he would not be eligible
for placement in the serious juvenile offender program.
¶122 The
fact that Kleser is no longer eligible for the serious offender program does
not render this case moot. A case is
moot when "a decision in the matter will not have any practical effect
upon an existing legal controversy."
Roth v. Lafarge School Dist. Bd. of Canvassers, 2004 WI 6, ¶13, 268 Wis. 2d 335, 677
N.W.2d 599.
Clearly, a decision in this matter would have a practical effect upon
the legal controversy. This decision
still affects whether Kleser goes free, is given another chance at a reverse
waiver hearing, or remains in adult criminal court.
¶123 Although
we conclude that this matter is not moot, we conclude that a remand for a new
reverse waiver hearing is not appropriate under these facts. Remand is the appropriate course of action
"[w]hen an appellate court is confronted with inadequate findings and the
evidence respecting material facts is in dispute." Wurtz v. Fleischman, 97
¶124 To us,
the record demonstrates that Kleser failed to meet his burden of proving that (1) if convicted, the juvenile
could not receive adequate treatment in the criminal justice system; (2)
transferring jurisdiction to juvenile court would not depreciate the
seriousness of the offenses; and (3) retaining jurisdiction is not necessary to
deter the juvenile or other juveniles from committing the violations of which
the juvenile is accused. We do not perceive any error that prejudiced
Kleser; rather, we see errors that prejudiced the State. Remanding for a new reverse waiver hearing
would serve only to give Kleser another opportunity to meet a burden of proof
that he failed to meet when given a full, fair opportunity to do so. This is not an appropriate reason to
remand. See State v.
Rewolinski, 159
¶125 As previously
stated, the defendant in a reverse waiver hearing must prove three statutory
elements by a preponderance of the evidence.
¶126 In
1997 Dominic E.W. struck a counselor at the
Superintendents
at Ethan Allen and
. . . .
As the trial court also correctly noted, sec. 970.032(2) is discretionary, not mandatory. It does not require all juveniles charged with battery to correctional officers to be tried in adult court. By its unambiguous terms, it expressly gives judges the discretion to transfer jurisdiction over some of those cases back to juvenile court.
. . . .
With regard to the seriousness of the offense, at sec. 970.032(2)(b), the court expressed its sensitivity to the concerns addressed by the statute, when it stated "clearly it has to be viewed as a serious offense any time a staff member is injured or otherwise battered." On the other hand, when one considers the range of actions encompassed by the term "battery," there was ample evidence that this was a less serious battery than others.
[A]s the court noted, this battery was a simple battery which would have been a misdemeanor, had it not involved a staff member of a correctional facility. It did not cause substantial bodily harm or great bodily harm, and it did not involve a victim who was elderly or physically disabled, . . .
The "seriousness of the offense," must also be considered in the context of the type of crime which results in adult charges being filed pursuant to sec. 938.183 (1), Stats. Dominic's offense was clearly less serious than first-degree intentional homicide, first-degree reckless homicide, second-degree intentional homicide, and attempted first-degree intentional homicide, the offenses charged in adult court pursuant [to] sec. 938.183(1)(am), Stats. (Emphasis added.)
¶127 In this case, Kleser did not dispute that the deceased suffered at least 20 blows to the head, 30 stab wounds to the neck, and various other wounds. He admitted to a police officer that he stabbed the deceased in the neck multiple times with a pair of scissors after he realized that the man was still alive. He is charged with two additional felonies involving violence to a fellow prisoner. We conclude that transferring this 19-year-old defendant to juvenile court would depreciate the seriousness of the offenses and undermine deterrence.
IV. CONCLUSION
¶128 We
conclude, first, that a juvenile has a right to a reverse waiver hearing after
the criminal court finds probable cause to believe that the juvenile has
committed the exclusive original jurisdiction violation or violations of which
he is accused. In a reverse waiver
hearing, the juvenile must prove all elements set out in § 970.032(2)(a), (b), and (c) by a
preponderance of the evidence. If the
juvenile fails to meet his burden of proof, he shall be retained for
prosecution in the criminal court. Thus,
the juvenile must be given reasonable latitude to offer admissible evidence to
satisfy his burden on the three elements.
