State v. Corey R. Fugere ( 2019 )

2019 WI 33
SUPREME COURT OF WISCONSIN
CASE NO.: 2016AP2258-CR
COMPLETE TITLE: State of Wisconsin,
Plaintiff-Respondent,
v.
Corey R. Fugere,
Defendant-Appellant-Petitioner.
REVIEW OF DECISION OF THE COURT OF APPEALS
Reported at 381 Wis. 2d 142,911 N.W.2d 127
PDC No:2018 WI App 24 - Published
OPINION FILED: March 28, 2019
SUBMITTED ON BRIEFS:
ORAL ARGUMENT: January 24, 2019
SOURCE OF APPEAL:
COURT: Circuit
COUNTY: Chippewa
JUDGE: Roderick A. Cameron
JUSTICES:
CONCURRED:
DISSENTED: A.W. BRADLEY, J. dissents, joined by ABRAHAMSON,
J. and DALLET, J. (opinion filed).
NOT PARTICIPATING:
ATTORNEYS:
For the defendant-appellant-petitioner, there were briefs
filed by Kathilynne A. Grotelueschen, assistant state public
defender. There was an oral argument by Kathilynne A.
Grotelueschen.
For the plaintiff-respondent, there was a brief filed by
Luke N. Berg, deputy solicitor general. With whom on the brief
Tiffany M. Winter, assistant attorney general, Misha Tseytlin,
solicitor general, and Brad D. Schimel, attorney general. There
was an oral argument by Luke N. Berg.
2019 WI 33
NOTICE
This opinion is subject to further
editing and modification. The final
version will appear in the bound
volume of the official reports.
No. 2016AP2258-CR
(L.C. No. 2015CF169)
STATE OF WISCONSIN : IN SUPREME COURT
State of Wisconsin,
Plaintiff-Respondent, FILED
v. MAR 28, 2019
Corey R. Fugere, Sheila T. Reiff
Clerk of Supreme Court
Defendant-Appellant-Petitioner.
REVIEW of a decision of the Court of Appeals. Affirmed.
¶1 ANNETTE KINGSLAND ZIEGLER, J. This is a review of a
published decision of the court of appeals, State v. Fugere,
2018 WI App 24, 381 Wis. 2d 142, 911 N.W.2d 127, affirming the
Chippewa County circuit court's order.1 The circuit court's
order denied Corey R. Fugere's ("Fugere") motion to withdraw his
plea of not guilty by reason of mental disease or defect
("NGI"), which was based on the circuit court providing
inaccurate information to Fugere concerning the maximum period
of civil commitment should he prevail on his affirmative defense
1 The Honorable Roderick Cameron presided.
No. 2016AP2258-CR
to the criminal charges. The court of appeals affirmed the
circuit court, and we affirm the court of appeals.
¶2 We conclude that a circuit court is not required to
inform an NGI defendant of the maximum possible term of civil
commitment at the guilt phase: (1) because a defendant who
prevails at the responsibility phase of the NGI proceeding has
proven an affirmative defense in a civil proceeding, avoiding
incarceration, and is not waiving any constitutional rights by
so proceeding in that defense; and (2) because an NGI commitment
is not punishment, but rather a collateral consequence to one
who successfully mounts an NGI defense to criminal charges. We
therefore decline to exercise our superintending and
administrative authority to require circuit courts to advise NGI
defendants of the maximum period of civil commitment.
¶3 Fugere also requests that this court conclude that the
circuit court's error was not harmless with respect to the
misinformation provided to him concerning potential civil
consequences should he prevail in his defense. The circuit
court here provided accurate information to Fugere regarding the
maximum possible term of imprisonment but inaccurate information
regarding commitment, so we thus address whether the circuit
court's error otherwise entitles Fugere to withdraw his NGI
plea. We conclude that the circuit court's error was harmless
because it was unrelated to the guilt phase of the NGI defense,
and instead, the inaccurate information pertained to the
potential civil commitment at the responsibility phase.
Additionally, Fugere received the benefit of his plea agreement
2
No. 2016AP2258-CR
with the State and otherwise understood the consequences of
prevailing on an NGI defense as he was already civilly committed
for an unrelated charge. Thus, there was no manifest injustice,
and we affirm the court of appeals.
I. FACTUAL BACKGROUND AND PROCEDURAL POSTURE
¶4 In April 2015 Fugere was charged with four counts of
first-degree sexual assault of a child under the age of 12. The
complaint alleged that in 2008, when Fugere was 17 years old, he
and another individual sexually assaulted an eight-year-old
girl. At the time these charges were filed, however, Fugere was
serving a commitment to the Mendota Mental Health Institute
because of a different sexual assault charge for which Fugere
had previously been found NGI.
¶5 A few months after Fugere was charged, the State and
Fugere reached a plea agreement. Pursuant to the agreement,
Fugere would plead NGI to one count of first-degree sexual
assault of a child under the age of 12, and the remaining
charges were dismissed but read in. As a result, Fugere would
waive his right to trial regarding guilt, admit that there was a
factual basis that he committed the sexual assault, and the
State and Fugere would stipulate that, based on the other case
information and findings, Fugere lacked substantial capacity to
appreciate the wrongfulness of his conduct or conform his
conduct to the requirements of the law due to a mental disease
or defect. The parties agreed to recommend that the circuit
court order a pre-dispositional investigation report and that
3
No. 2016AP2258-CR
Fugere be civilly committed for 30 years to the State of
Wisconsin Department of Health Services ("DHS").2
¶6 On August 24, 2015, Fugere filed an initialed and
signed "Plea Questionnaire/Waiver of Rights" form and entered an
NGI plea to the single count. At the plea hearing, the circuit
court conducted a plea colloquy and, among other things,
confirmed with Fugere that he understood the nature of the
charges, that he was waiving his constitutional rights,
including his right to a jury trial, and that the maximum
penalty for first-degree sexual assault was 60 years.
¶7 During the plea colloquy, the circuit court also
addressed Fugere's NGI plea. The court, the State, and Fugere's
attorney all misinformed Fugere of the potential maximum period
of civil commitment. The following exchange occurred:
THE COURT: You are not actually going [to] be
found guilty of the charge today. You are going to be
found [not] guilty by reason of mental disease or
defect, which is a bit different, but it means you
could be placed on supervision for up to 30 years.
[THE STATE]: Sixty years is the maximum.
THE COURT: Sixty years, but the recommendation
is 30 years, do you understand that?
[FUGERE]: Yes.
Fugere informed the circuit court that he was aware of the 30-
year recommendation even though 60 years is the maximum. Fugere
2 Additionally, as part of the plea agreement, Fugere agreed
to submit a DNA sample, but that is not significant to this
appeal.
4
No. 2016AP2258-CR
confirmed that he had been on conditional release on another
case and that he understood how conditional release worked.
Fugere indicated that he did not have any questions. Fugere's
attorney confirmed that Fugere would be exposed "to some 30 more
years of supervision, could possibly be 60 years." His lawyer
confirmed that Fugere understood that "if he violates any rules
of supervision, he could end up back at Mendota or Winnebago
during the next 60 years."
