State v. Dennis L. Schwind
State v. Dennis L. Schwind
Opinion
¶1
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We review an unpublished summary disposition order of the court of appeals,
1
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which affirmed the circuit court's
2
order denying Dennis L. Schwind's motion for early termination of probation. Schwind asserts that the Wisconsin Constitution gives circuit courts the inherent authority to reduce or terminate a term of probation for cause. He argues that
¶2 We conclude that the circuit court does not have inherent authority to grant Schwind's motion for early termination of probation. Inherent authority of courts consists of only those powers that are necessary for the judiciary to accomplish its constitutionally mandated functions and preserve its role as a coequal branch of government. Probation is a statutory creation, and the power to reduce or terminate a term of probation is not necessary for courts to accomplish their constitutionally mandated functions. Therefore, Wisconsin courts do not have the inherent authority to reduce or terminate a period of probation. Accordingly, we affirm the decision of the court of appeals.
I. BACKGROUND
¶3 In 2001, Schwind pled guilty to first-degree sexual assault of a child, incest with a child, and engaging in repeated acts of sexual assault of the same child. Additional counts of incest with a child and engaging in repeated acts of sexual assault with a child were dismissed but read-in at sentencing. Schwind's guilty plea required him to register as a sex offender under
¶4 In 2002, Schwind violated the conditions of his probation. He had physical contact with his victim, had sexual contact with an animal, had unsupervised *533 contact with children, and failed a sex offender treatment program. The State did not initiate probation revocation proceedings, but instead requested that he serve another one-year term in the Walworth County Jail. Schwind accepted the State's request and served another one-year jail term. In 2014, after serving 13 years of his 25-year probation term, Schwind filed a motion for early termination of probation.
¶5 Wisconsin Stat. § 973.09(3)(d) directs the circuit court in regard to how it may "modify a person's period of probation and discharge the person from probation" when six requirements are met:
1. The department petitions the court to discharge the person from probation.
2. The probationer has completed 50 percent of his or her period of probation.
3. The probationer has satisfied all conditions of probation that were set by the sentencing court.
4. The probationer has satisfied all rules and conditions of probation that were set by the department.
5. The probationer has fulfilled all financial obligations to his or her victims, the court, and the department, including *746 the payment of any fine, forfeiture, fee or surcharge, or order of restitution.
6. The probationer is not required to register [as a sex offender].
Schwind did not, and could not, argue that he had satisfied all six of these requirements. He therefore could not argue that
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¶6 Schwind instead argued that his petition for early termination of probation relied on the circuit court's inherent authority. He argued that notwithstanding the requirements of
¶7 The circuit court denied Schwind's motion in January 2015. In doing so, the circuit court expressed concern that "once you start utilizing some of those inherent powers, that's a slippery slope that this court is not willing to go down." However, the circuit court did not take a position on whether circuit courts have the inherent authority to terminate probation notwithstanding
¶8 In May 2016, Schwind filed a motion for reconsideration, again arguing that the circuit court has the inherent authority to terminate probation early and should do so in his case. The circuit court denied Schwind's motion. This time, the circuit court held that it did not have the inherent authority to reduce a term of probation. It pointed out that
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¶9 The court of appeals affirmed in an unpublished summary disposition order.
State v. Schwind
, No. 2017AP141-CR, unpublished order (Wis. Ct. App. Feb. 14, 2018). The court of appeals did not decide whether circuit courts have the inherent authority to reduce or terminate a term of probation.
¶10 In
Dowdy I
, the court of appeals "did not decide whether a circuit court possesses the inherent authority to reduce a defendant's probation period."
Schwind
, No. 2017AP141-CR, unpublished order at 3 (citing
Dowdy I
,
A. Standard of Review
¶11 This case requires us to determine whether circuit courts have the inherent authority to reduce or terminate a term of probation. "The issue of judicial authority is a question of law" that we review independently.
State v. Henley
,
B. Inherent Authority of Courts
¶12 The Wisconsin Constitution created a court system and expressly granted certain powers to Wisconsin's courts.
See
Wis. Const. art. VII. In addition to these expressly granted powers, our Constitution also grants courts "those [powers] that are necessary to enable courts to accomplish their constitutionally and legislatively mandated functions."
Henley
,
¶13 Inherent authority is implicit in the Wisconsin Constitution. When the framers created the judiciary in Article VII, they "had in mind that governmental institution known to the common law possessing powers characterizing it as a court and distinguishing it from all other institutions."
