State v. Williams
State v. Williams
Opinion of the Court
¶ 1. Jamal Williams raises two issues on appeal. He first claims he is entitled to resentencing on the ground that the circuit court sentenced him based on an "improper and irrelevant sentencing factor," "namely, the fact that Williams refused to stipulate to restitution for which he was not legally responsible." Second, he argues the court erred on ex post facto grounds in requiring him to pay a mandatory DNA surcharge.
Background
f 2. On April 30, 2013, the State filed a complaint charging Williams and his brother, Tousani Tatum, with felony murder, as parties to a crime. The complaint alleged B.R and R.W. drove to a marijuana deal B.P. had set up with Williams. Williams and
¶ 3. The State and Williams reached a plea agreement, pursuant to which Williams pled guilty to an amended charge of felony attempted armed robbery as a party to a crime. At the plea hearing, counsel for Williams expressed as a factual basis for the plea that upon arriving at the location of the planned drug deal, Tatum
produced a gun and said that he was going to rob the drug dealer. [Williams] at that point knew that a robbery was going to occur, he asked that it not occur, however, he did leave the vehicle and approach [B.P.]
Within that transaction, the gun was used, and after that incident, he ran with the second individual back to the car where he drove the car away aiding . . . [Tatum].
Williams agreed that these facts were accurate, and the court accepted his plea and found him guilty of the amended charge.
¶ 4. The circuit court ordered that a presentence investigation (PSI) be completed. An agent who was
¶ 5. When the agent asked Williams his feelings regarding the offense, his first response was: "I fucked up. I fucked my parole up. My son is out there without his father." Although Williams claimed he was innocent, when queried by the agent, he admitted going to the location to buy drugs and being aware his brother had a gun and planned to rob B.P. Williams said he pled guilty to the amended charge because it was better than going to trial on felony murder, but added, "My case has nothing to do with [R.W.] dying. Nothing related to this case should [be] mixed in with that."
f 6. When the agent asked Williams if he had any remorse, Williams indicated he had remorse for his brother Tatum, his mother, and his son. After prompting by the agent, Williams indicated he also had remorse for R.W.'s father and the three year old who was present when R.W., her father, died. When asked what an appropriate sentence would be, Williams responded that he felt he should get "time served and probation."
¶ 8. Providing her "assessment and impression," the agent wrote that
[o]nly after being questioned, by this writer repeatedly, did [Williams] even give a brief moment of thought to the victims of this case. Mr. Williams went on and on about how he feels he deserves a fair outcome in sentencing.... Mr. Williams is stunned to find himself in the current situation, repeatedly illustrating, to this writer, his only concern is for himself....
Mr. Williams comes off as being very savvy with the criminal justice system .... Mr. Williams illustrated a sense of self-centeredness when speaking about the current offense, minimizing the offense, talking in circles, and blaming others of twisting his words. Mr. Williams showed very little remorse for the victims caused by his action ....
The agent described Williams as having an "atrocious lack of remorse." The agent further observed that "[a]s the 'big brother' and driver, had Mr. Williams disen
¶ 9. At sentencing, the State told the circuit court, "I really don't think there's any remorse here .... As the presentence writer indicated, it's mostly about him and what's gonna happen to him." "There's no remorse for what happened here and he's taking no responsibility for [R.W.'s] death." The State requested Williams be ordered to pay $794 in restitution, joint and several with Tatum, related to the funeral costs of R.W., asserting "the homicide was a direct extension of this armed robbery."
¶ 10. Though invited to do so at the sentencing hearing, neither Williams nor his counsel made any relevant corrections to the PSI. Williams' counsel then told the circuit court that Williams had taken responsibility for his actions by pleading. He "disagreed] strongly" with the State and PSI writer's representations that Williams lacked remorse, stating Williams "expressed to me remorse for everyone involved." Counsel added:
I guess I take issue that because he is thinking about his brother has thrown away his adult life, his mother and his son that somehow that does not reflect his remorse also for [R.W.'s flaneé], [R.W.'s] father and for [R.W.'s] daughter, and in fact, on page four of the PSI the writer states, "He did have remorse thinking about the little girl who saw her father die [and R.W.'s] father who no longer has a son."