¶8 The circuit court accepted Fugere's NGI plea, adopted
the parties' joint recommendation, and ordered that Fugere be
committed for 30 years and that a pre-dispositional investigation
be prepared. The order of commitment specified that Fugere's
commitment was to commence on August 24, 2015, and run concurrent
with any other NGI commitments he was serving.
¶9 At the post-dispositional placement hearing on
October 15, 2015, the court ordered Fugere be placed in
institutional care. At the hearing, Fugere did not contest the
report's findings and admitted he was "not ready" for conditional
release. Fugere stated that he hoped he would be fit for
conditional release in six months.
¶10 Just over six months later, on April 29, 2016, Fugere
filed a petition for conditional release with the circuit court.
The circuit court ordered an examination by an independent
psychologist, who recommended that Fugere be conditionally
released. On June 29, 2016, the circuit court granted
conditional release subject to finding a suitable group home.
The DHS was to provide a release plan within 60 days.
5
No. 2016AP2258-CR
¶11 On August 5, 2016, prior to the 60-day time period
elapsing, the DHS informed the circuit court that it was
"temporarily suspend[ing] planning for the conditional release"
because the State intended to file a complaint against Fugere
alleging that he should be separately committed as a sexually
violent person under Wis. Stat. ch. 980 (2015-16).3 The DHS
further notified the circuit court that Fugere had recently
committed a "new violation" by "having sexual relations with a
peer at Mendota." The DHS additionally stated that it intended
to revoke Fugere's conditional release following resolution of
the State's chapter 980 petition.
¶12 On September 15, 2016, Fugere filed a postconviction
motion to withdraw his NGI plea arguing that it was not
knowingly, intelligently, and voluntarily entered. Fugere
asserted that he was entitled to withdraw his plea because he
was misinformed of the maximum civil commitment period.
Specifically, he averred that the circuit court incorrectly
informed him that he faced a maximum of 60 years, when the
actual maximum was 40 years' commitment and that the circuit
court inaccurately referenced supervision. In response, the
State argued that an NGI commitment is not a punishment, and
therefore the circuit court is not required to advise Fugere of
his maximum possible commitment to render Fugere's plea
knowingly, intelligently, and voluntarily given. The State
3All subsequent references to the Wisconsin Statutes are to
the 2015-16 version unless otherwise indicated.
6
No. 2016AP2258-CR
further argued that under State v. Bangert, 131 Wis. 2d 246, 389
N.W.2d 12 (1986), defendants must be informed only of the
maximum statutory punishment they face. The State contended
that the circuit court correctly informed Fugere of the maximum
statutory punishment he faced if his NGI defense failed, and
therefore fulfilled the circuit court's duty at the plea
colloquy. The State argued that no "manifest injustice"
resulted because Fugere received the very 30-year commitment
term he bargained for. At a hearing on November 9, 2016, the
circuit court agreed with the State and denied Fugere's motion.
The court concluded:
I think, given the fact that there's no requirement to
provide a defendant the maximum amount of time for a
confinement or commitment time on an NGI when he's
told he's going to get a certain amount against that
amount, I think that's distinguishable from the
maximum amount of time partly because confinement is
not a sentence and partly because he's getting exactly
what he expected to get regardless of how much more
time he could have gotten. So I believe under that
analysis, that the motion is to be denied.
¶13 Fugere appealed the circuit court's ruling. In an
opinion issued on March 6, 2018, the court of appeals affirmed
the circuit court. Fugere, 381 Wis. 2d 142, ¶2. It held "that
circuit courts need not advise a defendant pleading NGI of the
potential range of civil commitment he or she will face if found
not mentally responsible for his or her crimes, much less do so
correctly." Id., ¶19. The court of appeals explained the
unique process that occurs with NGI pleas, which consists of two
phases: the guilt phase, and the responsibility phase. Id.,
7
No. 2016AP2258-CR
¶13. The court of appeals concluded that the requirements
established by Bangert and its progeny apply only to the guilt
phase of an NGI proceeding. In other words, the court of
appeals concluded that a defendant must be informed only of the
maximum punishment the defendant faces if he were to be found
guilty, which implicates only the guilt phase. Id., ¶19.
Noting that Wisconsin courts have routinely "held that the
responsibility phase of an NGI trial is not part of a criminal
trial," the court of appeals further concluded that "[t]he same
constitutional rights are not implicated or waived during the
mental responsibility phase." Id. The court of appeals also
expressed that a defendant's right to assert an NGI defense is a
statutory right, not a constitutional right. Id.
¶14 As a result, the court of appeals concluded as
follows:
In all, the record demonstrates that the circuit
court informed Fugere of the direct consequences of
his plea, including the potential sixty-year prison
sentence. The circuit court's incorrect statement
regarding Fugere's maximum potential period of civil
commitment does not render Fugere's NGI plea
unknowing, unintelligent, or involuntarily [sic]. As
such, there was no manifest injustice, and Fugere is
not entitled to withdraw his plea.
Id., ¶25.
¶15 On March 27, 2018, Fugere filed a petition for review
with this court. On September 4, 2018, this court granted
Fugere's petition.
8
No. 2016AP2258-CR
II. STANDARD OF REVIEW
¶16 When a defendant seeks to withdraw a guilty plea after
sentencing, the defendant must prove "by clear and convincing
evidence, that a refusal to allow withdrawal of the plea would
result in 'manifest injustice.'" State v. Brown, 2006 WI 100,
¶18, 293 Wis. 2d 594, 716 N.W.2d 906 (citing State v. Thomas,
2000 WI 13, ¶16, 232 Wis. 2d 714, 605 N.W.2d 836). A defendant
can meet that burden by showing that he or she did not
knowingly, intelligently, and voluntarily enter the plea. Id.
(citing State v. Trochinski, 2002 WI 56, ¶15, 253 Wis. 2d 38,
644 N.W.2d 891; State ex rel. Warren v. Schwarz, 219
Wis. 2d 615, 635-36, 579 N.W.2d 698 (1998); State v. Krawczyk,
2003 WI App 6, ¶9, 259 Wis. 2d 843, 657 N.W.2d 77).
¶17 Whether a guilty plea was entered knowingly,
intelligently, and voluntarily is a question of constitutional
fact. State v. Muldrow, 2018 WI 52, ¶24, 381 Wis. 2d 492, 912
N.W.2d 74. This court upholds a circuit court's findings of
fact unless clearly erroneous, and "[d]etermines independently
whether those facts demonstrate that the defendant's plea was
knowing, intelligent, and voluntary." Brown, 293 Wis. 2d 594,
¶19.
¶18 Fugere asserts that there were deficiencies in the
plea colloquy conducted by the circuit court in violation of
Wis. Stat. § 971.08. Whether Fugere shows deficiencies in the
plea colloquy that establish a violation of § 971.08, is a
question of law that this court reviews de novo. See Brown, 293
Wis. 2d 594, ¶21.