This includes evidence about the offense, supplementing the facts used
to establish probable cause, to put the offense in context. The juvenile may not offer evidence in the
reverse waiver hearing for the purpose of contradicting the offense charged. The place to offer evidence for the purpose
of contradicting the offense charged is the preliminary examination.
¶129 Second,
we conclude that the circuit court erred in granting reverse waiver here, for
three reasons. (1) The court
substantively relied on inadmissible hearsay testimony from Dr. Beyer
describing the events of the offense; (2) the court allowed Dr. Beyer to offer
inadmissible opinion testimony regarding Kleser's truthfulness; and (3) the
court erroneously prohibited the State's psychologist from interviewing Kleser
regarding the facts of the offense while permitting Dr. Beyer to testify as a
conduit for Kleser's account of the facts of the offense.
¶130 Finally,
we conclude that remand for a new reverse waiver hearing would not be
appropriate under these facts.
¶131 Consequently, we affirm the decision of the court of appeals reversing the circuit court order transferring jurisdiction of this case to the juvenile court, but we reverse the court of appeals' order remanding the case for a new reverse waiver hearing, and remand the case to adult criminal court for trial.
By the Court.—The decision of the court of appeals is affirmed in part and reversed in part, and the cause is remanded to the circuit court.
¶132 ANN WALSH BRADLEY, J. (concurring
in part, dissenting in part). I
agree with the majority that the juvenile must be given reasonable latitude to
offer admissible evidence for the purpose of meeting his burden to prove the
three elements for reverse waiver.
Majority op., ¶84. I also agree with the majority that the
juvenile may offer evidence at the reverse waiver hearing that contradicts the
offense charged as long as the proffered evidence is relevant to any of the
three elements for reverse waiver under Wis. Stat. § 970.032.
¶133 Although the majority correctly sets forth the law in much of its discussion, I disagree with the majority in its application of the law. Specifically, I part ways with the majority when it concludes that the circuit court erroneously exercised its discretion in its evidentiary rulings. Additionally, I disagree with the majority when it substitutes its judgment for that of the circuit court on the discretionary determination of whether a transfer to juvenile court would unduly depreciate the seriousness of the offense. Accordingly, I respectfully concur in part and dissent in part.
I
¶134 The majority concludes that the circuit court erred by (1) relying
on inadmissible hearsay testimony from Dr. Beyer describing the events of the
offense; (2) permitting Dr. Beyer to vouch for Kleser's credibility; and (3)
prohibiting the State's psychologist from interviewing Kleser about the facts
of the offense. It further concludes
that the circuit court erroneously exercised its discretion because, as a
matter of law, Kleser failed to prove that transferring the case to juvenile
court would not unduly depreciate the seriousness of the offense.
¶135 Unlike the majority, I determine that the circuit court did not erroneously exercise its discretion: (1) even if the circuit court erroneously relied on hearsay testimony presented by Dr. Beyer, such reliance was not harmful because essentially the same information was presented through the testimony of another witness; (2) the record does not support the majority's conclusion that Dr. Beyer impermissibly vouched for Kleser's credibility; (3) the majority erroneously limits the flexibility of the circuit court to balance the competing interests of protecting the juvenile's Fifth Amendment privilege against self-incrimination and the need of the State to present rebuttal testimony; and (4) the majority improperly substitutes its judgment for that of the circuit court when it concludes that the transfer would unduly depreciate the seriousness of the offense.
¶136 I conclude that this case should be remanded to the circuit court for a determination of whether, given the current age of the "juvenile," reverse waiver is appropriate or even feasible. If not, I agree with the majority that jurisdiction should remain in adult criminal court.
II
¶137 The majority correctly states that the court was permitted to
consider Dr. Beyer's opinion and that Dr. Beyer's opinion could be based on
inadmissible evidence.
¶138 However, in applying the law to these facts, the majority determines
that "without Dr. Beyer's hearsay testimony, Kleser would not have
sustained his burden of proving that transferring jurisdiction would not
depreciate the seriousness of the offense."
