Opinion ID: 1878297
Heading Depth: 2
Heading Rank: 2

Heading: Remedy for Violation Of Statutory of Other Mandatory Procedures

Text: The question remains, what is the proper remedy for failure to follow: (a) the procedures set forth in sec. 971.08(1); (b) the additional procedures which we now make mandatory; and (c) those procedures already enumerated and mandated in Ernst? See, e.g., Ernst, 43 Wis. 2d at 674. Bangert cites Cecchini and McAllister for the proposition that the trial court's ascertainment of a defendant's understanding of the charge must be limited on review to the plea hearing transcript. Cecchini, 124 Wis. 2d at 210, 211. The court hearing a motion to withdraw a plea may not search the entire record for evidence of a knowing and voluntary [plea]. Id. at 210. We are now of the opinion that our decision in Cecchini circumscribed too narrowly the postconviction review of the voluntariness of a guilty or no contest plea. Because it was based in on part on the faulty Ernst foundation concluding that Rule 11 was constitutionally mandated upon the states, the Cecchini decision incorrectly concluded that the failure of a trial court to ascertain a defendant's understanding of the nature of the charge on the record at the plea hearing necessitated that the plea be found involuntary and unknowing, in violation of the Boykin constitutional standard. Cf., North Carolina v. Alford, 400 U.S. 25, 29, n. 3 (1970) (Since the record in this case affirmatively indicates that Alford was aware of the consequences of his plea of guilty and of the rights waived by the plea, no issues of substance under Boykin v. Alabama, 395 U.S. 238 (1969) would be presented.. . .). See also, Wood v. Morris, 87 Wash. 2d 501, 507, 554 P.2d 1032, 1036 (1976) (construing Boykin to allow supplementation of an otherwise defective plea-taking record in a postconviction proceeding). We have held above, however, that a trial judge's failure to personally ascertain a defendant's understanding of the nature of the charge at the plea hearing constitutes a violation of sec. 971.08, Stats., not a constitutional violation. We believe, in light of the remedy for a violation of sec. 971.08(1) that this court now proposes, that it is inappropriate to restrict a reviewing court to the plea hearing transcript to determine the voluntariness of a plea on a motion to withdraw under sec. 974.02. We therefore overrule that part of Cecchini which held that a reviewing court may look only to the plea hearing transcript to determine the defendant's understanding of the nature of the offense and, consequently, the voluntariness of the plea. We implement a new approach which serves as a remedy for both a violation of sec. 971.08 and the mandatory procedures we not require. Whenever the sec. 971.08 procedure is not undertaken or whenever the court-mandated duties are not fulfilled at the plea hearing, the defendant may move to withdraw his plea. The initial burden rests with the defendant to make a prima facie showing that his plea was accepted without the trial court's conformance with sec. 971.08 or other mandatory procedures as stated herein. See, Roddy v. Black, 516 F.2d 1380, 1384 (6th Cir. 1975); Wood v. Morris, 87 Wash. 2d at 507, 554 P.2d at 1036. Where the defendant has shown a prima facie violation of sec. 971.08(1)(a) or other mandatory duties, and alleges that he in fact did not know or understand the information which should have been provided at the plea hearing, the burden will then shift to the state to show by clear and convincing evidence that the defendant's plea was knowingly, voluntarily, and intelligently entered, despite the inadequacy of the record at the time of the plea's acceptance. Roddy, 516 F.2d at 1384; Wood, 87 Wash. 2d at 507, 554 P.2d at 1036. The state may then utilize any evidence which substantiates that the plea was knowingly and voluntarily made. In essence, the state will be required to show that the defendant in fact possessed the constitutionally required understanding and knowledge which the defendant alleges the inadequate plea colloquy failed to afford him. See, e.g., Wood, 87 Wash. 2d at 507, 554 P.2d at 1036. The state may examine the defendant or defendant's counsel to shed light on the defendant's understanding or knowledge of information necessary for him to enter a voluntary and intelligent plea. See, e.g., Roddy, 516 F.2d at 1385-86. The state may also utilize the entire record to demonstrate by clear and convincing evidence that the defendant knew and understood the constitutional rights which he would be waiving. Edwards, 51 Wis. 2d at 235-36 (records as a whole showed that defendant understood constitutional rights he waived, and that is sufficient). We thus hold that when a defendant shows a prima facie violation of sec. 971.08 or a failure of the court to meet other enumerated obligations, including the duty to inform him of his constitutional rights or a failure to ascertain his knowledge thereof, the state bears the burden of showing by clear and convincing evidence that the plea was knowingly and voluntarily made. See, Collins v. Israel, 538 F.Supp. 1211, 1215 (E.D. Wis. 1982). We perceive that this remedy which switches the burden of production and persuasion to the state will encourage the prosecution in a plea hearing proceeding to assist the trial court in meeting its sec. 971.08 and other expressed obligations. On the other hand, permitting the state to show by clear and convincing evidence that the totality of the circumstances demonstrates a knowing and voluntary plea in fact achieves the requirement of the constitutional standard. To enable a court on a motion to withdraw to consider only the plea hearing transcript essentially raises procedural form over constitutional substance. A postconviction review of all relevant evidence may reflect that the plea was constitutionally sound, even though the colloquy did not meet statutory procedures or satisfy obligations stemming from our supervisory powers.