9
No. 2016AP2258-CR
III. ANALYSIS
A. General Principles Of Pleas And Plea Colloquies
¶19 We begin by addressing the basic principles underlying
pleas and plea colloquies. Wisconsin Stat. § 971.06 recognizes
four distinct pleas that can arise from criminal matters: (1)
guilty; (2) not guilty; (3) no contest, which is subject to the
court's approval; and (4) "[n]ot guilty by reason of mental
disease or defect." § 971.06(1). A defendant must enter a plea
to a criminal charge "knowing[ly], voluntar[ily], and
intelligent[ly]." Muldrow, 381 Wis. 2d 492, ¶1; see also
Bradshaw v. Stumpf, 545 U.S. 175, 183 (2005). For a defendant's
plea to be "knowing, intelligent, and voluntary," the defendant
must be fully aware of "any direct consequences" of the plea.
Muldrow, 381 Wis. 2d 492, ¶1 (citing Brady v. United States, 397
U.S. 742, 755 (1970)). A "direct consequence" is defined as
"one that has a definite, immediate, and largely automatic
effect on the range of a defendant's punishment." State v.
Byrge, 2000 WI 101, ¶60, 237 Wis. 2d 197, 614 N.W.2d 477 (citing
State v. Bollig, 2000 WI 6, ¶16, 232 Wis. 2d 561, 605
N.W.2d 199).
¶20 On the other hand, information regarding "collateral
consequences" of a defendant's plea "is not a prerequisite to
entering a knowing and intelligent plea." Id., ¶61 (citing
Warren, 219 Wis. 2d at 636). "Collateral consequences are
indirect and do not flow from the conviction." Id. In
evaluating whether a consequence of a defendant's plea is direct
or collateral, courts look to whether the consequence is a
10
No. 2016AP2258-CR
punishment. See Bollig, 232 Wis. 2d 561, ¶27 (holding "that
Wisconsin's sex offender registration requirements do not
constitute punishment," and thus are "a collateral
consequence").
¶21 The Wisconsin Statutes also impact a circuit court's
role in a plea colloquy. Under Wis. Stat. § 971.08(1), circuit
courts must conduct a plea colloquy with a defendant who pleads
guilty or no contest, in the interest of ensuring that the
defendant's plea is given knowingly, intelligently, and
voluntarily. § 971.08(1)(a). Before the circuit court accepts
a guilty or no contest plea, it must do all of the following:
(a) Address the defendant personally and
determine that the plea is made voluntarily with
understanding of the nature of the charge and the
potential punishment if convicted.
(b) Make such inquiry as satisfies it that the
defendant in fact committed the crime charged.
(c) Address the defendant personally and advise
the defendant as follows: "If you are not a citizen
of the United States of America, you are advised that
a plea of guilty or no contest for the offense with
which you are charged may result in deportation, the
exclusion from admission to this country or the denial
of naturalization, under federal law."
(d) Inquire of the district attorney whether he
or she has complied with s. 971.095(2).[4]
4 Wisconsin Stat. § 971.095(2) states as follows:
In any case in which a defendant has been charged
with a crime, the district attorney shall, as soon as
practicable, offer all of the victims in the case who
have requested the opportunity an opportunity to
confer with the district attorney concerning the
(continued)
11
No. 2016AP2258-CR
§ 971.08(1).
¶22 As this court has explained, the plea colloquy duties
imposed on courts by Wis. Stat. § 971.08 are not "a
constitutional requirement," but rather, "a statutory
imperative." Bangert, 131 Wis. 2d at 266. However, "[t]he
faithful discharge of these duties is the best way . . . to
demonstrate the critical importance of pleas in our system of
justice and to avoid constitutional problems." Brown, 293
Wis. 2d 594, ¶23.
¶23 Although the language in Wis. Stat. § 971.08 does not
indicate that it applies to NGI pleas, as § 971.08 expressly
refers only to "plea[s] of guilty or no contest," this court has
stated that an NGI plea "closely parallels a plea of no
contest." State v. Shegrud, 131 Wis. 2d 133, 137, 389 N.W.2d 7
(1986). This court has concluded that a defendant must be
informed of "the nature of the charge" and the "potential
punishment." Id. at 138.
¶24 A defendant who wishes to withdraw a guilty plea after
sentencing bears the heavy burden to demonstrate by "clear and
convincing evidence" that withdrawal is necessary to avoid
"manifest injustice." State v. Finley, 2016 WI 63, ¶58, 370
prosecution of the case and the possible outcomes of
the prosecution, including potential plea agreements
and sentencing recommendations. The duty to confer
under this subsection does not limit the obligation of
the district attorney to exercise his or her
discretion concerning the handling of any criminal
charge against the defendant.
12
No. 2016AP2258-CR
Wis. 2d 402, 882 N.W.2d 761; State v. Sulla, 2016 WI 46, ¶24,
369 Wis. 2d 225, 880 N.W.2d 659. A plea is "manifestly unjust"
in violation of the Due Process Clause of the United States
Constitution if it was not entered "knowingly, intelligently,
and voluntarily." Stumpf, 545 U.S. at 182-83. While Bangert
and Wis. Stat. § 971.08 inform a court's duties when it comes to
properly taking a plea, an improper colloquy does not
automatically mandate withdrawal. State v. Cross, 2010 WI 70,
¶¶32-40, 326 Wis. 2d 492, 786 N.W.2d 64; State v. Taylor, 2013
WI 34, ¶¶32-42, 48-54, 347 Wis. 2d 30, 829 N.W.2d 482. An
improper colloquy may entitle a defendant to a hearing however,
and there, the State bears the burden of establishing that the
guilty plea was indeed voluntary. Brown, 293 Wis. 2d 594, ¶¶36-
41.
¶25 In the case at issue, Fugere argues that he, as a
defendant who entered an NGI plea but was not properly informed
of the accurate maximum length of a civil commitment, should be
entitled to withdraw that plea on the grounds that it was not
knowing, intelligent, and voluntary.
B. NGI Procedures
¶26 "[A] criminal defendant's right to an NGI defense is a
statutory right that is not guaranteed by either the United
States or Wisconsin Constitutions." State v. Magett, 2014 WI
67, ¶32, 355 Wis. 2d 617, 850 N.W.2d 42. NGI pleas "may be
joined with a plea of not guilty." Wis. Stat. § 971.06(1)(d).
When a defendant enters this plea, the case is bifurcated into
two phases: the guilt phase and the responsibility phase. See
13
No. 2016AP2258-CR
Magett, 355 Wis. 2d 617, ¶39. Only if a defendant is found
guilty in the first phase does the court withhold entry of
judgment of guilt and the trial proceeds to the responsibility
phase. Wis. Stat. § 971.165(1)(d). The responsibility phase
"is not a criminal proceeding," but "is something close to a
civil trial." Magett, 355 Wis. 2d 617, ¶33. Unlike a criminal
trial, the verdict need not be unanimous, the defendant bears
the burden of proof to establish this affirmative defense by a
preponderance of the evidence, and the circuit court may direct
a verdict. Id., ¶¶37–39.