Counsel admitted that Williams, even knowing what Tatum's intentions were, "went along to complete the transaction and this horrible, horrible thing resulted," adding that Williams "is completely aware of the effect that this transaction has had on all the families involved." On the issue of restitution, however, counsel
¶ 11. Sentencing Williams, the circuit court stated in relevant part:
[The] attempt [ed] armed robbery . .. [is] really serious because of the nature of the crime, the outcome in this particular instance and your involvement.
Here you set up a drug deal and your brother came along. You knew your brother had a gun. You knew your brother was going to rob the individual, but instead of stopping, saying no, I'm not going to go along with this, get out of my car, I'm not taking you anywhere, you took him to the scene to commit the robbery, and then you assisted.
You called over to [B.P.] [B.P.] knew of you, and so you didn't just tell him to go away, get away because you're going to get robbed, you participated in the entire robbery, and then your brother shoots and kills [R.W.], and instead of saying what did you do, we can't leave here, we've got to call the police, we've got to address this issue—You didn't know he had died at this point. You didn't call for help for him. As he was driving away he shot him, and there was a little girl in the car and he did nothing. You drove away. That reflects upon your character. It reflects upon your participation in this entire proceeding. You've accepted responsibility in accepting a plea in this case. It was certainly strategic.
The court then discussed Williams' substantial criminal history beginning at age twelve, including the failure of prior efforts to help reform Williams. The court stated, "The only significant periods that you've been without arrest were when you've been incarcerated."
¶ 12. The court then discussed the PSI report and comments by Williams' agent therein. The court noted that the crime Williams committed "is extremely
I don't think I have authority to order the restitution. Had you been convicted of the felony murder, party to a crime, certainly yes, but the nature of itself, the nature of the attempt [ed] armed robbery doesn't justify the restitution or give me authority,!2 ] and I think the fact that you're not willing to join in on that also reflects your lack of remorse under the circumstances, and I'm certainly considering that.
The court sentenced Williams to ten years in prison and seven and one-half years of extended supervision and ordered him to "submit the mandatory DNA sample" and pay "the mandatory surcharge."
¶ 13. Williams filed a postconviction motion raising numerous claims of error. As relevant to this appeal, the postconviction court determined Williams was not entitled to resentencing on the basis of any comments the sentencing court made related to restitution. The court also denied a request by Williams to vacate the DNA surcharge on the basis that he had already provided a DNA sample and been assessed a $250 surcharge in relation to a 2009 felony conviction. Williams appeals.
' 'Improper /Irrelevant Sentencing Factor''
¶ 14. Williams asserts he is entitled to resentenc-ing because the circuit court sentenced him more harshly on the basis that he did not stipulate to restitution related to the funeral costs of R.W. Williams' appeal of this issue does not get out of the gate because he has not convinced us the court sentenced him more harshly on this basis.
f 15. "A circuit court erroneously exercises its sentencing discretion when it 'actually relies on clearly irrelevant or improper factors.'" State v. Alexander, 2015 WI 6, ¶ 17, 360 Wis. 2d 292, 858 N.W.2d 662 (quoting State v. Harris, 2010 WI 79, ¶ 66, 326 Wis. 2d 685, 786 N.W.2d 409). As Williams acknowledges, "[a] defendant bears the burden of proving, by clear and convincing evidence, that the sentencing court actually relied on irrelevant or improper factors." Id. Despite "the difficulty [a defendant may have] in proving that a sentencing court actually relied on improper factors,.. . requiring a defendant to prove his case 'promotes the policy of finality of judgments and satisfies the purpose of sentence modification, which is the correction of unjust sentences.'" See id., ¶ 20 (quoting Harris, 326 Wis. 2d 685, ¶ 34). Williams fails to satisfy his burden.
¶ 16. In Alexander, our supreme court stated:
When a sentencing challenge is grounded in the use of allegedly erroneous information, we look to the circuit court's articulation of its basis for imposing the sentence. In the context of the whole sentencing transcript, we examine first whether the court gave explicit*258 attention to the allegedly improper factor and second, whether the improper factor "formed part of the basis for the sentence," which could show actual reliance.