In re Kading
,
¶14 Inherent authority of the court derives from the doctrine of separation of powers, and allows the judiciary to preserve its role as a coequal branch of government. "The Wisconsin [C]onstitution creates three separate coordinate branches of government, no branch subordinate to the other, no branch to arrogate to itself control over the other except as is provided by the constitution, and no branch to exercise the power committed by the constitution to another."
Friedrich
,
¶15 Recognizing the need for caution in this area, we are careful to invoke inherent authority if, but only if, invocation is necessary to "maintain [the courts'] dignity, transact their business, [and] accomplish the purposes of their existence."
Id.
, ¶ 73 (citations omitted). In other words, "[a] power is inherent when it 'is one without which a court cannot properly function.' "
Id.
(citing
State v. Braunsdorf
,
¶16 With these concerns in mind, "Wisconsin courts have generally exercised inherent authority in three areas: (1) to guard against actions that would impair the powers or efficacy of the courts or judicial system; (2) to regulate the bench and bar; and (3) to ensure the efficient and effective functioning of the court, and to fairly administer justice."
Henley
,
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¶17 The first area in which courts have exercised inherent authority involves the internal operations of a court.
Davis
,
¶18 The second area, regulating the bench and bar, includes the inherent authority to discipline members of the bar,
State ex rel. Fiedler v. Wis. Senate
,
¶19 The third area in which courts have exercised inherent authority, and the area most relevant to this case, involves "ensuring that the court functions efficiently and effectively to provide the fair administration of justice."
Davis
,
¶20 We have previously recognized that sentencing is a constitutionally shared power among three branches of government, and that courts have the inherent authority to modify criminal sentences within certain narrowly defined limits.
State v. Harbor
,
¶21 Sentencing in Wisconsin is an area of shared power among the three branches, as the inherent authority of courts to impose criminal sentences existed at common law prior to the adoption of the Wisconsin Constitution. "It is the function of the legislature to prescribe the penalty and the manner of its enforcement; the function of the courts to impose the penalty; while it is the function of the executive to grant paroles and pardons."
State v. Horn
,
¶22 Sentencing was therefore understood to be a constitutionally shared power among the three branches in 1848, when the Wisconsin Constitution was ratified.
See
¶23 Probation, on the other hand, is a newer concept. It is not something Wisconsin courts had the power to do at common law, but is instead a statutory creation.
See, e.g.
,
State ex rel. Zabel v. Milwaukee Cty. Mun. Ct.
,
¶24 Probation is a possible disposition for an individual who has been convicted of a crime.
¶25 We have recognized that "[p]robation is a privilege extended to a convict by the grace of the state.
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It is not a right."
State ex rel. Greer v. Wiedenhoeft
,
¶26 In
Horn
,
¶27 Therefore, while sentencing and probation have both been described as shared powers with the legislature, the source of the judiciary's power in these two areas is different. Sentencing is a shared power because it comes within the inherent authority of the judiciary, implicit in the Wisconsin Constitution due to its incorporation of common law as it existed in 1848. Given this deeply rooted historical practice, we have
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recognized that courts have inherent authority to modify sentences within certain narrowly defined limits.
See
Harbor
,
¶28 In contrast, probation is a shared power not because it is a common-law judicial power that was incorporated into the Wisconsin Constitution, but only because the legislature chose to permit it. While courts had the power to impose sentences at common law even in the absence of a legislatively created sentencing range,
Borrell
,
¶29 This conclusion is confirmed because reducing a term of probation does not fit within any of the three areas in which courts have traditionally exercised inherent authority. Regarding the first area, reducing or terminating a period of probation does not guard against any action that would impair the efficacy of the court system. As mentioned earlier, this area involves the court's internal operations, which has included the inherent authority to prevent the unilateral removal of judicial assistants.
See
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Barland
,
¶30 Third, the power to reduce probation terms is not necessary to ensure "the efficient and effective functioning of the court," or "to fairly administer justice."
Henley
,
¶31 Likewise, the power to reduce or terminate a term of probation is not necessary to fairly administer justice. As mentioned earlier, "[p]robation is a privilege extended to a convict by the grace of the state. It is not a right."