¶27 On the other hand, a defendant may choose to plead NGI
without also pleading not guilty, also known as a "standalone
NGI plea." See Wis. Stat. § 971.06(1)(d). In so doing, the
defendant "admits that but for lack of mental capacity, the
defendant committed all the essential elements of the offense
charged in the indictment, information or complaint." Id. The
defendant is then found guilty of the elements of the crime(s)
and the responsibility phase is left for trial. State v.
Lagrone, 2016 WI 26, ¶29, 368 Wis. 2d 1, 878 N.W.2d 636. As
Fugere points out, this court has exercised its superintending
and administrative authority with regard to plea colloquy
requirements in the past in both Bangert and Shegrud. The court
has concluded that in the first phase of an NGI plea, the court
must "address the defendant personally to determine whether the
defendant is entering the plea voluntarily [and] with an
understanding of the nature of the charge. . . . [T]he
procedures delineated in Bangert shall apply . . . ." Shegrud,
14
No. 2016AP2258-CR
131 Wis. 2d at 138. Also, as was the case here, the parties may
agree to waive the trial on responsibility and stipulate that
the defendant should be found NGI.
¶28 Under Wis. Stat. § 971.165(3)(b), if the defendant's
NGI defense succeeds, "the court shall enter a judgment of not
guilty by reason of mental disease or defect," and "shall
thereupon proceed under s. 971.17."5 If the defendant's NGI
defense is unsuccessful, "the court shall enter a judgment of
conviction and shall either impose or withhold sentence under s.
972.13(2)." § 971.165(3)(a).
¶29 Defendants in criminal cases who are later found NGI
are civilly committed rather than criminally sentenced or
sanctioned. If commitment occurs, the length of that commitment
is not to exceed the maximum sentence for the charged offense
plus penalty enhancements subject to statutory credit
provisions. Wis. Stat. § 971.17(1)(b). As a general rule, the
length of commitment is about two-thirds of the maximum
potential sentence of imprisonment.6 In addition, a defendant
5
Wisconsin Stat. § 971.17 governs the "[c]ommitment of
persons found not guilty by reason of mental disease or mental
defect."
6
Under Wis. Stat. § 971.17(1), an NGI defendant's maximum
possible commitment period depends on the nature of the
underlying offense. NGI defendants who commit a felony prior to
July 30, 2002, or who commit a misdemeanor, may receive a
maximum commitment period of two-thirds the maximum term of
imprisonment that could be imposed. § 971.17(1)(a) & (d). NGI
defendants who commit a felony on or after July 30, 2002, may
receive a commitment term up to but not exceeding the maximum
term of imprisonment that could be imposed. § 971.17(1)(b).
(continued)
15
No. 2016AP2258-CR
who succeeds on an NGI defense and is committed may file a
petition for conditional release every six months, and if on
conditional release, may file a petition to terminate the
underlying order of commitment. See §§ 971.17(4), (5).
C. Bangert And Shegrud
¶30 Fugere asserts that this court should exercise its
superintending and administrative authority to clarify or extend
Bangert and Shegrud. He argues that an NGI plea cannot be
knowing, intelligent, or voluntary when a circuit court
inaccurately informs an NGI defendant of the maximum term of
commitment or refers to commitment as supervision. We consider
the unique nature of an NGI plea and the fact that the first
phase, the admission of guilt, must be knowing, intelligent, and
voluntary as the defendant is waiving, among other things, the
right to a jury trial and putting the State to its high burden
of proving each and every element of the offense charged. In
the guilt phase, the defendant waives constitutional rights and
must understand the nature of the charge and the potential
criminal punishment. This understanding is important because if
the defendant's affirmative defense fails at the second phase,
the defendant's criminal sentence could be the maximum term of
imprisonment. Stated differently, a defendant who does not
succeed in proving the affirmative defense at the responsibility
Lastly, NGI defendants who commit a felony punishable by life
imprisonment may receive up to a lifetime commitment term.
§ 971.17(1)(c).
16
No. 2016AP2258-CR
phase is convicted and sentenced up to the maximum possible term
of imprisonment. The circuit court here informed the defendant
of the maximum possible term of imprisonment, the plea
questionnaire outlined the same, and the record reflects a
discussion of that maximum.7
¶31 Fugere's argument, however, relates not to the
potential criminal penalty if his NGI defense fails. His
argument is that if he succeeds in his affirmative defense and
is found NGI, the court must have previously informed him of the
civil consequences of proving that defense. Fugere's argument
focuses then not on whether the circuit court properly informed
him of the consequences of the guilt phase of the plea. His
argument centers on the circuit court being required, at the
guilt phase, to advise not only of the maximum criminal penalty
but also the potential maximum civil commitment. Civil
commitment is the benefit Fugere seeks, but one that becomes
available only if he succeeds in affirmatively proving his legal
lack of responsibility.
¶32 The responsibility phase of the proceedings, however,
is drastically different from the guilt phase. The
responsibility phase is the defendant's opportunity to present
an affirmative defense, a legislative preference provided in the
statutory right to a separate trial regarding mental
7See State v. Reyes Fuerte, 2017 WI 104, 378 Wis. 2d 504,
904 N.W.2d 773; State v. Taylor, 2013 WI 34, 347 Wis. 2d 30, 829
N.W.2d 482; and State v. Cross, 2010 WI 70, 326 Wis. 2d 492, 786
N.W.2d 64.
17
No. 2016AP2258-CR
responsibility. If successful at this phase——at which the
defendant bears the burden of proving his defense by a
preponderance of the evidence to a less than unanimous jury——the
outcome is that he would be civilly committed, not criminally
sentenced. The maximum civil commitment is of a shorter
duration, less restrictive than imprisonment, subject to review
on a regular basis, and is not "punishment" but rather, is "to
treat the NGI acquittee's mental illness and to protect the
acquittee and society from the acquittee's potential
dangerousness." State v. Szulczewski, 216 Wis. 2d 495, 504, 574
N.W.2d 660 (1998). The defendant who succeeds in proving this
affirmative defense is hoping for civil commitment rather than
criminal punishment. This court has never required circuit
courts to conduct a colloquy with defendants to inform them of
the benefits of successfully proving an affirmative defense.
While courts should provide accurate information, we decline to
extend Bangert or Shegrud to require circuit courts to advise a
defendant of the potential consequences of prevailing on an
affirmative defense at the responsibility phase of an NGI trial.
The circuit court has a duty to advise of punishment at the
guilty plea phase of an NGI, namely, the potential maximum term
of imprisonment.
1. Constitutional rights are not waived
at the responsibility phase.