Id., ¶ 29 (citation omitted). In the case now before us, the circuit court did give "explicit attention" and recognition to the fact Williams was not stipulating to restitution. Considering "the context of the whole sentencing transcript," id., however, we agree with the postconviction court that this factor did not form part of the basis for Williams' sentence.
¶ 17. Williams asserts the sentencing court "treated ... as an aggravating factor" the fact that he refused to stipulate to restitution. He points to the sentencing court's comment: "I think the fact that you're not willing to join in on [the restitution] also reflects your lack of remorse under the circumstances, and I'm certainly considering that." We are unconvinced the court's use of the word "that" at the end of this sentence was referring to the court's consideration of Williams' refusal to stipulate to restitution, as Williams insists. Rather, we agree with the postconviction court's conclusion that "that" refers to Williams' lack of remorse, not his refusal to stipulate to restitution, and that the sentencing court was merely noting that his refusal was another example of his lack of remorse.
¶ 18. Prior to sentencing Williams, the sentencing court had reviewed the PSI report by Williams' agent, which provided numerous examples and the agents' overall strong impression of Williams' "atrocious lack of remorse." At the sentencing hearing, the State also pointed to the report and echoed the agent's observations. Williams and his counsel told the court Williams was remorseful, but the court was unconvinced. The court appeared to believe Williams' decision to plead guilty was "certainly strategic," and it noted Williams' long history of criminal activity and the fact that he fled the scene of the crime after Tatum had fired at R.W., rather than seeing if R.W. was alright. The court further noted:
The presentence writer comments that you minimized your behavior in all of your arrests, placed blame on others, that you were proud and seemed fond of how humorous it is the times you're charged and then the cases are dropped, and when asked if you feel that you got away with a lot of stuff, you said, "Rights are rights, right?"
The court added that the agent was
somebody who has worked with you, was hopefully thinking that you were turning your life around— notes that you aren't remorseful, that your focus is upon you, your family, your brother [Tatum].
You believe your brother was unfairly treated and that you suggest a fair sentence would include time served and probation as fair punishment, that although a family lost their son and a father, you don't know how sending you to prison is going to make that any better.
I don't think I have authority to order the restitution. Had you been convicted of the felony murder, party to a crime, certainly yes, but the nature of itself, the nature of the attempt [ed] armed robbery doesn't justify the restitution or give me authority, and I think the fact that you're not willing to join in on that also reflects your lack of remorse under the circumstances, and I'm certainly considering that.
The record does indicate the court was "certainly considering" Williams' lack of remorse and likely sentenced Williams more harshly due to this lack of remorse— again, a legitimate basis for a harsher sentence. Williams has failed to convince us, however, that his failure to stipulate to restitution "formed part of the basis for" the sentence.
¶ 20. Williams also challenges the sentencing court's order that he pay a mandatory $250 DNA surcharge. He argues that because he had been "ordered to provide a DNA sample and pay the surcharge in a prior case," "retroactive application" of the mandatory DNA surcharge statute in this case constitutes a violation of the ex post facto clauses of our state and federal constitutions.
f 21. "Whether a statute violates the ex post facto clause is a question of law that we review de novo." State v. Elward, 2015 WI App 51, ¶ 5, 363 Wis. 2d 628, 866 N.W.2d 756. As relevant here, a law may violate the ex post facto clause if it makes mandatory a punishment that was merely discretionary at the time a defendant committed a crime. See Weaver v. Graham, 450 U.S. 24, 32 n.17 (1981); Lindsey v. Washington, 301 U.S. 397, 400 (1937). Because Williams claims the statute is unconstitutional "as applied" to him, we consider the facts of this specific case. See Blake v. Jossart, 2016 WI 57, ¶ 26, 370
¶ 22. Some background regarding 2013 Wis. Act 20, which created the statutes at issue in this case, is helpful. Prior to the enactment of Act 20, circuit courts did not have the authority, with very minimal exception, to require a person convicted of only misdemeanor offenses to provide a DNA sample or pay a DNA surcharge. See 2013 Wis. Act 20, §§ 2355-6, 9426; Wis. Stat. §§973.046(13), 973.047(1f) (2011-12);
¶ 23. Our decisions in Elward and Radaj drive our decision here. In Elward, we observed that because of how 2013 Wis. Act 20 was structured
[w]hen the circuit court sentenced Elward [on January 14, 2014, for a misdemeanor conviction], the law required the surcharge, but did not permit the State to actually collect a DNA sample. As a result, the $200 surcharge bore no relation to the cost of a DNA test because he never had to submit to a test.
