STATE of Wisconsin, Plaintiff-Respondent-Cross Petitioner, v. Richard L. WEBB, Defendant-Appellant-Petitioner.†
No. 89-0593-CR
Supreme Court
Argued January 4, 1991. - Decided March 26, 1991.
Motion for reconsideration denied
467 N.W.2d 108
†Motion for reconsideration denied; Per Curiam Opinion; ABRAHAMSON, J., HEFFERNAN, C.J., BABLITCH, J., dissent.
For the plaintiff-respondent-cross petitioner the cause was argued by Daniel J. O‘Brien, assistant attorney general, with whom on the briefs was Donald J. Hanaway, attorney general.
STEINMETZ, J. The issue presented in this case is what, if any, relief should be available to a defendant who was duly convicted at a fair and errorless trial when it is determined on appeal that his preliminary hearing was closed in violation of the
After a jury trial in the circuit court for Dane county, before Judge George Northrup, the defendant, Richard L. Webb, was convicted of first-degree sexual assault in violation of
940.225 Sexual assault. (1) FIRST DEGREE SEXUAL ASSAULT. Whoever does any of the following is guilty of a Class B felony:
. . .
(d) Has sexual contact or sexual intercourse with a person 12 years of age or younger.
After arraignment, the defendant filed a pretrial motion in Judge Northrup‘s court to dismiss for “lack of jurisdiction” based upon the “improper” closure of the preliminary hearing. The motion did not specify whether
On the basis of the alleged closure error the defendant appealed. He requested a reversal of his conviction and a new trial to be preceded by a new preliminary hearing. He did not claim, however, that the alleged error at the preliminary hearing had any impact on the trial itself. We regard the trial to have been fair and errorless, completely untainted by the alleged error at the preliminary hearing.
The court of appeals in State v. Webb, 154 Wis. 2d 320, 453 N.W.2d 628 (Ct. App. 1990), agreed with the defendant that his sixth amendment right was violated by the circuit court‘s closure of the preliminary hearing. The court of appeals reversed the defendant‘s conviction and remanded the case for a new preliminary hearing in the circuit court if the defendant requested one in a timely manner. If the defendant were to do so, the court of appeals said, then the defendant‘s conviction should
The state petitioned this court for review of the court of appeals decision. The defendant also petitioned for review of that portion of the decision adverse to him. Both petitions were held in abeyance pending our decision in State v. Moats, 156 Wis. 2d 74, 457 N.W.2d 299 (1990). After the decision in Moats, we granted both the petition and cross-petition in this case for review, designating the defendant as the “petitioner” and the state as the “cross-petitioner.”
We do not decide the question of whether there was error at the preliminary hearing in this case, because we hold that a conviction resulting from a fair and errorless trial in effect cures any error at the preliminary hearing. Accordingly, a defendant who claims error occurred at his preliminary hearing may only obtain relief before trial. Thus, no relief is available to the defendant in the case at bar.
Our holding effectively overrules what up to now remained of State v. Sorenson, 135 Wis. 2d 468, 471, 400 N.W.2d 508 (Ct. App. 1986), rev‘d on other grounds, 143 Wis. 2d 226, 421 N.W.2d 77 (1988). In Sorenson, the court of appeals held that the use of evidence at a preliminary examination in violation of the statutory rules of evidence required that the trial and resulting conviction be declared a nullity and the case be remanded for a new preliminary examination. In other words, based on the court of appeals holdings in Sorenson and this case, Wisconsin law up to now permitted a defendant to overturn his conviction after a fair and errorless trial simply by proving that error was committed at his preliminary hearing. A defendant was entitled to a new “probable
The United States Seventh Circuit Court of Appeals, in United States v. Fountain, 840 F.2d 509, 514 (7th Cir.) cert. denied, 109 S. Ct. 533 (1988), in reference to a postconviction claim of evidentiary errors at a grand jury proceeding which errors were not repeated at trial, recently stated:
[I]t is impossible to imagine evidence sufficient to produce a conviction at trial that would not also produce an indictment. So it would be silly to reverse a conviction on the ground that the evidence before the grand jury was insufficient.
As another court has said, the remedy of ordering a new preliminary hearing at this stage would be an exercise in futility. See Commonwealth v. Murray, 348 Pa. Super. 439, 452, 502 A.2d 624, 630 (1985). We agree.
If the remedy of remand for a deficient preliminary examination became the law, the state essentially could open and close its case with nothing more than a certified copy of the judgment of conviction. See
Our holding reflects the rule that the “remedy should be appropriate to the violation.” Waller v. Georgia, 467 U.S. 39, 50 (1984). To grant the defendant a new preliminary examination would be to give him an
For us to grant relief at this point also would ignore the interest of the young sexual assault victim who already has testified twice. As this court stated in Moats, 156 Wis. 2d at 91:
This would require a five-year old sexual assault victim to testify twice, at the preliminary examination and at the trial, which would be traumatic for her. She has already suffered the emotional effect caused by the defendant‘s attack. To require her to testify again when the conclusion is foregone because the defendant was found guilty in a fair trial would be unnecessarily cruel.