Wiedenhoeft
,
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¶32 The legislature has the power to completely eliminate the availability of probation without infringing upon the courts' constitutional duty to fairly administer justice. It follows that the legislature may place reasonable limits on the availability of probation without interfering with the fair administration of justice. "The fair administration of justice is not a license for courts, unconstrained by express statutory authority, to do whatever they think is 'fair' at any given point in time."
Henley
,
¶33 For these reasons, we conclude that courts do not have the inherent authority to reduce a term of
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probation. In doing so, we continue construing the judiciary's inherent authority narrowly.
See
¶34 In this case, Schwind's petition for early termination of probation is not based on the circuit court's statutory authority to discharge him from probation under
*548 III. CONCLUSION
¶35 We conclude that the circuit court does not have the power to grant Schwind's motion for early termination of probation. Inherent authority of courts consists of only those powers that are necessary for the judiciary to accomplish its constitutionally mandated functions and preserve its role as a coequal branch of government. Probation is a statutory creation, and the power to reduce or terminate a term of probation is not necessary for courts to accomplish their constitutionally mandated functions. Therefore, Wisconsin courts do not have the inherent authority to reduce or terminate a period of probation. Accordingly, we affirm the decision of the court of appeals.
By the Court. -The decision of the court of appeals is affirmed.
¶36 SHIRLEY S. ABRAHAMSON, J., withdrew from participation before oral argument.
¶37 REBECCA FRANK DALLET, J. (concurring in part, dissenting in part).
The questions before this court are twofold: (1) May a circuit court reduce a term of probation as an exercise of its inherent authority to efficiently and effectively function and to administer justice fairly? And, if so, (2) What limitations should be placed on a circuit court's inherent authority to *753 reduce a term of probation? The majority opinion makes the sweeping conclusion that circuit courts have no inherent authority over probation because it is a statutory creation. I respectfully disagree. I conclude that a circuit court may reduce a term of probation as an exercise of its inherent authority to efficiently and effectively function and to administer *549 justice fairly. I further conclude that the exercise of a circuit court's inherent authority should be circumscribed by the goals of probation: rehabilitating the defendant and protecting the public.
I. A circuit court may reduce a term of probation as an exercise of its inherent authority to ensure the court functions efficiently and effectively and administers justice fairly.
¶38 Our jurisprudence defines the inherent authority of a circuit court as the power that is "necessary to enable courts to accomplish their constitutionally and legislatively mandated functions."
State v. Henley
,
¶39 Within its function to administer justice, circuit courts are called upon to impose a disposition when sentencing persons convicted of crimes, whether that disposition results in a "sentence" of confinement or the imposition of a term of probation.
See
State v. Horn
,
¶40 This court has held that inherent within the probation statute is a circuit court's continuing power to modify probationary terms to effectuate the goals of rehabilitation of the defendant and protection of society.
1
State v. Sepulveda
,
¶41 The majority opinion concludes that a circuit court has no inherent authority to reduce a term of probation for the following reasons: (1) probation is a statutory creation and therefore only the statute provides the parameters of how it may be
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imposed; (2) the source of the circuit court's inherent authority to impose probation or a sentence comes from the way in which those dispositions were imposed at common law; and (3) probation already confers upon an individual "the discretionary privilege of the State's mercy" such that no other mercy should be granted. Majority op., ¶31. I address each argument in turn.
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¶42 First and foremost, a statute cannot limit the circuit court's inherent authority. The issue of whether a circuit court has the statutory authority to reduce a term of probation was already decided by this court in
State v. Dowdy
,
¶43 Second, the majority distinguishes the circuit court's inherent authority to reduce a sentence from that of probation based upon an assumption that only sentencing existed at common law. Although the genesis of our modern adult probation system was approved by the governor in 1909 and codified at Chapter 541 of the Wisconsin Laws of 1909, there are historical analogues to modern day probation. See Edwin C. Conrad, Commentaries on the Wisconsin Law of Probation , 29 Am. Inst. Crim. L. & Criminology 449 (1938-1939) (commenting that despite the lack of power, prior to the enactment of the present probation law, Wisconsin courts had repeatedly suspended sentences *552 in order to give a defendant a chance to improve his or her behavior). Probation as a dispositional alternative is thus not necessarily, as the majority assumes, a "newer concept." Majority op., ¶23.
¶44 Moreover, the common law authority of a court to modify a sentence was extremely limited and could only be exercised during the court's term, as defined by statute, and before the sentence had commenced.