¶139 The majority takes issue with the circuit court's reliance on facts
presented by Dr. Beyer. It concludes
that Dr. Beyer's hearsay testimony and report "were the principal bases
for the circuit court's finding that Kleser acted out of fear and
rage."
¶140 As the majority sets forth, Dr. Beyer testified that Kleser related
the following facts about the night of the incident: Kleser drank a lot of
alcohol that night. He received a phone
call from Adams, who offered to pay him to pose nude, as he had done
before. Kleser agreed. The "usual scenario" unfolded when
he got to the apartment. Kleser was
surprised when Adams wanted to have sex, and he told
¶141 These facts closely parallel the facts that Kleser provided to
Detective Johnson during a custodial interview.
Both parties deemed Johnson's testimony admissible evidence. He testified that Kleser related the
following facts: Kleser had met Adams several months before and had gone to
¶142 Johnson testified that the night of the incident, "upon coming
over to Mr. Adams' apartment, [] Mr. Adams wanted to engage in some type of
sexual intercourse with him."
Kleser "did not want to engage in having any type of sex with Mr.
Adams." Kleser said that
¶143 The facts of the offense, as testified to by Dr. Beyer, are nearly identical to the facts later testified to by Detective Johnson. If the circuit court erred by permitting Dr. Beyer to testify about Kleser's account of the incident, I conclude that error was harmless.
¶144 The majority also takes issue with the circuit court's conclusion
that Kleser killed
III
¶145 The majority also accurately explains that an expert cannot vouch
for the credibility of a witness and that the expert need not explicitly state
that she believes a person is telling the truth for the opinion to constitute
improper vouching testimony.
¶146 As the majority reports, Dr. Beyer never explicitly testified about
the credibility of Kleser's account.
Unlike the majority, I conclude that there was no implicit vouching,
either. In fact, the majority treads on
dangerous territory when it concludes as a matter of law that this type of
expert testimony is a violation of the longstanding rule that prohibits a
witness from testifying about the veracity of another witness.
¶147 The majority acknowledges that Dr. Beyer prefaced many of her
statements with the phrase, "Kleser reported." Majority op., ¶101. The only
phrase the majority points to as improper vouching is actually a statement from
Kleser's attorney, who requested that Dr. Beyer "explain what happened
that night as far as you understand it."
¶148 The questions asked by Kleser's attorney and the responses provided by Dr. Beyer are similar to questions and answers routinely made in courtrooms around the state. To elevate a question prefaced with "as you understand it" and the response "Kleser reported" to the height of a Haseltine violation sets up an unworkable evidentiary standard for litigants, attorneys, and the circuit courts.
IV
¶149 The majority concludes that the circuit court erroneously exercised
its discretion by refusing to allow the State's psychologist to interview
Kleser about the facts of the offense.
¶150 The
United States Supreme Court has explained "if a defendant requests [a
psychiatric] evaluation or presents psychiatric evidence, then, at the very
least, the prosecution may rebut this presentation with evidence from the
reports of the examination that the defendant requested." Buchanan v.
¶151 Here, the primary purpose of expert testimony from both psychologists was to assess whether Kleser's treatment needs could be met in adult court. The record reflects that the circuit court was cognizant of the need to balance the State's right to present rebuttal testimony and Kleser's privilege against self-incrimination. It fashioned a solution where the State's psychologist could interview Kleser, without an attorney present, and ask him questions about any subject except for the facts of the offense.
¶152 Courts need the flexibility to fashion a solution to address these competing interests given the facts and procedure of the individual case. Here, I applaud the efforts of the circuit court judge in fashioning a solution to address the competing interests. The majority, instead, finds as a matter of law that it was an erroneous exercise of discretion.
¶153 The State's psychologist had access to the interview conducted by Detective Johnson and the interview conducted by Dr. Beyer. She was also permitted to examine Kleser, without an attorney present, about any subject except the facts of the offense. Based on her examination of Kleser and other sources, the State's psychologist was able to provide diagnoses "to a reasonable degree of professional certainty."
¶154 Given the competing interests of the State's right to rebut Dr. Beyer's conclusions and Kleser's privilege against self-incrimination, courts should be permitted flexibility to use their discretion and fashion a reasonable solution. I conclude that the balance struck by the circuit court was not an erroneous exercise of discretion.