See also State v. Grant, 139 Wis. 2d 45, 54-55, 406 N.W.2d 744 (1987).
In Moats, 156 Wis. 2d at 82-83, we declined to overrule Sorenson because the issue it presented was not directly before us there and so had not been briefed. At that time, we indicated a concern that overruling Sorenson might possibly have the effect of overburdening the court of appeals administratively. Id. We now consider that it would not be good jurisprudential practice to maintain the Sorenson rule simply as a means of limit-
Moreover, we do not think that our overruling of Sorenson will have a significant impact on the court of appeals caseload. We note in this regard that the court of appeals has control over the number of pretrial appeals it hears. When pursuing an interlocutory appeal, a defendant must demonstrate to the court of appeals that review of the bindover order will materially advance the termination of the case or clarify further proceedings, protect the defendant from irreparable harm, or clarify an issue of general importance in the administration of justice.
Our response to the defendant‘s jurisdiction argument follows from Moats. In Moats, 156 Wis. 2d at 89-91, we effectively rejected the notion that defects at the preliminary hearing have anything whatsoever to do with the personal or subject matter jurisdiction of the circuit court. We stated specifically that:
The trial court‘s subject matter and personal jurisdictions do not depend on the existence of a preliminary examination. The complaint, which is not challenged, sufficiently established the jurisdiction of the trial court. Any defects at the preliminary hearing
appeals from the standpoint of the number of cases it might hear, but rather on the respective merits of those cases, as we have described immediately above. That practice is not changed by this opinion.
The dissent also arrives at the inconsistent conclusion that the majority decision requires that the court of appeals “will have to grant all the petitions for leave to appeal a bindover order,” dissent op. at 638-639. This conclusion by the dissent is ill-founded. Again, the court of appeals will make its decision as to whether to grant a petition for leave to appeal on the basis of the merits of the case.
The dissent‘s reference to “substantial and irreparable harm” to a defendant, dissent op. at 640, ignores the fact that the defendant in this case had a fair and errorless trial.
Although Moats involved the use of unconstitutionally obtained evidence at the preliminary hearing and not, as in Sorenson, the use of inadmissible hearsay to support a bindover, the language of Moats applies to situations such as in Sorenson and the instant case. Our holding indicates that no procedural defect of any sort at the preliminary hearing affects the circuit court‘s jurisdiction to proceed to trial. The defendant‘s argument fails.
We note that the concepts of appellate review after conviction and appellate relief for errors having no impact on the conviction are not synonymous. See State v. Schumacher, 144 Wis. 2d 388, 405-06, 416-20, 424 N.W.2d 672 (1988); (Abrahamson, J., concurring). Thus, our holding does not mean that a defendant in Webb‘s situation does not have a right to obtain review of an alleged error at the preliminary hearing on appeal from the judgment of conviction. Even though he is not able to obtain postconviction appellate relief for error at the preliminary hearing, he may have the right to review. See
In conclusion, we hold that no relief is available to the defendant in the case at bar. We reach the same conclusion as to any appeal following a fair and errorless trial which raises error at the preliminary hearing. A defendant who claims error occurred at the preliminary hearing may only obtain relief prior to trial.
By the Court.—The decision of the court of appeals is reversed.
Neither statute cited requires such a conclusion. Such a rule would unnecessarily load the court of appeals calendar with frivolous and meritless appeals. It would of course unnecessarily postpone the eventual trial of the particular case. This would give criminal defendants another unnecessary tool to thwart the system of justice. That is not the purpose of a preliminary hearing.
The court of appeals should continue to do what it now does: look at each petition and decide whether an interlocutory appeal is warranted in the particular case.
I am authorized to state that Justice Callow joins in this concurring opinion.
LOUIS J. CECI, J. (concurring). I fully agree with the court‘s opinion and write separately to express my view that the position advocated by the dissent will create yet another excuse to overrule a conviction obtained in an error-free trial. The defendant in this case concedes that he was accorded all the rights he was entitled to under the Wisconsin Constitution and the United States Constitution, to wit, a full, fair, error-free trial by his peers. However, he asks this court to overturn his conviction because of error in the preliminary hearing. The majority correctly refuses to do so because the Wisconsin Constitution and the United States Constitution only require that a defendant receive “a speedy public trial by an impartial jury . . . .”
SHIRLEY S. ABRAHAMSON, J. (dissenting). The majority opinion changes longstanding rules of appellate practice and mandates that an accused seek leave to appeal a bindover order entered after a preliminary hearing in the court of appeals. As a result, even though the defendant in this case followed the appellate procedure in existence at the time of his preliminary hearing and trial and properly sought review of errors in the preliminary hearing after conviction,1 the defendant loses his right of appellate review of his claim that his constitutional right to a public trial has been denied. I dissent because I think the newly adopted rule should not apply to this defendant.
Although the majority opinion grants an accused a means of obtaining appellate review of a bindover order, it assumes that the court of appeals, which can control the number of appeals from pre-final judgments it hears, is likely to grant few leaves to appeal. If so, the procedure this decision adopts seriously erodes the preliminary hearing as a protection for the accused, and I would not favor the newly adopted procedure.