Elward, 363 Wis. 2d 628, ¶ 7 (citations omitted). "[T]he surcharge was disassociated from its purpose of financially supporting the DNA database." Id., ¶ 2. Because "[t]he State received money for nothing," we stated, "[t]his served only to punish Elward without pursuing any type of regulatory goal. Therefore, the surcharge as applied to Elward was a fine, not a fee,"
¶ 24. In Radaj, 363 Wis. 2d 633, ¶¶ 1—3, Radaj committed four felonies prior to the enactment of 2013 Wis. Act 20. At the time he committed the crimes, the
As is clear from the statutes, the DNA surcharge is used to cover the cost of the DNA "analysis" of the biological specimen that the circuit court must order a defendant to provide at the time the court orders the surcharge. See Wis. Stat. §§ 973.046(1r) and 973.047(1f).... [W]e fail to see any link between the initial DNA analysis and the number of convictions.
Radaj, 363 Wis. 2d 633, ¶ 31. Thus, we held that the imposition of four $250 DNA surcharges on Radaj, as was required under the new DNA surcharge statute, was "not rationally connected and [was] excessive in relation to the surcharge's intended purpose, and that its effect [was] to serve traditionally punitive aims." Id., ¶ 35. Based on that, we further held "that, on
f 25. When Williams committed the attempted armed robbery in this case, April 25, 2013, the law provided that a circuit court could exercise its discretion in imposing a $250 felony DNA surcharge; it was not mandatory. Wis. Stat. § 973.046(lg) (2011-12). Williams was sentenced after 2013 Wis. Act 20 took effect, requiring the mandatory imposition of a $250 DNA surcharge for every felony conviction. See § 973.046(lr). At sentencing, the court ordered Williams to provide a DNA sample and pay a $250 DNA surcharge related to this attempted armed robbery conviction.
¶ 26. The record shows that, in relation to a separate felony offense, a judgment of conviction was entered in 2009 requiring Williams to "[p]rovide DNA sample and pay surcharge" of $250. Williams argues he
therefore would not have needed to provide another DNA sample after his conviction in this case. Thus, the mandatory surcharge in this case is not being used to cover the costs of taking a sample from Williams or*266 entering it into the database, so there is no legitimate "fee" reason for Williams to pay another surcharge.
Williams insists the mandatory surcharge "is simply punitive, as it is not compensating the State for any additional DNA costs that Williams has created." The State concedes there is no DNA-analysis-related activity that has occurred or will occur specifically in relation to Williams' attempted armed robbery conviction in this case.
By the Court.—Judgment affirmed in part, reversed in part; order reversed and cause remanded for further proceedings.
The Honorable Timothy G. Dugan entered the judgment of conviction and sentenced Williams, and the Honorable Ellen E. Brostrom denied Williams' motion for postconviction relief.
Considering the totality of the record, we seriously question the correctness of the circuit court's conclusion that it did not have the authority to order the requested restitution. See State v. Tarlo, 2016 WI App 81, ¶ 6, 372 Wis. 2d 333, 887 N.W.2d 898 (holding that restitution may be ordered if there is " 'a causal nexus' between the 'crime considered at sentencing' and the damage" (citation omitted)). Because there is no appeal of the court's determination in this regard, however, we do not address it.
The postconviction court stated:
The defendant misconstrues the court's comment. The record shows that [the] court considered the defendant's lack of remorse in determining [the] sentence .... The court meant that the challenge to the restitution reflected the lack of remorse that the court was already considering. The fact that the defendant did not stipulate to the restitution in no way affected the court's sentence.