V
¶155 Finally, the majority concludes——apparently as a matter of law——that transferring the case to juvenile court would unduly depreciate the seriousness of the offense. Majority op., ¶127. In so concluding, it substitutes its own judgment for the circuit court's exercise of discretion.
¶156 There are some determinations that seem quintessentially within the
province of the circuit court's sound exercise of discretion, and a circuit
court should be accorded great latitude when making these discretionary
determinations. I conclude that the
determination of whether transfer to juvenile court would unduly depreciate the
seriousness of the offense is one such determination. "A decision to retain or transfer
jurisdiction in a reverse waiver situation [under Wis. Stat. § 970.032] is a
discretionary decision for the trial court." State v. Dominic E.W., 218
¶157 Each day, courts around this state make a similar
determination. During sentencing, a
court must consider probation as the first alternative, but may reject probation
if it finds that it would "unduly depreciate the seriousness of the
offense." State v. Gallion,
2004 WI 42, ¶44, 270
¶158 An appellate court should sustain a discretionary decision if the
circuit court examined the relevant facts, applied a proper standard of law,
and using a demonstrated rational process, reached a decision that a reasonable
judge could reach. Loy v. Bunderson,
107
¶159 Because I conclude that the circuit court did not erroneously exercise its discretion, I would affirm its reverse waiver determination. However, given the passage of time and the current age of the "juvenile," I recognize that reverse waiver may no longer be appropriate or even feasible. On remand, I would instruct the circuit court to determine if reverse waiver is still appropriate. If the circuit court determines that it is not, jurisdiction should remain in adult criminal court. For the reasons set forth above, I respectfully concur in part and dissent in part.
¶160 I am authorized to state that Chief Justice SHIRLEY S. ABRAHAMSON joins this concurrence/dissent.
[1] All subsequent references to the Wisconsin Statutes are to the 2005-06 version unless otherwise indicated.
[2]
[3]
[4]
[5] Wisconsin Stat. § 938.183(1)(a) provides original jurisdiction in battery by prisoner charges over "[a] juvenile who has been adjudicated delinquent." This delinquency requirement appears to have been satisfied for Kleser by several earlier delinquency adjudications, including theft of movable property under $2,500 in violation of Wis. Stat. § 943.20(1)(a) and operating a vehicle without owner's consent in violation of Wis. Stat. § 943.23(3m).
[6] Just prior to issuing its reverse waiver order, the circuit court informed the parties that it would be dismissing the criminal complaints and ordering the State to file a separate delinquency petition.
[7] Waiver procedure and criteria were set out in Wis. Stat. § 48.18(2)-(6) (1991-92):
(2) The waiver hearing shall be brought on by filing a petition alleging delinquency drafted under s. 48.255 and a petition for waiver of jurisdiction which shall contain a brief statement of the facts supporting the request for waiver . . .
. . . .
(b) The child has the right to present testimony on his or her own behalf including expert testimony and has the right to cross-examine witnesses at the hearing . . .
(4) The judge shall determine whether the matter has prosecutive merit before proceeding to determine if it should waive its jurisdiction.
(5) If prosecutive merit is found, the judge, after taking relevant testimony which the district attorney shall present and considering other relevant evidence, shall base its decision whether to waive jurisdiction on the following criteria:
(a) The personality and prior record of the child, including whether the child is mentally ill or developmentally disabled, whether the child has been previously found delinquent, whether such delinquency involved the infliction of serious bodily injury, the child's motives and attitudes, the child's physical and mental maturity, the child's pattern of living, prior offenses, prior treatment history and apparent potential for responding to future treatment.
(b) The type and seriousness of the offense, including whether it was against persons or property, the extent to which it was committed in a violent, aggressive, premeditated or willful manner, and its prosecutive merit.
(c) The adequacy and suitability of facilities, services and procedures available for treatment of the child and protection of the public within the juvenile justice system, and, where applicable, the mental health system.
(d) The desirability of trial and disposition of the entire offense in one court if the juvenile was allegedly associated in the offense with persons who will be charged with a crime in circuit court.