¶33 To be clear, defendants who submit a standalone NGI
plea waive constitutional rights only at the guilt phase, not
the responsibility phase. The defendant who chooses, by NGI
18
No. 2016AP2258-CR
plea at the guilt phase, not to challenge that he committed the
charged criminal offense, enters a plea which operates like a no
contest plea. See Shegrud, 131 Wis. 2d at 137. The case then
proceeds to the responsibility phase——a noncriminal proceeding——
where the defendant presents an affirmative defense that, if
proven, may lead to civil commitment instead of incarceration.8
For those who might argue that a civil commitment is a
significant consequence for which a defendant should be advised,
they fail to recognize the unique position of an NGI defendant
who otherwise faces imprisonment unless that defendant can prove
he or she is instead entitled to a civil commitment.
¶34 This distinction——between criminal and civil
proceedings and possible imprisonment versus civil commitment——
has significance. Consistent with Bangert and Shegrud, circuit
courts must inform defendants who enter a standalone NGI plea of
the nature of the charges, the nature of the constitutional
rights the defendant is waiving, and the maximum potential
punishment if the defendant's NGI defense fails. See Bangert,
131 Wis. 2d at 261–62; Shegrud, 131 Wis. 2d at 136–39. This
fulfills the constitutional requirements underlying a
defendant's plea at the guilt phase of the proceedings. Fugere
does not dispute that the circuit court fulfilled these
requirements at the guilt phase, and the record reflects that at
the plea colloquy hearing the circuit court properly informed
8
In the case at issue, the State agreed that Fugere could
successfully mount an NGI defense.
19
No. 2016AP2258-CR
Fugere of the nature of the criminal charges against him, the
nature of the constitutional rights he was waiving, and the
maximum term of imprisonment. Fugere argues though that courts
should be required to go further and advise not just of the
potential punishment should his defense fail, but also of the
potential civil consequence to him should his defense succeed.
¶35 Defendants do not waive any constitutional rights
pertaining to the responsibility phase of an NGI proceeding. At
the responsibility phase, defendants have the burden to prove a
statutorily-created affirmative defense and are not making a
concession of any kind. See Wis. Stat. § 971.15. NGI
defendants hope to prove that they are not mentally responsible
for the crime they have already been found guilty of committing.
There is no requirement that any defendant raise an NGI defense.
Defendants benefit from the successful presentation of an NGI
defense. At the responsibility phase, a defendant has already
been found guilty and absent success at that phase, faces
criminal punishment not civil commitment. Indeed, a successful
NGI defendant avoids incarceration in favor of civil commitment
and may seek conditional release within six months of his
initial commitment date, and commitment, unlike incarceration,
could be terminated entirely. In addition, NGI proceedings are
notably distinguishable from other forms of civil commitment
such as those arising under Wis. Stat. ch. 51 or ch. 980, where
the government, not the defendant, pursues the commitment and
carries the burden of proof. In the context of an NGI
proceeding, the defendant willfully seeks commitment and bears
20
No. 2016AP2258-CR
the burden of proof to receive the benefit of a successful NGI
defense.
¶36 Our conclusion that NGI defendants do not waive any
constitutional rights at the responsibility phase of an NGI
proceeding is buttressed by this court's decision in Lagrone,
368 Wis. 2d 1. There, as in this case, Lagrone did not
challenge the plea colloquy that occurred regarding the guilt
phase of the NGI proceedings. Id., ¶53. Instead, Lagrone
argued that he was unaware that by entering a standalone NGI
plea, he was waiving his fundamental right to testify at a
criminal trial regarding the validity of the charges against
him. Id. This court held that circuit courts are not required
to conduct a colloquy with defendants regarding whether or not
they wish to testify during the responsibility phase of an NGI
proceeding. Id., ¶¶51–56. Specifically, this court stated that
"the fundamental right to testify in one's own behalf as a
defendant in a criminal case does not exist at the
responsibility phase of bifurcated NGI proceedings because that
phase is a noncriminal proceeding to which defendants possess no
constitutional right." Id., ¶51 (emphasis added). The same
reasoning is applicable here. Defendants do not waive
constitutional rights in this non-criminal, responsibility
phase.
2. NGI commitments are not punitive
in intent or effect.
¶37 Circuit courts are required only to "notify the
defendant of any direct consequence of his guilty plea."
21
No. 2016AP2258-CR
Muldrow, 381 Wis. 2d 492, ¶1 (citing Brady, 397 U.S. at 755).
"We have identified direct consequences of a plea as being those
that impose punishment." Id. We next evaluate whether
commitment is punitive and thus, a direct consequence of a plea.
This court recently adopted the "intent-effects test" for
determining whether a consequence of a plea is punitive. Id.,
¶35.
¶38 The United States Supreme Court first articulated the
intent-effects test in Kennedy v. Mendoza-Martinez, 372 U.S.
144, 168–70 (1963). The intent-effects test has two parts.
Courts look to the "statute's primary function" to determine the
statute's intent. Id. at 169. If a law's intent is not
punitive, the court then considers whether it is nonetheless
punitive in effect. Courts consider whether the statute's
effect is "penal or regulatory in character." Id. at 168-69.
In evaluating effect, courts look to seven, non-exhaustive
factors:
[1] Whether the sanction involves an affirmative
disability or restraint, [2] whether it has
historically been regarded as a punishment, [3]
whether it comes into play only on a finding of
scienter, [4] whether its operation will promote the
traditional aims of punishment——retribution and
deterrence, [5] whether the behavior to which it
applies is already a crime, [6] whether an alternative
purpose to which it may rationally be connected is
assignable for it, and [7] whether it appears
excessive in relation to the alternative purpose
assigned . . . .
Id.
22
No. 2016AP2258-CR
¶39 We conclude that applying the intent-effects test
further demonstrates that commitment resulting from a successful
NGI defense is not a punishment, and thus is not a direct
consequence of a defendant's NGI plea. The parties agree that
NGI commitments are not intended to be punishments. Indeed,
this court has already held that NGI commitments are not
intended to be punishments, holding that their purpose is "two-
fold: to treat the NGI acquittee's mental illness and to
protect the acquittee and society from the acquittee's potential
dangerousness." Szulczewski, 216 Wis. 2d at 504 (citing State
v. Randall, 192 Wis. 2d 800, 833, 532 N.W.2d 94 (1995)). By
contrast, this court stated that judgments of conviction and
sentences are "designed to accomplish the objectives of
deterrence, rehabilitation, retribution and segregation." Id.
(citing Wayne R. LaFave & Austin W. Scott, Jr., 1 Substantive
Criminal Law § 1.5, at 30–36 (1986)). Thus, we conclude that
NGI commitments are not intended to serve as punishment under
the intent portion of the intent-effects test.
¶40 That leaves the question of whether NGI commitments
have a punitive effect. Fugere focuses on factors (1), (5), and
(7) in claiming that NGI commitments have a punitive effect.
Applying all seven factors outlined by the United States Supreme
Court in Mendoza-Martinez, we conclude that NGI commitments do
not have a punitive effect.
¶41 First, Fugere is correct that NGI commitments involve
"an affirmative disability or restraint." Defendants that
successfully plead NGI are committed, which involves confinement
23
No. 2016AP2258-CR
at a mental health institution for treatment. This is plainly
an affirmative restraint. The State concedes as much, but
argues that "the mere fact that a person is detained does not
inexorably lead to the conclusion that the government has
imposed punishment." We agree. However, that does not change
the fact that NGI committees are affirmatively restrained.