Because Williams has failed to convince us his failure to stipulate to restitution "formed part of the basis for" his
All references to the Wisconsin Statutes are to the 2015-16 version unless otherwise noted.
The circuit court had discretion to order payment of the DNA surcharge except as to violations of certain statutes. Wis. Stat. § 973.046(1r) (2009-10) (mandating a DNA surcharge for violations of Wis. Stat. §§ 940.225, 948.02(1) or (2), 948.025, 948.085).
In State v. Scruggs, 2017 WI 15, 373 Wis. 2d 312, 891 N.W.2d 786, our supreme court recently explained that
a fine is a punishment for an unlawful act that is a "substitute deterrent for prison time" and "a signal of social disapproval of unlawful behavior." In contrast, a fee (or in this case a "surcharge") is compensation for a service provided to, or alternatively compensation for a cost incurred by, the person charged the fee.
Id., ¶ 21 (quoting Mueller v. Raemisch, 740 F.3d 1128, 1133 (7th Cir. 2014)).
The fact that no DNA-analysis-related activity occurred in this case distinguishes it from the situation before our supreme court in Scruggs. See Scruggs, 373 Wis. 2d 312, ¶ 48; see also State v. Scruggs, 2015 WI App 88, ¶ 14, 365 Wis. 2d 568, 872 N.W.2d 146.
The State acknowledges in its response brief that Williams "does not have to provide a new DNA sample as a result of his conviction in this case."
One could argue that in Scruggs our supreme court appeared to approve of our holding in Radaj by stating:
As the court of appeals in this case explained, "since this appeal involves only a single felony conviction, Radaj does not control our decision." Unlike Radaj, which involved multiple surcharges for multiple felony convictions, this case addresses whether a single DNA surcharge for a single felony conviction is punitive.
Scruggs, 373 Wis. 2d 312, ¶ 35 (citation omitted). The Scruggs court further noted that the State was not challenging our
We note that it is not clear from the record if Williams ever actually paid the $250 DNA surcharge ordered in relation to his 2009 conviction. See State v. Jones, 2004 WI App 212, ¶¶ 2, 7, 11, 277 Wis. 2d 234, 689 N.W.2d 917 (where we determined the circuit court did not erroneously exercise its discretion in declining to vacate a $250 surcharge because the defendant had not demonstrated he had actually paid a surcharge related to a surcharge order in a prior case).
See Mary Spicuzza, Scott Walker proposes increased DNA sampling as part of $14M budget boost for law enforcement, Wis. State Journal (Feb. 13, 2013), http://host.madison. com/wsj/news/local/govt-and-politics/scott-walker-proposes-in-creased-dna-sampling-as-part-of-m/article_de2f0536-7530-ll e2-920d-00 Ia4bcf887a.html.
Concurring Opinion
(concurring).
¶ 28. The majority opinion is a correct reading and application of the law
¶ 29. 2013 Wis. Act 20, the state budget bill, dramatically expanded DNA collection in Wisconsin. Previously, only those convicted of felonies and certain misdemeanors were required to provide a DNA sample. Wis. Stat. § 973.047(1f) (2011-12). And only those convicted of certain sex crimes were required to pay one $250 surcharge to support the DNA databank. Wis. Stat. § 973.046(1r) (2011-12). The surcharge for other felony offenders was within the circuit court's discretion. Sec. 973.046(1g). In 2013 Wis. Act 20, the legislature chose to require DNA samples from a vast new audience—all those arrested for felonies (including juveniles committing acts that would be felonies), and all those convicted of misdemeanors. See 2013 Wis. Act 20, §§ 2343, 2356.
