State v. Daniels
State v. Daniels
Opinion of the Court
¶1 Donna Daniels appeals a judgment of conviction, entered following her no-contest plea, for theft by an employee in a business setting. She also appeals the denial of her postconviction motion for resentencing. Daniels argues the State materially and substantially breached the terms of the parties' plea agreement by recommending a withheld sentence and an imposed and stayed year in jail as a condition of probation to be used at the agent's discretion, when the signed plea questionnaire said that the State would recommend an imposed and stayed jail sentence and "no conditional jail." Daniels further contends her defense counsel provided constitutionally ineffective assistance by not objecting to the breach. We agree with Daniels in both respects. Accordingly, we reverse the circuit court and remand for resentencing by a different judge.
BACKGROUND
¶2 In 2016, the State charged Daniels with theft by employee for stealing approximately $15,000 from her employer through a series of unauthorized raises. Daniels and the State reached an agreement for her to plead no contest to the charge. Daniels eventually signed a plea questionnaire and waiver of rights form that noted the State was agreeing to recommend: "Probation, imposed and stayed jail sentence, no conditional jail, COMPAS evaluation, court costs, restitution."
¶3 At the sentencing hearing, the prosecutor asked the circuit court to "withhold sentence, place the defendant on probation for a period of three years," and to "impose but stay twelve months jail time in this case for use by the agent." The prosecutor added:
We think that the combination of probation as well as the imposed and stayed jail as well as the fact that she pled to a class G felony would provide incentive for the defendant to comply with terms of probation, make restitution payments, and make the victims whole in this case.
Daniels' counsel did not object to the prosecutor's recommendation. The court ultimately withheld sentence and placed Daniels on three years of probation with ninety days' conditional jail time.
¶4 Daniels filed a postconviction motion requesting resentencing.
¶5 The circuit court found Mongin credible and that, in light of his testimony, Daniels' primary goal for the plea agreement was to walk out of the courtroom without spending any time in jail. The court determined that the prosecutor's recommendation was generally consistent with that goal, and that any breach was based on a "hypertechnical interpretation" of both the plea agreement and prosecutor's recommendation such that it was not a material and substantial breach. Daniels now appeals.
DISCUSSION
¶6 Daniels' allegation of error involves the intersection of two claims-that her counsel performed in a constitutionally ineffective manner and that the State unlawfully breached its plea agreement with her. An ineffective assistance of counsel claim presents a mixed question of fact and law. State v. Pico ,
¶7 A defendant must show two things to establish his or her counsel provided constitutionally ineffective assistance. First, the defendant must show that his or her attorney provided deficient representation. State v. Erickson ,
¶8 Criminal defendants have a constitutional right to the enforcement of a negotiated plea agreement, which includes fulfillment of a promise to make a particular sentencing recommendation. State v. Smith ,
¶9 A material and substantial breach of a plea agreement is one that deprives a defendant of a bargained-for benefit. Santobello v. New York ,
¶10 As mentioned above, the first step is to determine, as a factual matter, the terms of the plea agreement and the historical facts of the State's conduct. Indeed, it seems this is the battleground on which the State principally fights this appeal. The State disputes neither the language included in the plea questionnaire/waiver of rights form, nor the words in the prosecutor's recommendation at the plea hearing. Rather, it contends the circuit court correctly found that despite the differences between the form and the prosecutor's recommendation, the parties' plea agreement was actually only intended to ensure that the State recommended no up-front jail time. Accordingly, the State asserts that the language in the plea questionnaire form regarding the plea agreement actually "meant [ ] no conditional jail time up front and all jail time imposed and stayed," and that the one year of imposed but stayed jail time recommended by the State did not run afoul of this understanding by the parties.
¶11 The State's arguments regarding the actual terms of the plea agreement are problematic as a factual matter for two reasons. First, as Daniels correctly notes, the circuit court never made a factual finding that the terms of the plea agreement were not those as stated on the plea form. Rather, it seemingly concluded that there was a breach, but only a "hypertechnical" one, presumably meaning not a material and substantial one. That conclusion, like the State's argument on appeal, appears to have focused solely on Mongin's testimony as to Daniels' primary goal during plea negotiations being no up-front jail time. However, as will be explained below, the State cannot accomplish that goal in a manner materially different than what it agreed in writing to recommend, regardless of whether the recommendation it ultimately made was consistent with Daniels' objective in negotiating the written agreement.
¶12 Second, even if we were to conclude that the circuit court made an implicit finding that the plea agreement was only for no up-front jail time, with any jail time imposed and stayed, such a finding would be clearly erroneous. Neither the State nor the circuit court can gainsay the language written on the plea questionnaire form that Daniels signed. Moreover, neither the State nor the circuit court argued that the language was ambiguous, and any such claim would have been meritless.