¶42 Second, measures such as NGI commitments have
historically been regarded as non-punitive in nature. In
addition to this court's statement in Szulczewski regarding the
purpose of NGI commitments, the United States Supreme Court has
recognized that "measures to restrict the freedom of the
dangerously mentally ill" serve a "legitimate nonpunitive
governmental objective and has been historically so regarded."
Kansas v. Hendricks, 521 U.S. 346, 363 (1997) (citing United
States v. Salerno, 481 U.S. 739, 747 (1987)). The Supreme Court
further recognized "the confinement of 'mentally unstable
individuals who present a danger to the public' as one classic
example of nonpunitive detention." Id. (citing Salerno, 481
U.S. at 748-49).
¶43 Third, NGI commitments do not "come into play only on
a finding of scienter." As the State correctly notes, NGI
commitments are necessarily premised on the absence of scienter,
which renders an NGI defendant not legally culpable for the
underlying criminal conduct. See Wis. Stat. § 971.15(1).
¶44 Fourth, NGI commitments do not serve the "traditional
aims of punishment——retribution and deterrence." Rather, NGI
commitments serve to treat defendants' mental illness and
24
No. 2016AP2258-CR
protect the public. Such ends do not fit the traditional goals
of retribution and deterrence associated with criminal
convictions, judgments, and sentencing. See Szulczewski, 216
Wis. 2d at 504; see also Jones v. United States, 463 U.S. 354,
368–69 (1983) (explaining that "insanity acquittees" are not
convicted, and thus not punished, and that "confinement rests on
[an acquittee's] continuing illness and dangerousness").
¶45 Fifth, NGI commitments require underlying behavior
that results in criminal charges being brought against the
defendant. Though a successful NGI defense obviates the
defendant's criminal responsibility, criminal conduct is an
inherent underpinning of an NGI commitment.
¶46 Sixth, NGI commitments certainly carry an alternative,
non-punitive purpose. As this court stated in Muldrow, this "is
considered the most significant factor in determining whether
the effect of a sanction is punitive." Muldrow, 381
Wis. 2d 492, ¶57 (internal quotation marks omitted). Here, as
noted above, the purpose of NGI commitments is to treat the
defendant and protect the public. NGI commitments thus carry a
strong alternative and non-punitive purpose. Similarly, this
court in Muldrow held that lifetime GPS tracking for sex
offenders had "[t]he non-punitive purpose of . . . protecting
the public from future sex offenses," as it "ensures law
enforcement will have ready access to evidence of an offender's
whereabouts." Id., ¶¶57–59. The rationale here is even
stronger——unlike GPS tracking, NGI commitments keep defendants
25
No. 2016AP2258-CR
away from the public and provide treatment for defendants'
mental illness.
¶47 Seventh, NGI commitments are not excessive in relation
to their rehabilitative and protective purposes. In Wisconsin,
NGI commitment terms may not exceed the maximum confinement term
of the charged criminal offense. For felonies committed on or
after July 30, 2002, NGI commitments may at most equal "the
maximum term of confinement in prison that could be imposed" on
a defendant if his NGI defense failed. Wis. Stat.
§ 971.17(1)(b). For crimes committed prior to July 30, 2002,
courts may at most impose a term of commitment equaling two-
thirds of the maximum term of confinement that could be imposed
if the NGI defense failed. § 971.17(1)(a). Sections
971.17(1)(a) and (1)(b) set the ceiling, but nothing in § 971.17
requires an NGI commitment term to mirror the maximum term of
confinement a defendant faces if his NGI defense is
unsuccessful.
¶48 Further, NGI defendants have the ability to petition
for conditional release six months after initial confinement,
and every six months after a previous petition was denied or
revoked. Wis. Stat. § 971.17(4). Six months after being placed
on conditional release, an NGI defendant may even file a
petition for termination of the underlying commitment order.
§ 971.17(5). Therefore, if the NGI defendant shows that he is
no longer dangerous and is fit to re-enter society, he will be
permitted to do so. This indicates direct ties to the
26
No. 2016AP2258-CR
rehabilitative and protective purposes of NGI commitments in a
manner that is not excessive.
¶49 An application of the intent-effects test to NGI
commitments strongly confirms that NGI commitments do not have a
punitive intent or effect. Therefore, NGI commitments are
collateral consequences of a defendant's plea. On that basis,
we also decline to use our superintending and administrative
authority to extend Bangert and Shegrud to require circuit
courts to inform NGI defendants of the maximum possible term of
commitment they face if their NGI defense succeeds.
D. The Circuit Court's Error Does Not Entitle
Fugere To Withdraw His NGI Plea.
¶50 Having concluded that circuit courts have no duty to
inform NGI defendants of the maximum possible term of commitment
they face, we still must address the circuit court's undisputed
error in this case. The circuit court did not use the correct
terminology, nor did it advise Fugere as to the correct civil
commitment length. The parties argue over the proper standard
in this case. The State asserts that this court should adopt a
harmless-error framework for considering plea colloquy defects
where a defendant does not have a right to be informed of the
information underlying the circuit court's purported error.
Fugere argues that this court should employ the "manifest
injustice" standard set forth in Bangert and its progeny.
¶51 We conclude that the error here was not one which
infected the plea. The information that the circuit court
provided did not relate to the maximum potential criminal
27
No. 2016AP2258-CR
penalty should Fugere not succeed in his affirmative defense.
Courts are not required to inform NGI defendants of the maximum
possible term of commitment if their defense succeeds. This
case is distinguishable from Bangert and its progeny, where we
have applied a "manifest injustice" standard to determine
whether a defendant's plea was given knowingly, intelligently,
and voluntarily. As we have concluded that there is no
requirement for a circuit court to inform NGI defendants of the
maximum possible term of commitment, a circuit court's failure
to convey, or to accurately convey it cannot render an NGI
defendant's plea unknowing, unintelligent, or involuntary.
While we do not condone providing misinformation regarding the
civil outcome should a defendant be found NGI and we caution
courts to be careful to properly advise defendants, the circuit
court's error here was harmless.
¶52 Though the circuit court overstated the maximum
possible term of commitment by 20 years and said the word
"supervision" instead of "commitment," the circuit court's error
here was harmless. First, the correct information was given
regarding the maximum term of imprisonment. Fugere entered into
a plea agreement with the State, and the parties agreed that
they would ask the circuit court to determine whether to impose
institutional commitment or conditional release. Thus, it was
specifically contemplated that Fugere may face commitment if his
NGI defense succeeded. Second, at the time the at-issue
proceedings occurred, Fugere was already committed pursuant to a
case which charged other sexual assault crimes. The circuit
28
No. 2016AP2258-CR
court addressed Fugere's committed status on the record at the
hearing and confirmed that Fugere was familiar with how the
commitment process worked. Third, at another point in the
hearing, Fugere's attorney stated on the record that Fugere was
aware that if he violates the terms of any conditional release
he may receive, he would be sent back to Mendota Mental Health
Institute. Fourth, given the circuit court's errant statement
that the maximum term would be 60 years, Fugere certainly would
have thus been aware that he could have been subject to a 40-
year term. Fifth, the circuit court adopted the parties' joint
recommendation of 30 years' confinement. Fugere received
exactly what he bargained for regarding his NGI plea: a 30-year
term of commitment as an alternative to a prison sentence of 40
years with 20 years of extended supervision.