¶ 30. Such an expansion of the databank would no doubt cost millions of dollars.1 To pay for this, the legislature added a new surcharge of $200 per misdemeanor and $250 per felony conviction. See 2013 Wis. Act 20, §§ 2354-55. These surcharge fees apply no matter whether an individual has submitted a sample or not. Additionally, all surcharges are now mandatory,
¶ 31. While the merits and constitutionality of this expanded DNA collection scheme were considered, debated, and adjudicated,
First, it helps law enforcement and prosecutors efficiently and successfully investigate and prosecute crimes that may otherwise go unsolved. Second, it increases the likelihood that law enforcement can identify perpetrators of previously unsolved crimes and apprehend them before they commit future crimes. Third, including arrestee DNA in the data bank has the potential to exonerate innocent persons wrongfully charged or convicted of certain crimes. Fourth, DNA collection at arrest will substantially enhance the ability of law enforcement to accurately identify persons in custody. [3 ]
¶ 32. Thus, from the very beginning, the expanded DNA databank—and the surcharges supporting it—had purposes far broader than collection and
¶ 33. Many object to this way of funding basic public safety services. But those policy arguments are irrelevant to the legal question here. What is relevant is that Wisconsin's DNA surcharge is not unique—not at all. In fact, the statute books are filled with charges and fees and surcharges that are not denominated criminal fines, yet are assessed against convicted criminals or those subject to civil forfeitures. Some fill the general funds of the state or county; others go to specific causes. Here are a few examples:
• A child pornography surcharge of $500 per image which goes to the Department of Justice (DOJ) to fund investigations of sexual assaults against children and grants for sexual assault victim services. Wis. Stat. § 973.042.
• A bisphenol A (BPA) enforcement surcharge, which adds fifty percent to the normal fine or forfeiture.*271 Wis. Stat. § 100.335(7).4 All of these funds go the Department of Agriculture, Trade, and Consumer Protection to fund enforcement of BPA prohibitions.
• A crime lab and drug law enforcement surcharge of thirteen dollars per count that applies when the court imposes a sentence, places a person on probation, or imposes a forfeiture. These funds also go to DOJ to fund drug law enforcement, crime labs, and other services. Wis. Stat. § 165.755.
• The crime prevention funding board surcharge allows counties to impose a fine of twenty dollars per count to help fund crime prevention funding boards. Wis. Stat. § 973.0455.
• The domestic abuse surcharge under Wis. Stat. § 973.055 of $100 per count for conviction of certain crimes. All funds go to the Department of Health Services to fund grants to domestic abuse service organizations.
• The driver improvement program surcharge, which costs offenders $435 per case, when the court imposes a fine or forfeiture for OWI-related offenses. Wis. Stat. § 346.655. Counties receive 50.3% of these fees for alcohol treatment services (or to tribal facilities, if applicable). The Department of Administration (DOA) receives 49.7% of the remaining funds. Id.
• Those convicted of certain drug fines must also pay the drug abuse program improvement surcharge of seventy-five percent of the penalty—all of which go to the Division of Hearings & Appeals to fund drug-abuse-related programming. Wis. Stat. § 961.41(5)(a).
*272 • The drug offender diversion surcharge adds ten dollars for each conviction for those sentenced or placed on probation for property crimes under Wis. Stat. ch. 943. These funds go to counties for drug offender programming. Wis. Stat. § 973.043.
• GPS tracking via the Department of Corrections (DOC) receives financial support in the form of a $200 per count surcharge (the global positioning system tracking surcharge) imposed on those convicted of a temporary restraining order, injunction, or other violation under Wis. Stat. §§ 813.12 or 813.125. Wis. Stat. § 973.057.
• The ignition interlock surcharge goes to the county treasury. This fifty dollar surcharge is paid when a court enters an order under Wis. Stat. § 343.301(lg) relating to OWI violations. Sec. 343.301(5).
• Our county jails are funded in part by a jail surcharge of one percent of a fine or forfeiture, or ten dollars per count, whichever is greater. Wis. Stat. § 302.46(1).
• Under the juvenile delinquency victim and witness surcharge, DOJ receives twenty dollars per case when juveniles are adjudicated delinquent to fund victim and witness services. Wis. Stat. § 938.34(8d).
• The penalty surcharge funds DOJ law enforcement training activities via a twenty-six percent surcharge on most fine or forfeitures. Wis. Stat. § 757.05.