I believe that the court of appeals adhering to
(2) Appeals by permission. A judgment or order not appealable as a matter of right under sub. (1) may be appealed to the court of appeals in advance of a final judgment or order upon leave granted by the court if it determines that an appeal will:
(a) Materially advance the termination of the litigation or clarify further proceedings in the litigation;
(b) Protect the petitioner from substantial or irreparable injury; or
(c) Clarify an issue of general importance in the administration of justice.
As the majority opinion acknowledges, the court of appeals will have to examine each petition for arguable merit. The more meritorious the claim, the greater the risk of substantial and irreparable harm if the court of appeals does not grant petitioner leave to appeal. The court of appeals will be examining the merits of the petition without the benefit of the record or full briefs on the issues. This is a cumbersome and error-prone procedure.
Accordingly, in order to handle petitions for leave to appeal from bindovers fairly without delay in criminal trials and in compliance with
For the reasons set forth, I dissent.
I am authorized to state that Justice William A. Bablitch joins in this dissent.
2d 98, 288 N.W.2d 125 (1980) (juvenile waiver), and State v. Jenich, 94 Wis. 2d 74, 288 N.W.2d 114 (1980) (double jeopardy).
Notes
In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defence.
When the defendant was tried no rule, statute, or case required the defendant to pursue an interlocutory appeal to preserve his legal rights. State v. Olson, 75 Wis. 2d 575, 584, 250 N.W.2d 12, 17 (1977); State v. Sorenson, 135 Wis. 2d 468, 471, 400 N.W.2d 508, 510 (Ct. App. 1986), rev‘d on other grounds, 143 Wis. 2d 226, 421 N.W.2d 77 (1988); State ex rel. McCaffrey v. Shanks, 124 Wis. 2d 216, 224, 369 N.W.2d 743, 748 (Ct. App. 1985).809.50 Rule (Appeal from judgment or order not appealable as of right). (1) A person shall seek leave of the court to appeal a judgment or order not appealable as of right under s. 808.03 (1), by filing within 10 days of the entry of the judgment or order a petition and supporting memorandum, if any. The petition must contain:
(a) A statement of the issues presented by the controversy;
. . .
(c) A statement showing that review of the judgment or order immediately rather than on an appeal from the final judgment in the case or proceeding will materially advance the termination of the litigation or clarify further proceedings therein, protect a party from substantial or irreparable injury, or clarify an issue of general importance in the administration of justice. . . .
The object or purpose of the preliminary investigation is to prevent hasty, malicious, improvident, and oppressive prosecutions, to protect the person charged from open and public accusations of the crime, to avoid both for the defendant and the public the expense of a public trial, and to save the defendant from the humiliation and anxiety involved in public prosecution, and to discover whether or not there are substantial grounds upon which a prosecution may be based.
Id. at 395, quoting Thies v. State, 178 Wis. 98, 103, 189 N.W. 539 (1922). The preliminary examination is “intended to be a sum- mary proceeding.” Moats, 156 Wis. 2d at 83. Pursuant toAs the Seventh Circuit Court of Appeals stated in United States v. Daniels, 848 F.2d 758, 759 (7th Cir. 1988), involving errors in grand jury proceedings:
The authoritative determination of guilt establishes that any defects in the procedure did not lead to the accusation of an innocent person and shows that obtaining a new indictment would be a charade.
See also United States v. Dawes, 874 F.2d 746, 750 (10th Cir. 1989); Hennigan v. State, 746 P.2d 360, 372-73 (Wyo. 1987). The state argues that defendants will not ordinarily petition for leave to appeal from bindover orders because a successful appeal results only in another preliminary hearing and the likelihood of avoiding trial is limited.Other errors where pretrial appellate review would be appropriate include constitutional challenges to the prosecution. Challenges to the subject matter jurisdiction of the circuit court to proceed would also be appropriate for interlocutory appeal. This is so because defects in subject matter jurisdiction cannot be waived and do survive the judgment of conviction. See e.g., Chicago & N.W.R. Co. v. La Follette, 27 Wis. 2d 505, 512, 135 N.W.2d 269 (1965); Moreland Corp. v. Retail Store Employees Union, 16 Wis. 2d 499, 502, 114 N.W.2d 876 (1962). Also appropriate for pretrial appellate review would be legitimate challenges to the personal jurisdiction of the circuit court, such as where the evidence in the complaint or at the preliminary hearing indicates that the crime was committed outside the State of Wisconsin. See State ex rel. Zdanczewicz v. Snyder, 131 Wis. 2d 147, 151, 388 N.W.2d 612 (1986).
Because we do not anticipate that our decision will open any “floodgates,” does not mean, as the dissent submits, that the court of appeals is bound “to grant few leaves to appeal” as a practical result of our decision. Dissent op. at 638. There is nothing in this opinion that indicates the court of appeals is likely to grant few leaves to appeal. The court of appeals does not examine