¶53 As a result, though the circuit court undoubtedly
erred in stating the wrong maximum term of commitment or
supervision that would result if Fugere's NGI defense was
successful, the circuit court's error was, at most, harmless.9
9 We note the court of appeals' conclusion "that circuit
courts need not advise a defendant pleading NGI of the potential
range of civil commitment he or she will face if found not
mentally responsible for his or her crimes, much less do so
correctly." State v. Fugere, 2018 WI App 24, ¶19, 381
Wis. 2d 142, 911 N.W.2d 127. This statement should not be
construed as allowing courts to provide inaccurate information
to defendants. Certainly, courts should exercise caution to
ensure that information they provide defendants is correct.
29
No. 2016AP2258-CR
IV. CONCLUSION
¶54 The circuit court provided inaccurate information to
Fugere concerning the maximum period of civil commitment should
he prevail on his affirmative defense to the criminal charges.
Fugere's motion, which sought withdrawal of his NGI plea as a
result of the inaccurate information, was denied by the circuit
court.
¶55 We conclude that a circuit court is not required to
inform an NGI defendant of the maximum possible term of civil
commitment at the guilt phase (1) because a defendant who
prevails at the responsibility phase of the NGI proceeding has
proven an affirmative defense in a civil proceeding, avoiding
incarceration, and is not waiving any constitutional rights by
so proceeding in that defense; and (2) because an NGI commitment
is not punishment but rather, is a collateral consequence to one
who successfully mounts an NGI defense to criminal charges. We
therefore decline to exercise our superintending and
administrative authority to require circuit courts to advise NGI
defendants of the maximum period of civil commitment.
¶56 Fugere also requests that this court conclude that the
circuit court's error was not harmless with respect to the
misinformation provided to him concerning potential civil
consequences should he prevail in his defense. The circuit
court here provided accurate information to Fugere regarding the
maximum possible term of imprisonment but inaccurate information
regarding commitment, so we thus address whether the circuit
court's error otherwise entitles Fugere to withdraw his NGI
30
No. 2016AP2258-CR
plea. We conclude that the circuit court's error was harmless
because it was unrelated to the guilt phase of the NGI defense,
and instead, the inaccurate information pertained to the
potential civil commitment at the responsibility phase.
Additionally, Fugere received the benefit of his plea agreement
with the State and otherwise understood the consequences of
prevailing on an NGI defense as he was already civilly committed
for an unrelated charge. Thus, there was no manifest injustice
and we affirm the court of appeals.
By the Court.—The decision of the court of appeals is
affirmed.
31
No. 2016AP2258-CR.awb
¶57 ANN WALSH BRADLEY, J. (dissenting). There is no
dispute in this case that the circuit court gave Corey Fugere
incorrect information regarding the length and nature of the
commitment he faced upon pleading not guilty by reason of mental
disease or defect (NGI). Fugere was told that he faced a
maximum 60 year term of "supervision," when he actually faced a
maximum 40 year term of commitment to an institution.
¶58 Sixty, however, is not forty and supervision is not
commitment to an institution.
¶59 Nevertheless, the majority indicates that the
incorrect information matters not, and denies Fugere the
opportunity to withdraw his plea. It concludes first that "a
circuit court is not required to inform an NGI defendant of the
maximum possible term of civil commitment at the guilt
phase . . . ." Majority op., ¶2. Second, the majority
concludes that the misinformation provided by the circuit court
with regard to the length and nature of the commitment he faced
was harmless. Id., ¶3.
¶60 I disagree with both of these erroneous conclusions.
In State v. Brown this court previously stated, "[i]f a
defendant does not understand the nature of the charge and the
implications of the plea, he should not be entering the plea,
and the court should not be accepting the plea." 2006 WI 100,
¶37, 293 Wis. 2d 594, 716 N.W.2d 906. This statement is just as
true in the NGI context as it is in a criminal case.
¶61 Here Fugere received only half of the story. Although
he was accurately informed of the potential prison sentence in
1
No. 2016AP2258-CR.awb
the event his NGI defense was unsuccessful, he was deprived of
essential information regarding the implications of his NGI
plea. As we have done in the past to remedy such a violation, I
would invoke this court's superintending authority to ensure
that NGI defendants receive full and accurate information about
the consequences of their pleas.
¶62 Further, the errors in this case were not necessarily
harmless. The circuit court was off the mark by 20 years and
incorrectly advised the defendant that he would be placed on
supervision rather than confined to an institution.
¶63 Because we do not know based on the record before us
how the errors affected Fugere's calculations in entering his
plea, we should remand to the circuit court for a Bangert
hearing. See State v. Bangert, 131 Wis. 2d 246, 274-75, 389
N.W.2d 12 (1986). Accordingly, I respectfully dissent.
I
¶64 The majority's first error lies in its determination
that "a circuit court is not required to inform an NGI defendant
of the maximum possible term of civil commitment at the guilt
phase . . . ." See majority op., ¶2.
¶65 In Bangert, this court established a mandatory rule
that the circuit court must "determine a defendant's
understanding of the nature of the charge at the plea hearing by
following any one or a combination of the [denominated]
methods." Bangert, 131 Wis. 2d at 267. This rule encompasses a
requirement that a circuit court must, in its plea colloquy,
"[e]stablish the defendant's understanding of the nature of the
2
No. 2016AP2258-CR.awb
crime with which he is charged and the range of punishments to
which he is subjecting himself by entering a plea." Brown, 293
Wis. 2d 594, ¶35.
¶66 The procedures established in Bangert apply equally to
the NGI context. In State v. Shegrud, this court determined
that "a court faced with a defendant entering a plea of not
guilty by reason of mental disease or defect must address the
defendant personally to determine whether the defendant is
entering the plea voluntarily with an understanding of the
nature of the charge." 131 Wis. 2d 133, 138, 389 N.W.2d 7
(1986).
¶67 Bangert's chief aim was to "ensure a knowing,
intelligent, and voluntary plea" by requiring "that a trial
judge explore the defendant's capacity to make informed
decisions." Brown, 293 Wis. 2d 594, ¶30. As the Brown court
explained, "[t]he duties established . . . in Bangert . . . are
designed to ensure that a defendant's plea is knowing,
intelligent and voluntary. The faithful discharge of these
duties is the best way we know for courts to demonstrate the
critical importance of pleas in our system of justice and to
avoid constitutional problems." Id., ¶23. Put simply, "[i]f a
defendant does not understand the nature of the charge and the
implications of the plea, he should not be entering the plea and
the court should not be accepting the plea." Id., ¶37.