• Those paying restitution under Wis. Stat. § 973.20(1r) must pay an additional ten percent restitution surcharge, monies which go straight to counties. Wis. Stat. § 973.06(1)(g). Where DOC or the clerk of circuit court is responsible for transferring restitution to the appropriate person or victim, an additional five percent surcharge is assessed to*273 compensate DOC or the clerk for its administrative expenses. Sec. 973.20(11)(a).
• OWI-related offenders must, in addition to all other fines and surcharges, pay fifty dollars per case, all of which goes to DOAto fund the safe ride program. Wis. Stat. § 346.657(1).
• The crime victim and witness surcharge costs offenders sixty-seven dollars per count for misdemeanors and ninety-two dollars per count for felonies; the surcharge funds DOJ victim and witness services. Wis. Stat. § 973.045(1)(a)-(b).
¶ 34. While one might wonder if all of this is a good idea, this partial listing of additional assessments paid by those subject to the state's power helps us squarely see this fact; significant components of the state justice system and programs aimed at keeping people out of it are funded by surcharges different only in detail, not kind, from the DNA surcharge. And the question before us is whether such surcharges constitute an ex post facto law when they are assessed against those who committed their crimes before the particular surcharge existed. The majority gets the answer to this question exactly right under our precedents. I believe those precedents are wrong, however, and they should be overturned.
¶ 35. Our constitutions—both federal and state —create numerous protections for those on the wrong end of the criminal justice system. Our founders did this precisely because they were worried about a government that could deprive people of life, liberty, and property unjustly. They worried about this because they saw it with their own eyes. As Alexander Hamilton observed, "The creation of crimes after the commission of the fact" had been among "the favorite
¶ 36. The test that governs the ex post facto inquiry is well settled in the law.
¶ 37. The Wisconsin Supreme Court has already found—correctly in my opinion—that the intent of the DNA surcharge is not punitive. Scruggs, 373 Wis. 2d 312, ¶ 3. The court explained that the DNA surcharge was "intended to offset the costs associated with the collection and analysis of samples together with the maintenance of the state's DNA databank." Id., ¶ 30. In other words, it is not just about collecting a sample. The surcharge compensates for collection, analysis, and maintenance of samples of the databank. This is correct, and I would add that samples are maintained specifically to support all of the aforementioned goals of the expanded DNA databank.
¶ 38. This rationale, in my view, strongly undercuts the reasoning of Elward and Radaj, both of which base their conclusion on the rational connection between the intent and effects of the law, and in so doing, take a cabined and cramped view of the purpose of the DNA databank.
¶[ 39. Elward—though limited by its facts to the imposition of a DNA surcharge for misdemeanants at a time when the law did not require a sample—reasons that the DNA surcharge makes no sense if a DNA
¶ 40. Similarly, Radaj suggested there is no rational reason for charging defendants on a per felony basis. Radaj, 363 Wis. 2d 633, ¶ 32 ("[W]e can conceive of no reason why such costs would generally increase in proportion to the number of convictions, let alone in direct proportion to the number of convictions."). I disagree. It is perfectly reasonable to say that someone who has committed four felonies should
¶ 41. To summarize, I see the statute thusly: The DNA databank is a crime-solving, crime-fighting public safety tool. It supports law enforcement investigatory efforts and, in so doing, saves time, money, and resources that might be otherwise devoted. It serves criminal defendants who might be wrongly accused, or even worse, wrongly convicted. In short, the DNA databank was expanded to further support, assist, and improve the administration of criminal justice in the state of Wisconsin. The funding mechanism, then, must be seen in this light. The legislature needed additional funds for this broader cause, and decided to place the burdens not on those necessarily required to give a sample, but on those convicted of crimes. Policy merits aside, it is altogether rational to assess a fee aimed at solving crimes against those who commit them; at the very least, it is no less rational than the multitude of fees and surcharges that work exactly the same way. The conclusions of Elward and Radaj, on the other hand, wrongly assume that surcharges exist to collect and process and, in the strictest sense, maintain a DNA sample for a given defendant. This narrow view is not supported by the statute itself, nor is it consistent with the test which requires the "clearest proof' that the effects override the legislature's nonpunitive intent.