¶13 Having established that the terms of the parties' plea agreement include the provisions written on the plea questionnaire form, we next address whether the State materially and substantially breached the terms of the parties' plea agreement as a matter of law. We conclude the State breached the agreement by virtue of its sentencing recommendation. The basic error in the State's argument is that it presumes Mongin's testimony regarding Daniels' primary goals in negotiating the plea agreement by itself answers the question of whether the State materially and substantially breached the parties' plea agreement. To be sure, Mongin testified-and the circuit court found credible-that his and Daniels' primary goals in making the plea were to ensure that any jail time was stayed or withheld and that there would not be any up-front jail time, and he further testified that the language in the plea questionnaire was intended to mean there would be no conditional jail time up front. As the court correctly noted, Daniels' primary goal was to walk out of the courtroom without spending any time in jail.
¶14 That goal, however, can be accomplished in more than one way, and these various ways can have materially different impacts on Daniels. To explain, we begin by noting that both the State's agreed-to recommendation and its actual recommendation requested probation. So far so good. However, the State then recommended a withheld sentence-not the agreed-to imposed and stayed sentence-and "the maximum term of conditional jail allowable by law for use at the total discretion of a probation agent"-not the agreed-to "no conditional jail."
¶15 These two sets of recommendations are much different in character and in potential effect. When a circuit court places a person on probation, the court may impose and stay a sentence, or it may withhold sentencing in the event of revocation. See WIS. STAT . § 973.09(1) ; State v. Horn ,
¶16 Furthermore, here, the agreed-to recommendation was not just for any imposed and stayed sentence, but rather for an imposed and stayed jail sentence. The agreement to recommend only a jail sentence would have necessarily capped the prosecutor's recommendation to that of one year or less, see WIS. STAT . § 973.02, which is a far cry from a potential sentence of anywhere from one to ten years. Notably, Mongin never testified regarding the parties' agreed-upon maximum sentence recommendation.
¶17 There is more. The plea agreement also required the State not to recommend conditional jail time. Yet, at sentencing, the State not only asked for conditional jail, imposed and stayed, but it also asked for the maximum amount allowable by law. See WIS. STAT . § 973.09(4)(a) (conditional jail time may not exceed one year). There are two ways that a criminal defendant can be ordered to serve time in jail. See Prue v. State ,
¶18 Given the foregoing, the mere accomplishment of Daniels' "primary goal" at sentencing does not overcome the fact that, in the end, the State and Daniels agreed in writing to a particular means of accomplishing that goal. That approach-i.e., "[p]robation, imposed and stayed jail sentence, no conditional jail"-is much different in character and in potential effect than what the State actually recommended-i.e., to "withhold sentence, place the defendant on probation for a period of three years," and to "impose but stay twelve months['] jail time in this case for use by the agent." Especially because of these differences, it cannot be said that the plea deal did not rest "in any significant degree" on these specific terms, Santobello ,
¶19 Given the State's apparent concession that a breach of the plea agreement also establishes ineffective assistance of counsel, see supra ¶7, we also conclude Daniels has demonstrated that her attorney's failure to object to this breach without consulting with her was deficient conduct that caused prejudice to Daniels. Therefore, she was denied her constitutional right to the effective assistance of counsel. Accordingly, we reverse the circuit court and remand for resentencing by a different judge.
By the Court. -Judgment and order reversed and cause remanded for further proceedings.
This opinion will not be published. See WIS. STAT. RULE 809.23(1)(b)5.
In a previous plea offer, the State had offered to recommend probation, with jail time as a condition of probation, and a withheld sentence. See Wis. Stat . § 973.09(4)(a) (2017-18) (when a sentencing court places a person on probation, the court may impose up to one year in jail as a condition of probation). All references to the Wisconsin Statutes are to the 2017-18 version unless otherwise noted.
Daniels also raised a claim for sentence modification based on a new factor-namely, her worsening health and the fact that, after sentencing in this case, the federal government deemed her disabled. She asked the circuit court to indefinitely stay the ninety days of conditional jail in exchange for her performing community service. Daniels furthermore offered to waive her resentencing claim should the court agree to indefinitely stay the ninety-day conditional jail term. The court denied Daniels' new-factor claim for sentence modification, and Daniels does not appeal that ruling.
See State v. Machner ,
In certain cases, a circuit court may order both, by imposing probation with jail as a condition of probation and simultaneously imposing but staying a jail sentence. This result is allowable under the law because probation is not considered a "sentence" but rather is "an alternative to a sentence." Prue v. State ,
Case-law data current through December 31, 2025. Source: CourtListener bulk data.