Hayes v. State
,
¶45 Finally, the majority concludes that a circuit court's ability to reduce a term of probation is not necessary to fairly administer justice because a probationer has already used up their allotment of mercy granted by the State by being placed on probation in the first place. Based on this reasoning, the majority would thus deny the circuit court inherent authority to reduce a term of probation even where a similarly situated individual seeking sentencing modification would be entitled to a sentence modification. For example, a person *755 serving a prison sentence who cooperates with law enforcement may be entitled to a sentence modification whereas a probationer who cooperates would not. Likewise, applying the majority's reasoning, if the circuit court relied upon incorrect information at sentencing, a defendant sentenced to jail or prison would be entitled to a sentence modification *553 whereas a defendant placed on probation would not. This is far from administering justice. I therefore dissent and conclude that a circuit court may reduce a term of probation as an exercise of its inherent authority to efficiently and effectively function and to administer justice fairly.
II. The exercise of the circuit court's inherent authority to reduce a term of probation should be circumscribed by the dual purposes of probation: rehabilitation of the defendant and protection of the public.
¶46 The inherent authority of a circuit court to reduce a term of probation must be limited to only the power necessary to ensure the efficient and effective functioning of the court and the fair administration of justice. The State argues, and the court of appeals agreed, that if this court recognizes a circuit court's inherent authority to reduce a term of probation, the circuit court should use the same criteria as a court evaluating a request to modify a sentence.
State v. Dowdy
,
¶47 Because sentencing and probation serve different purposes, constraining a circuit court's authority to reduce a term of probation in the same way
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that it modifies a sentence is an attempt to put a square peg in a round hole. There are four main purposes of sentencing: deterrence, rehabilitation, retribution, and segregation.
Dowdy II
,
¶48 In contrast, probation is forward-looking and therefore a defendant's actions post-sentencing necessarily inform any modification. The purpose of probation is to "protect the public from criminal conduct and to help the probationer become a useful member of society."
Wagner v. State
,
¶50 As of June 30, 2018, 66,196 people were on community supervision in the state of Wisconsin.
See
Division of Community Corrections, Wis. DOC,
2018 A Year in Review
(Dec 2018), https://doc.wi.gov/DataResearch/DataAndReports/DCCYearInReview.pdf. Over 32 million dollars was spent in 2018 alone to purchase products or services for the benefit of these individuals.
¶51 If the inherent authority of the courts is defined too narrowly, "we risk impeding the judiciary's ability to carry out its constitutionally mandated functions by giving away portions of our inherent authority *556 to the other branches of government." Majority op., ¶14. The majority eliminates a circuit court's inherent authority to reduce a term of probation and, in so doing, gives away necessary power of the court to administer justice fairly. I conclude that in order to efficiently and effectively function and to fairly administer justice, a circuit court has the inherent authority to reduce a term of probation where a defendant has been rehabilitated and therefore the goals of the probation disposition have been achieved.
¶52 Lastly, I concur in part in affirming the circuit court's decision. The circuit court stated that even if it had the inherent authority to reduce Schwind's term of probation, early termination of probation was not warranted in this case. In making this determination, the circuit court did not erroneously exercise its discretion. Therefore, I concur with the majority opinion in affirming the circuit court's decision to deny Schwind's motion to reduce his term of probation.
¶53 For the foregoing reasons, I concur in part and dissent in part.
¶54 I am authorized to state that Justice ANN WALSH BRADLEY joins this concurrence/dissent.
State v. Schwind , No. 2017AP141-CR, unpublished order (Wis. Ct. App. Feb. 14, 2018).
The Honorable David M. Reddy of Walworth County presided.
All subsequent references to the Wisconsin Statutes are to the 2017-18 version unless otherwise indicated.
Reasonable and appropriate conditions of probation may, in the court's discretion, include a period of confinement not to exceed one year.
Our conclusion that courts do not have the inherent power to reduce or terminate a term of probation does not mean that courts are unable to correct clerical errors in judgments of probation. As we have previously explained, "the law is clear that a court has the power to correct clerical errors at any time."
State v. Prihoda
,
According to the majority opinion's reasoning, the circuit court may for cause modify the terms of probation to discontinue all probationary services pursuant to
Reference
- Full Case Name
- STATE of Wisconsin, Plaintiff-Respondent, v. Dennis L. SCHWIND, Defendant-Appellant-Petitioner.
- Cited By
- 11 cases
- Status
- Published