f 43. Scruggs, Radaj, and Elward sit in uneasy, unsettled tension. Together, they create all sorts of questions. For example, if someone committed five crimes before 2013 Wis. Act 20 took effect, with four prosecuted in one trial and the fifth prosecuted in a separate proceeding, is the fee $250 or $500? Does it matter when or if they submitted a blood sample? A single, coherent rule is needed, and here, warranted. Application of the mandatory surcharge in accordance with the statute is not, under the facts of Scruggs, Radaj, Elward, or this case, punishment. Under the intent-effects test that governs us, I do not believe Williams has provided the "clearest proof' that the effects of this deprivation on him overrides the civil, nonpunitive intent behind the DNA surcharge the law requires him to pay.
| 44. For these reasons, I join the majority opinion, and urge the Wisconsin Supreme Court to consider this case and reverse both this court's opinion and the precedents that bind us.
See Maryland v. King, 133 S. Ct. 1958, 1968, 1980 (2013) (holding that a similar Maryland law allowing DNA collection from arrestees did not violate the Fourth Amendment).
J.B. Van Hollen, J.B. Van Hollen: DNA collection at arrest is vital tool, The Cap Times (Jan. 11, 2013), http://host.madison.com/ct/news/opinion/column/j-b-van-hollen-dna-collection-at-arrest-is-vital/article_ff16fe00-5 b56-lle2- ad91-0019bb2963f4.html.
Jail is one of the potential consequences for manufacturing or selling a child's container that contains BPA. Wis. Stat. § 100.335(2), (4)(b).
Some early cases suggest that the original punishment inquiry was simply whether a given law operated to deprive someone of their life, liberty, or property as a consequence for past misconduct.
In Cummings v. Missouri, 71 U.S. 277, 324-25 (1866), the court found that a provision abridging a person's "right to preach as a priest of the Catholic Church, or to teach in any institution of learning" because of previous bad acts violated the Ex Post Facto Clause. The court explained that any "deprivation or suspension" of a person's "inalienable rights" to "life, liberty, and the pursuit of happiness" in response to "past conduct is punishment, and can be in no otherwise defined." Id. Notably, the court did not appear to defer to the intent of the enactment in any way—which our current intent-effects inquiry does. The court stated that "[t]he clauses in the Missouri constitution, which are the subject of consideration, do not, in terms, define any crimes, or declare that any punishment shall be inflicted, but they produce the same result upon the parties, against whom they are directed, as though the crimes were defined and the punishment was declared. Id. at 327 (emphasis added).
The Supreme Court similarly concluded in Ex parte Garland that a provision prohibiting a person from practicing
Were the test before us here more like this query—whether the state is purporting to deprive someone of their liberty or property more so than they could have at the time a crime was committed—it seems to me that all surcharges applied after-the-fact would violate the ex post facto clause. After all, surcharges deprive a criminal of his or her property in a manner largely indistinguishable from a criminal fine. But that is not the test that governs. The intent-effects inquiry is.
In order to determine whether something is so "punitive in effect" as to transform it into criminal punishment, the following, nonexhaustive list of factors are "useful guideposts":
(1) whether [the law in question] 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 [the law] 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.
In State v. Elward, 2015 WI App 51, ¶ 1, 363 Wis. 2d 628, 866 N.W.2d 756, the State conceded that the statute violated the ex post facto clause, but we "decided to write an opinion anyway" to clarify the law for a potentially large class of defendants.
This was true even before 2013 Wis. Act 20 was passed. In a 2004 case, we rejected a challenge to the payment of a DNA surcharge even though no sample was collected. State v. Jones, 2004 WI App 212, 277 Wis. 2d 234, 689 N.W.2d 917. We held, "Nothing in [Wis. Stat.] § 973.046(1g) requires a DNA sample to be collected before the court can order the payment of the surcharge." Jones, 277 Wis. 2d 234, ¶ 7.
Reference
- Full Case Name
- State of Wisconsin, Plaintiff-Respondent v. Jamal L. Williams
- Cited By
- 3 cases
- Status
- Published