¶68 Neither the Constitution nor Wis. Stat. § 971.08
require the sort of plea colloquy for which Bangert provides.
Instead, Bangert and its requirements act as a prophylactic
3
No. 2016AP2258-CR.awb
measure "[t]o head off postconviction hearings on plea
withdrawals . . . ." Brown, 293 Wis. 2d 594, ¶33.
¶69 Thus, rather than relying on constitutional or
statutory principles, the court in Bangert and Shegrud forged
its procedure as a function of this court's superintending
authority. Bangert, 131 Wis. 2d at 267; Shegrud, 131 Wis. 2d at
138; see Wis. Const. art. VII, § 3(1) (granting this court
"superintending and administrative authority over all courts");
Koschkee v. Evers, 2018 WI 82, ¶8, 382 Wis. 2d 666, 913
N.W.2d 878. Our superintending authority is "as broad and as
flexible as necessary to insure the due administration of
justice in the courts of this state." In re Kading, 70
Wis. 2d 508, 520, 235 N.W.2d 409 (1975).
¶70 As in Shegrud and Bangert, here the court would be
wise to utilize its superintending authority. Specifically,
Shegrud should encompass not only an advisement of the potential
prison sentence an NGI defendant faces, but be extended to
encompass the potential period of mental health commitment as
well. This minimal extension would ensure that NGI defendants
are provided with all relevant information on which to base
their decision to enter a plea.
¶71 Such a use of our superintending authority is
appropriate because the principles that drove Bangert and
Shegrud apply with equal force here. The "due administration of
justice" requires that NGI defendants are properly and
accurately informed of the potential commitments they face. If
the court is truly concerned with ensuring that a defendant's
4
No. 2016AP2258-CR.awb
plea is the result of informed decision-making, then circuit
courts should be required to ascertain whether the defendant
understands the consequences of a successful NGI defense. This
requirement includes ascertaining whether the defendant
understands the maximum possible term of commitment and its
nature.
¶72 However, under the majority's rule, Fugere and future
defendants who enter stand-alone NGI pleas can receive
incomplete information regarding what could happen to them as a
result of their pleas. When the circuit court informs an NGI
defendant of the maximum prison sentence only, the defendant
receives just half of the information needed to make an informed
decision.
¶73 In other words, if the defendant is found to be not
guilty by reason of mental disease or defect, then the prison
sentence is merely hypothetical. It is commitment, and not
imprisonment, that will actually come to fruition. Yet the
defendant is only informed of one possible sanction when there
are two distinct possibilities——commitment or prison.
¶74 This court should ensure that defendants pleading NGI
are provided with information that is actually useful to them
and will assist in making informed decisions regarding their
pleas. Accordingly, I would invoke this court's superintending
authority to minimally extend Shegrud. Circuit courts should be
required not only to inform defendants of the maximum penalty if
found guilty of the charge, but also to accurately inform NGI
defendants of the maximum commitment they face.
5
No. 2016AP2258-CR.awb
II
¶75 The majority's second error lies in its conclusion
that the misinformation given by the circuit court was harmless.
See majority op., ¶3. Two significant pieces of inaccurate
information marred the plea colloquy in this case.1 I address
each in turn.
¶76 First, the circuit court misstated the maximum
commitment Fugere could receive. The circuit court told Fugere
he faced a maximum commitment of sixty years, when he actually
faced forty years.2
¶77 Such an error is not necessarily harmless. "When a
defendant is told that he faces a higher punishment than
provided by law and pleads guilty, the plea colloquy is on its
face defective under Bangert." State v. Cross, 2010 WI 70, ¶48,
1 The majority bases its determination that the errors were
harmless on the assertion that they were "unrelated to the guilt
phase of the NGI defense . . . ." Majority op., ¶3. However,
the record reflects that there was a single plea colloquy
instead of two separate proceedings. The guilt and
responsibility phases were addressed by the circuit court during
the span of the single twenty-minute plea hearing.
2 The majority paints with a very broad brush in appearing
to declare that a circuit court's errors in inaccurately
conveying the maximum period of commitment will always be
harmless. See majority op., ¶51 ("As we have concluded that
there is no requirement for a circuit court to inform NGI
defendants of the maximum possible term of confinement, a
circuit court's failure to convey, or to accurately convey it
cannot render an NGI defendant's plea unknowing, unintelligent,
or involuntary.") (emphasis added). Such a pronouncement is
ill-advised and eyebrow-raising. If Fugere were told that he
faced a maximum of one year of "supervision" when he actually
faced a forty year commitment to an institution, would the error
really be harmless? The majority appears to say that it would.
6
No. 2016AP2258-CR.awb
326 Wis. 2d 492, 786 N.W.2d 64 (Abrahamson, C.J., concurring).
Likewise, because I determine that a circuit court should be
required to advise a defendant pleading NGI of the maximum term
of commitment, the same principle applies here.
¶78 Fugere was told he faced a longer period of commitment
than he actually faced. At this stage of the proceedings, we do
not know how this error affected Fugere's calculations in
entering his plea.
¶79 Second, the circuit court mistakenly stated that
Fugere faced a period of "supervision," when he actually faced
"commitment." Again, such an error is not necessarily harmless.
¶80 Just as there is a significant difference between
sixty years and forty years, there likewise can be a significant
difference between supervision and commitment. Although
supervision is often served in the community, commitment can
involve institutional care. Compare Wis. Stat. § 302.113 with
§ 971.17(3).
¶81 The majority indicates that "[t]he circuit court
addressed Fugere's committed status on the record at the hearing
and confirmed that Fugere was familiar with how the commitment
process worked." Majority op., ¶52. An experience of a prior
commitment proceeding presents a slim reed upon which to rest a
conclusion that a plea is knowingly, intelligently, and
voluntarily made.3 But even if the majority were correct,
3The circuit court's "confirmation" of Fugere's
understanding was quite cursory. The transcript of the plea
hearing reflects the following brief exchange:
(continued)
7
No. 2016AP2258-CR.awb
wouldn't the specification that he faced "supervision" instead
of "commitment" be particularly relevant to an individual
familiar with the commitment process?
¶82 Again, given the current state of the record we do not
know if or how these errors affected Fugere's calculations in
entering his plea. Accordingly, I would remand to the circuit
court for a Bangert hearing at which the State has the burden of
proof to demonstrate by clear and convincing evidence that the
defendant's plea was knowingly, intelligently, and voluntarily
entered despite the deficiencies in the plea hearing. See
Bangert, 131 Wis. 2d at 274-75.
¶83 For the reasons set forth above, I respectfully
dissent.
¶84 I am authorized to state that Justices SHIRLEY S.
ABRAHAMSON and REBECCA FRANK DALLET join this dissent.
THE COURT: You've been on a conditional release on a
different case here before, right?
THE DEFENDANT: Yes.
THE COURT: Do you understand what that's all about?
THE DEFENDANT: Yes.
8
No. 2016AP2258-CR.awb
1