(6) After considering the criteria under sub. (5), the judge shall state his or her finding with respect to the criteria on the record, and, if the judge determines on the record that it is established by clear and convincing evidence that it would be contrary to the best interests of the child or of the public to hear the case, the judge shall enter an order waiving jurisdiction and referring the matter to the district attorney for appropriate criminal proceedings in the circuit court, and the circuit court thereafter has exclusive jurisdiction.
[8] 1993
[9] There is no dispute that the
court was permitted to consider Dr. Beyer's opinion and that Dr. Beyer's
opinion could be based on inadmissible evidence. See
[10] The fact that Dr. Beyer's testimony was used for the truth of the matter asserted is emphasized by the fact that her testimony was provided in response to Kleser's attorney's request to "explain what happened that night as far as you understand it." (Emphasis added.)
[11] Dr. Beyer's testimony closely parallels her written report. Dr. Beyer testified on November 6, 2007. Detective Louis Johnson, who interviewed Kleser, and Lieutenant Terrence Gordon, who investigated the crime scene, did not testify until the following day. Consequently, Dr. Beyer could not and did not rely on Detective Johnson's testimony as a basis for her testimony.
[12] Although Detective Johnson testified regarding his interview with Kleser, the circuit court did not rely on this testimony in its decision. In the decision, virtually the entire description of the facts of the offense was taken from Dr. Beyer's written report.
As noted repeatedly, the burden of proof is on the defendant in a reverse waiver hearing. We can only speculate what would have transpired if Dr. Beyer had given nothing more than her opinion. The State might not have called Detective Johnson to testify, or it might have attempted to limit the detective's testimony in cross-examination. The admission of Dr. Beyer's hearsay testimony of Kleser's version of the offense changed the hearing.
[13] The Arizona Supreme Court has
explained: "Psychologists and psychiatrists are not, and do not claim to
be, experts at discerning truth. Psychiatrists are trained to accept facts provided
by their patients, not to act as judges of patients' credibility." State v. Moran, 728 P.2d 248, 255 (
[14] In other words, besides
implicitly testifying that she believed Kleser's description, Dr. Beyer also
testified that certain events, of which she did not have personal knowledge,
occurred. Such testimony is clearly
impermissible.
[15] The name of this evidence
derives from State v. Richard A.P., 223
[16] A number of courts, generally addressing the situation in which a defendant places his mental state at issue, have reasoned that the state would be at a disadvantage if it were not allowed to independently examine the defendant. See Estelle v. Smith, 451 U.S. 454, 465 (1981) ("When a defendant asserts the insanity defense and introduces supporting psychiatric testimony, his silence may deprive the State of the only effective means it has of controverting his proof on an issue that he interjected into the case."); State v. Shackart, 858 P.2d 639, 645 (Ariz. 1993) ("To hold otherwise would deprive the state of the only adequate means to contest the conclusions of a defense psychiatric expert."); Mitchell v. State, 192 P.3d 721, 723 (Nev. 2008) (not allowing the state to examine "would permit [the defendant] to enjoy the unfair asymmetry of being able to introduce defense expert witness testimony based upon personal interviews while denying State expert witnesses the same access").
[17] Thus, the facts here are
distinguishable from the facts in State v. Davis, 2002 WI 75, 254
[18] See Daniel D.
Blinka, Wisconsin Practice Series: Wisconsin Evidence, § 803.04 at 754-58 (3d
ed. 2008) (discussing Wis. Stat. § 908.03(4),
statements for purposes of medical diagnosis or treatment). "Put differently, the fact that an
expert was consulted solely for the purpose of giving testimony affects only
the weight to be given the statement, not admissibility."
[19] In a footnote, the majority indicates that Dr. Beyer could not have relied on Detective Johnson's testimony in formulating her conclusion that Kleser acted out of fear and rage. Majority op., ¶96, n.11. In making this assertion, the majority confuses the issues. Dr. Beyer did not need to rely on Detective Johnson's account of the facts. Because experts may rely on inadmissible evidence in formulating an opinion, Dr. Beyer was entitled to rely on Kleser's own description of the facts.